A Iab 097759

2013 | Emerging Professionals Companion
EPC
Emerging
Professionals
Companion
introduction
1
37
65
91
115
137
159
189
223
253
291
323
355
385
417
457
501
ii
ii
iv
vi
vii
viii
ix
About the EPC
A History of the EPC
IDP Roles
How to Use the EPC
Submit for IDP Credit
Mentoring Tools
Credits & Contributions
chapters
1A - Programming
1B - Site & Building Analysis
1C - Project Cost & Feasibility
1D - Planning & Zoning Regulations
2A - Schematic Design
2B - Engineering Systems
2C - Construction Costs
2D - Codes & Regulations
2E - Design Development
2F - Construction Documents
2G - Material Selection & Specications
3A - Bidding & Contract Negotiations
3B - Construction Administration
3C - Construction Phase: Observation
3D - General Project Management
4A - Business Operations
4B - Leadership & Service
resources
523 Additional Resources
An online resource for interns to gain IDP experience.
Introduction
Emerging Professionals Companion | www.epcompanion.org
ii
About the EPC
The Emerging Professionals Companion (EPC) is an online resource for interns to gain IDP credit. The EPC
can also be used by educators, ARE
candidates, young architects, frms, and AIA components to enhance

or create new learning opportunities.
The EPC contains seventeen (17) chapters that align with IDP experience categories and areas. One EPC
activity equals eight (8) hours of Supplemental Experience, designated as either Supplemental Experience
for Core hours or Supplemental Experience for Elective hours. EPC activities are approved by NCARB as
Supplemental Experience.
A History of the EPC
To support interns on the path to licensure, the AIA began publishing the Supplementary Education
Handbook: An Interns Companion to the Architects Handbook of Professional Practice in 1977. Last
published in 1992, the SuppEd Handbook provided a framework for comprehensive continuing education in
professional practice issues through independent study. While the Supplementary Education Handbook was
a useful and thorough publication, the need for a new resource became evident after the publication of the
13th edition of The Architects Handbook of Professional Practice in 2001.
Since 1992 changes in practice and internship called for the development of a new supplementary
education handbook for interns. In 1996 the Carnegie Foundation released a report entitled Building
Community: A New Future for Architecture Education and Practice, authored by Dr. Ernest Boyer and Lee
Mitgang. This report incited a revolution in thinking about the path from architecture education to licensure.
In response, the fve collateral American architecture organizationsthe American Institute of Architects
(AIA), the American Institute of Architecture Students (AIAS), the Association of Collegiate Schools of
Architecture (ACSA), the National Architectural Accrediting Board (NAAB), and the National Council of
Architectural Registration Boards (NCARB)organized an Internship Summit. Held in April 1999, this event
brought together stakeholders to develop ideas that strengthen the bridge from academia to practice.
Internships, before and after graduation, are the most essential link connecting students to the world
of practice. Yet, by all accounts, internship is perhaps the most troubled phase of the continuing
education of architects.
During this century, as architecture knowledge grew more complex, the apprenticeship system
withered away and schools assumed much of the responsibility for preparing architects for practice.
However, schools cannot do the whole job. It is widely acknowledged that certain kinds of technical
and practical knowledge are best learned in the workplace itself, under the guidance of experienced
professionals.
Building Community: A New Future for Architecture Education and Practice, 1996
Two committees, the Collateral Internship Task Force (CITF) and the Collateral Internship Management
Group (CIMG), were created to study changes discussed at the 1999 gathering and to make
recommendations to implement. In 2002 a second Internship Summit was hosted by ArchVoices at the
University of Oklahoma to continue the conversation among interns and architecture professionals.

Introduction
www.epcompanion.org | Emerging Professionals Companion
iii
Beginning in the late 1990s, a number of studies and surveys on the architecture internship process yielded
further information about the educational needs of todays emerging professionals. In particular, fndings
from the 2003 Internship & Career Survey helped guide the development of a new resource that addresses
a changing profession. A summary of the surveys fndings follows:
Mentoring: Nearly all respondents indicated an interest in mentoring, while only half indicated
satisfaction with the mentoring they were currently receiving. Of the respondents, 39 percent said
they would be most interested in a program coordinated by their local AIA component, while 34
percent would be most interested in one coordinated by their employers.
Career/Work Experience: The survey revealed a signifcant trend in which students acquire
work experience while still in school. Between the 1999 AIA Survey on Internship and the 2003
survey, this statistic jumped from 19 percent to 42 percent of respondents. Nearly a quarter of non-
registered respondents do not plan on pursuing a traditional architecture career, but most still plan
on registration. Currently, 18 percent of those surveyed indicated they were employed in a non-
traditional position.
IDP: For 59 percent of interns with professional degrees, the average time it took to complete
NCARBs IDP was longer than four years (the program is designed to take only three years). Half the
interns who completed IDP indicated they were not able to fulfll all 16 IDP training areas at one frm.
However, when this same half were asked why they left their previous jobs, only 11 percent indicated
it was to complete their IDP requirements.
Professional Service: Both current members and non-members ranked networking (21%), access
to resources (20%) career enrichment (15%), and continuing education (14%) as the most important
AIA membership benefts for Associates and Young Architects.
A market research study was conducted to determine the strengths and weaknesses of the 1992 SuppEd
Handbook, as well as to identify the training needs and delivery method desired by current interns. A number
of issues emerged from this study that infuenced the EPCs format. User accessibility was important,
which led to investigation of online delivery for the EPC. A web-based format allows portability for the user,
and it also makes EPC updates easier as new trends in the profession take shape. A team of diverse and
renowned authors, each an expert in a specifc training area, was hired to write the EPC chapters. These
individuals used the NCARB core competencies as a basis for their work, writing narrative sections for
context and activities and scenarios to give interns a chance to apply their knowledge.
In 2010, NCARB sponsored a linking study to determine the extent to which the IDP core competencies
were adequately covered by the various activities and exercises in the updated version of the EPC. The
EPC Linking Task Force convened by NCARB completed the study and developed recommendations
regarding the awarding of IDP Training Units (TU).
With NCARBs transition to IDP 2.0, the EPC underwent an update. In 2012, all exercises and activities
have transitioned to the activity title, designated as either Supplemental Experience for Core hours
or Supplemental Experience for Elective hours. Each activity is worth eight (8) hours of IDP credit. The
EPCs refreshed, interactive PDF format builds upon the strengths of existing content, along with updated
resources. AIA and NCARB will continue to improve the EPC for the future.
Introduction
iv
IDP Roles
NCARB administers the Intern Development Program (IDP). Visit http://ncarb.org/Experience-Through-
Internships.aspx to download current IDP Guidelines.
Interns
Architecture students can also be interns. Take charge of your professional development. Review IDP
eligibility criteria and establish a NCARB record when you intend to start tracking experience hours. IDP
offers the fexibility to complete experience hours at your pace, in any order. Interns are encouraged to
establish an NCARB record early and log experience hours frequently. Students can seek internships
outside of the academic year or as part of their education requirement.
Use the Emerging Professionals Companion to gain credit that may be diffcult to obtain in one offce
environment. Interns are encouraged to report progress regularly to their IDP supervisors or mentors and
identify specifc areas where they need credit. EPC activities provide interns with the opportunity to augment
their portfolio, demonstrating knowledge and competencies to advance their career. Be proactive; identify
your potential supervisors, speak with local IDP Coordinators and fnd a mentor. While completing the IDP,
interns may have multiple supervisors, and as many mentors as needed. Find more intern resources via the
NCARB Experience Through Internships webpage.
ARE
Candidates
Interns can be ARE
Candidates. Following completion of the NCARB education requirement, the

Architect Registration Examination
(ARE
) can be completed concurrently with IDP in most states. This

allows interns the opportunity to shorten the time to complete their licensing requirements. The Emerging
Professionals Companion can be used to compliment an ARE
candidates study materials, or provide a

discussion framework for group study.
Educators
EPC activities can be integrated into existing curriculum or introduced independently to underscore
particular topics. Educators can present practice-based problems found in frms in the classroom. Educators
can use the EPC while leading a studio course, in a professional practice lecture, or AIA Continuing
Education session. However, for an intern to earn EPC activity hours, work must be completed outside
the NCARB education requirement. Depending on circumstances, educators may be eligible to act as IDP
supervisors, mentors, or coordinators.
IDP Supervisors & Mentors
IDP Supervisors oversee interns on a daily basis and regularly assess the quality of work performed. In
most jurisdictions, for IDP experience settings A and O, supervisors must be licensed in a U.S. or Canadian
jurisdiction, but not necessarily in the jurisdiction where the intern is located. In some experience settings,
IDP supervisors can be professionals from other disciplines.
Supervisors meet with interns regularly to assess progress and approve the interns documentation of
experience hours. At the same time, the supervisor can review any EPC completed work and provide
feedback on fnal work product. The supervisor is not responsible for IDP record-keeping; documentation is
the interns responsibility. However, the supervisor must digitally certify that activities submitted by the intern
have been completed. To complete EPC activities, interns may request access to project documents and
stakeholder contacts outside their project team or studio.
Mentors advise interns, discussing problems and aspirations. Ideally, the intern will select a mentor whom s/
he knows wellperhaps a professor, seasoned colleague or former employerwho shares a professional
Introduction
v
philosophy. Interns may reach out to mentors in person, by telephone or email. Interns meet with their
mentors periodically to discuss IDP progress and career goals. During that time, the mentor can also review
EPC activity work completed by the intern, and provide guidance on the fnal work product. The mentor,
like a supervisor, can digitally certify that activities submitted to NCARB by the intern are completed. For
this purpose, the mentor must be a licensed architect. Architects who serve as mentors do not have to be
licensed in the state where the intern is located. To complete EPC activities, interns may ask for a mentors
permission to attend project meetings, access to project documents, or consultant contacts. A mentor can
help an intern gain IDP credit, even for just a day.
Firms
Whether your frm is starting in-house education, or supplementing an existing program, the EPC is a
valuable resource for content. The EPC provides a means to help interns earn diffcult-to-obtain IDP hours
(consult your frms interns and supervisors). Parallel workshops and study groups are an excellent way
to bring together those emerging professionals completing EPC activities. Experts from your frm can lead
the sessions, or contact your local AIA component for experts who may be able to help develop a program.
Dont forget that related workshops can be offered as continuing education credit to architects if your frm is
an AIA/CES Continuing Education provider.
IDP Coordinators: Educator, State, Auxiliary
NCARB administers the IDP Coordinator Program. For more information visit http://ncarb.org/en/Experience-
Through-Internships/IDP-Coordinators.aspx.
IDP Educator Coordinators act as a liaison between schools of architecture, NCARB and AIA. The IDP
Educator Coordinator must be familiar with how to use the EPC in the classroom and be willing to support
colleagues within their school. The IDP Educator Coordinator is the contact for students seeking information
about the IDP. NCARB provides up-to-date, credible presentations and resources to coordinators. The
IDP Educator Coordinator position description and roster are available on the NCARB IDP Coordinators
webpage.
IDP State Coordinators are appointed by the AIA and are the state-level contact for frms and interns.
The State Coordinator must know how to include EPC in developing workshop series, study groups, and
in-house frm education programs. The IDP State Coordinator is also the general contact for individual
interns who may be seeking IDP information. The IDP State Coordinator position description and roster are
available on the NCARB IDP Coordinators webpage.
IDP Auxiliary Coordinators are self-appointed individuals who volunteer to educate their frms and
communities about IDP. To help those responsible for the administration of frm education programs, EPC
narratives and activities can be used as program content. Any frm employee that supports interns can sign
up as an IDP Auxiliary Coordinator by emailing idpcoordinators@ncarb.org. The IDP Auxiliary Coordinator
position description is available on the NCARB IDP Coordinators webpage.
AIA Components
AIA Components play a signifcant role supporting frms with continuing education such as discussion/
study groups, mentoring programs, and workshops addressing current practice issues. The Emerging
Professionals Companion narratives and activities can be used as content for continuing education
programs. AIA Components can connect interns, supervisors, mentors, coordinators and act as a conduit
supplying information and resources on the licensure process. Locate an AIA component near you.
Introduction
vi
How to Use the EPC
The Emerging Professionals Companion was developed in conjuntion with The Architecture Students
Handbook of Professional Practice and The Architects Handbook of Professional Practice. Each EPC
chapter is aligned with IDP 2.0 experience areas. Work is self-guided by the intern, with support from IDP
supervisors, mentors and IDP Coordinators. Interns do not have to be employed to complete EPC actvities,
but must have an IDP supervisor or mentor to approve completed activities through My NCARB Record.
Interns are encouraged discuss EPC chapters with peers and experts in related disciplines. Peer review and
collaboration is encouraged, particularly between recent graduates and seasoned interns. However interns
must maintain unique, individual documentation of their activities.
The new interactive PDF format allows users to quickly move between different chapters and resources.
Chapter covers contain hyperlinks to each introduction, narrative, and all activities and exhibits. Titles on
each page are hyperlinked to the chapter cover page. Most hyperlinks are visible by an underline style
and may navigate to an outside website or to a page or location within the document. Bookmarks are
also available within Adobe Acrobat. Use the Ctrl+f or Command+f function to search within the PDF
document.
Introduction & Narrative
The introduction and narrative are the required reading to support the activities. The introduction highlights
the IDP experience categories and areas and also the knowledge and skills expected to be gained in IDP.
Many narratives were developed utlizing existing architecture resources, such as The Architects Handbook
of Professional Practice. Within the narrative, the Resources column contains additional, credible
reference materials to help you better understand the concepts presented.
Activities
The actvities in each chapter are designated as either Supplemental Experience for Core hours or
Supplemental Experience for Elective hours and will gain an intern eight IDP hours each. Activities present
practice-based scenarios and instruct the intern to research, analyze, report, draft and document fndings.
Some activities may instruct the intern to reference additional resources to complete the activity. When an
organization or authority having jurisdiction has updated or replaced any required reference materials (i.e.
codes, standards, contract documents, etc.) the intern may substitute the current/superseding reference
materials to complete the activity.
Exhibits
In each chapter, the exhibits section includes key diagrams, graphs, or reference materials to support the
narrative or activities. Not every chapter contains exhibits.
Documenting Work
EPC activities may require the intern to create deliverables such as reports, diagrams, graphs,
spreadsheets, and memorandums. Templates for these documentation methods may be found online
from various credible organizations. In documenting your work, keep the presentation professional. Share
your work with your IDP supervisor or mentor and make suggested changes. Document the fnal version
as a PDF. Well-presented EPC activities can be used as part of your portfolio. Keep a digital PDF copy of
all completed activities for a minimum of three years. While NCARB does not require you to submit PDF
documentation of completed activities to receive credit, on occasion, they may audit your record and request
a copy of work.
Introduction
vii
Submit for IDP Credit
Use the EPC to satisfy a portion of your IDP hour requirements. Earn up to 1,624 IDP hours through the
EPC. Each activity is worth eight hours. By completing EPC activities, you can earn up to 40 core hours in
each experience area.
Please note: Interns can earn a maximum of 600 core minimum hours through EPC with no more than
40 core hours earned in any one IDP experience area. If an intern has already completed the maximum
allowable 40 core minimum hours in a given experience area through any combination of supplemental
experience, then EPC activities completed in that area will be credited as elective hours.
Step by Step
1. Complete an EPC core or elective activity and note the Chapter and Title.
2. Review your work with your IDP Supervisor or Mentor.
3. Log in to My NCARB at www.ncarb.org, then click Go to launch your NCARB Record.
4. Select the IDP tab in your NCARB Record.
5. Click the + NEW EXPERIENCE REPORT button.
6. Select Supplemental Experience via the radio button. A drop-down menu will appear.
7. Select Emerging Professionals Companion (EPC) from the drop down menu and click ADD.
8. Provide your AIA member number (or temporary AIA number*) and identify a mentor/supervisor, then
click CONTINUE.
9. In the drop-down menus next to Add a Course: select the Chapter and the Title for the activity you
have completed.
10. Provide the date of completion and click ADD.
11. Verify that your activity and corresponding hours appear in the Courses tab.
12. Click SUBMIT FOR APPROVAL at the top of the window.
Your IDP Supervisor or Mentor will receive an email prompting him/her to certify your hours of EPC
completion. Please remember to keep digital documentation (PDF) of completed core activities for three
years following completion, should NCARB audit your fle.
*The AIA provides interns in IDP a free temporary AIA number and AIA Transcript to track supplemental
experience for IDP credit. Supplemental experience can also be gained through AIA Continuing Education
courses. Request a free temporary AIA number at www.aia.org/FreeTranscriptsforInterns.
Introduction
viii
Mentoring Tools
Mentoring
Men-tor n. 1. A wise, loyal advisor. 2. A teacher or coach.
The AIA Code of Ethics and Professional Conduct encourages members to nurture their fellow
professionals as they progress through stages of their career, beginning with professional education in the
academy, progressing through internship, and continuing throughout their career. Mentors play a critical
role in NCARBs Intern Development Program (IDP), helping to review interns work. Additionally, architect
mentors can certify completed EPC activities through My NCARB Record.
Mentoring is perhaps the best method of transferring knowledge gained through experience. Young
architects make great mentors to interns, college students, and even high school or elementary school
students. Being a mentor helps young architects hone their leadership skills. Young architects also want
mentors to help them transition into leadership roles in frms and their communities.
Mentoring Resources
www.aia.org/mentorship
Mentoring Essentials for IDP Supervisors and Mentors (PDF)
YAF Mentor Guidelines: A resource from the AIA Young Architects Forum
AIA Components for local events and information
EPC Resource Center from AIA.org
AIA/NCARB Internship and Career Survey
Introduction
ix
Credits & Contributions
The Emerging Professionals Companion is result of the hard work of many people. Below are the primary
groups and individuals who made this project a success. The AIA and NCARB wish to express gratitude for
their contributions and commitment to emerging professionals.
Authors & Editors
2012 New Chapter Titles 2012 Content Editors Original Chapter Titles 2009 Content Editors 2005 Authors
1A - Programming Kevin A. Fitzgerald, AIA
Ashley Respecki, Assoc.
AIA
Nick Serfass, AIA,
NCARB
1. Programming Reviewed by AIA Staff Edith Cherry, FAIA
1B - Site & Building Analysis ________________ 2. Site and Environmental
Analysis
Reviewed by AIA Staff Daniel Williams, FAIA
1C - Project Cost & Feasibility ________________ 5. Building Cost Analysis Michael D. DellIsola, PE,
CVS, FRICS
Michael D. DellIsola, PE,
CVS, FRICS
1D - Planning & Zoning
Regulations
________________ 6. Code Research Reviewed by AIA Staff Jim W. Sealy, FAIA
and Terry L. Patterson,
NCARB
2A - Schematic Design ________________ 3. Schematic Design Gary Demele, AIA,
NCARB
Bradford Perkins, FAIA,
MRAIC, AICP
2B - Engineering Systems ________________ 4. Engineering Systems
Coordination
Reviewed by AIA Staff Leonard Bachman
2C - Construction Cost ________________ See 5.
2D - Codes & Regulations ________________ See 6.
2E - Design Development ________________ 7. Design Development Reviewed by AIA Staff Joseph G. Burns, FAIA,
RIBA, PE, CEng
2F - Construction Documents ________________ 8. Construction Documents Reviewed by AIA Staff Marilys R. Nepomechie,
AIA, NCARB and Michael
J. Poynton, AIA
2G - Material Selection &
Specifcation
________________ 9. Specifcations and
Materials Research
Suzanna Wight, AIA Garry Betts, AIA, FCSI,
CCS
Merged with 2F ________________ 10. Document Checking
and Coordination
Reviewed by AIA Staff Grant Armann Simpson,
FAIA
3A - Bidding & Contract
Negotiation
________________ 11. Bidding and Contract
Negotiation
Brian K. Schermer,
PhD, RA and Robert
Greenstreet, Int. Assoc.
AIA, RIBA and Reviewed
by AIA Staff
Brian K. Schermer,
PhD, RA and Robert
Greenstreet, Int. Assoc.
AIA, RIBA
3B - Construction
Administration
________________ 12. Construction Phase-
Offce
James B. Atkins, FAIA James B. Atkins, FAIA
3C - Construction Phase:
Observation
________________ 13. Construction Phase-
Observation
James B. Atkins, FAIA James B. Atkins, FAIA
3D - General Project
Management
________________ 14. Project Management Grant Armann Simpson,
FAIA
Andy Pressman
4A - Business Operations ________________ 15. Offce Management Glenn W. Birx, AIA Glenn W. Birx, AIA
4B - Leadership & Service ________________ 16. Professional and
Community Service
Gary Demele, AIA,
NCARB
Gary E. Demele, AIA,
NCARB and Maureen
Steele Bellows, RA
Design and layout of 2012 interactive PDF format: Ashley Respecki, Assoc. AIA, & Kevin A. Fitzgerald, AIA.
Introduction
x
Reviewers and Content Experts
Michael Alford, Assoc. AIA Karol Kaiser
Larry Asaro, AIA G. Daniel Knight, Jr., AIA
F. Michael Ayles, AIA Shannon Kraus, AIA
Scott Busby, AIA Lexa Coury Lewis
Marjorie Callahan Rosemary McGonigal
John Cary, Assoc. AIA William Miller, FAIA
Kyle Davy Ed Mojica, AIA
Raymond Dehn, Assoc. AIA Erin Murphy, AIA
Steve Dent Kurt Neubeck
Duo Dickensen Wendy Ornelas, FAIA
Betsey Dougherty, FAIA Chad Polk, AIA
Bill DuBois Kate Randolph, IIDA
Blake Elderkin, AIA Chuck Redmon, FAIA
Brenda Lee Emerick Ashley Respecki, Assoc. AIA
Kevin Fitzgerald, AIA Brian Roeder, AIA
Steve Fiskum Nick Serfass, AIA
Stephanie Garner, AIA Scott Simpson, FAIA
Paul Guggenberger Holli Smith, Assoc. AIA
David Halivand Adrianne Steichen, Assoc AIA
Denis A. Henmi, AIA Alan Stover
Jerry W. Herndon Brett Taylor, AIA
David Hinson, AIA Karol Williams
Jay Isenberg Dan Wheeler
Eric Jenkins Tim White
Nancy Jenner Douglas Whiteaker, Assoc. AIA
Peter H. Jennings, AIA Jessica Zlotogura, AIA

Introduction
xi
Emerging Professionals Companion Advisory Committee (2004)
Laura Lee, FAIA
John McRae, FAIA
Jason Pettigrew, Assoc., AIA
Andy Pressman, FAIA
Rob Rosenfeld, Assoc., AIA
Kenneth Schwartz, FAIA
RK Stewart, FAIA
Jean Valence, FSMPS
Suzanna Wight, AIA
The EPC is dedicated to Jason Pettigrew, Assoc. AIA (1974-2004). He engaged the Emerging Professionals
Companion Advisory Committee with a passion for the interns journey. Jasons legacy continues to be an
inspiration, reminding us that we stand on the shoulders of giants.
Introduction
xii
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1A
Programming
activities - core*
introduction
16
17
18
19
20
21
22
23
24
25
26
27
10
11
12
13
14
15
10
2
Program Cuisine - Dining Out
Programming a New Community Center
Post-Occupancy Evaluation - Building Users
Post-Occupancy Evaluation - Function Change
New Facility - Community Center
Development of an Architectural Program
*A maximum of 40 hours of core credit may be earned in this experience area.
narrative 3
activities - elective 16
Assessment of Client Needs
Project Kick-Off Meeting
Impact of Code & Site Restrictions on
Project Scope
New Facility - Childrens Museum
New Facility - Motorcycle Dealer
New Facility - Library
Law Ofce Addition to a 3,000 GSF Building
A Dynamometer Room for a Motorcycle
Dealership
Hospital Layout - Focus on Patient Experience
Addition to a University Science Facility
Partnering with a Contractor: Dealing with a
Project Program That Is Over Budget
Project Where There Is an Active Neighborhood
Association (Historic District)
exhibits 28
28
29
30
31
31
31
32
34
Exhibit 1A-1
Exhibit 1A-2
Exhibit 1A-3
Exhibit 1A-4
Exhibit 1A-5
Exhibit 1A-6
Exhibit 1A-7
Exhibit 1A-8
Programming
2
1A
Download the current Intern
Development Program (IDP)
guidelines at www.ncarb.
org/Experience-Through-
Internships.aspx.
The American Institute of
Architects. Demkin, Joseph A.,
ed. The Architects Handbook of
Professional Practice. 14th ed.
Hoboken: John Wiley & Sons,
2008.
Chapter 6.2 -
Communicating with
Clients
Chapter 6.3 - Building
Client Relationships
Chapter 12.1-
Programming

New York: John Wiley & Sons,
2001.
Chapter 1.2 -
Understanding Client
Values
Chapter 2.3 - Managing
Change in Client Facilities
Chapter 5.1 - Meeting
Client Needs
Chapter 17.1 -
Programming
Architects, The Architecture
Students Handbook of
2009.
Chapter 6.1 - Defning
Project Services
Chapter 6.3 -
Programming
resources Introduction
By completing the activities in this chapter, you will gain an understanding
of the principles involved in programming. The following information is
taken from the NCARB IDP Guidelines:
Programming
Minimum Programming Experience: 80 hours
Defnition: The process of discovering the owner/clients requirement and
desires for a project and setting them down in written, numerical, and
graphic form.
Tasks
At the completion of your internship, you should be able to:
Assess the clients needs, opportunities, and constraints
Develop and/or review a program with the client
Develop a vision and goals for the project
Develop or review clients design standards and guidelines
Establish sustainability goals for the project
Defne the scope of the pre-design services
Knowledge Of/Skill In
Architectural programming including working with clients to defne
their needs
Facilities planning (e.g., building use; building conditions; systems
conditions; infrastructure; space allocation)
Space planning
Sustainable design
Contract negotiation (e.g., fees, scope, schedules)
Oral and written communications
Critical thinking (e.g., analysis, synthesis, and evaluation of
information)
Interpersonal skills (e.g., listening, diplomacy, responsiveness)
Team building, leadership, participation
Creativity and vision

Programming
3
1A
Narrative
The programmer serves as a translator between the owner(s) and users, who generally are lay people
regarding architecture, and the architects who will design a project. Put another way, the programmer
separates the signal from the noise, culling crucial data from all the information available about a project. In
particular, the programmer helps owners, users, and designers defne the scope of work to be solved by the
design effort.
How Does Programming Fit Into The Design Delivery Process?
Programming takes place before any design work begins. The level of detail included in the program should
be suited to the designers task.
For example, programming for a master site plan project should address issues such as the overall image
of the facility, its orientation, the gross square footage of built space, the impact of topography and the
surrounding context, circulation patterns, parking, utility service to the site, the relationship of one building to
another, and expected changes through time.
The program should address issues specifc to the building and the site, such as the its scale, image, and
functions; the climate; the interrelationship of interior spaces; the fow of goods and services through the
building; and the affordability of the project.
For the space planning, interior design, or design development level of a building project, the program
provides criteria for interior layouts, selection of furnishings, special lighting and power supply, detailed
storage needs, and other issues at that level of detail.
Why Do Architectural Programming?
When executed well, the programming process
makes it possible for the architect to focus the
design effort on optimizing the form and plan of
the project. Redesigning a project over and over
as the requirements emerge, called programming
by design, is very ineffcient and takes away
time that could be spent making a design more
technically effective, functional, and beautiful.
(Vitruviuss defnition of architecture: frmness,
commodity, and delight.)
The programming phase is the best time to
receive input from a wide variety of project
stakeholders. Everyone who will be affected by
the design should be given an opportunity to
participate in programming. To ensure all relevant
data is collected, the programmer has to be
diligent in arranging for early input.
If our artistic rhythmsa resultare to be signifcant,
our prior meditationsthe causemust be so.
Louis H. Sullivan
Programming
4
1A
resources
Download the current Architect
Registration Examination (ARE)
guidelines at www.ncarb.org/
ARE.aspx.
Cherry, Edith. Programming
for Design: From Theory to
Practice. New York: John Wiley
& Sons, 1999.
Who Should Develop The Architectural Program?
Who the project stakeholders are depends on the type of project. For
a small project in which the client is a sole proprietor, the client and the
architect may be the only members of the programming team. For public
sector projects, such as schools or libraries, a building committee can
be set up involving a major decision-maker representing the client (the
superintendent of schools, a school principal, or head librarian) and
representatives of major groups affected by the project (teachers, parents,
students for a school or staff, library patrons, and neighbors of a library).
For a corporate client, representatives of each major department may
contribute to the programming process.
Often the client is in the best position to recommend a list of participants/
stakeholders. The programmer should request the participation of those
who will be affected by the design. The more you learn from others who
are affected by the design, the better the design will be able to serve those
who use it.
It should be made clear at the beginning of the work if the programming
committee has authority to approve the program or only to recommend
approval to a higher authority. It is also important for the committee
members to know how they will make their decisions. Will it be by
consensus or majority vote, or will the boss dictate the end result?
How Is A Program Developed?
The programming process can be organized in many ways but, regardless
of the format, several general topics must be addressed in order to achieve
a comprehensive (qualitative and quantitative) program. There are six
steps associated with the programming process:
1. Research the project type.
What is the social, cultural, historical, and economic context of the
facility type and the specifc project?
2. Identify project goals.
What do the clients (owners, users, general public) want the project
to accomplish? What are the project goals?
3. Gather and analyze information.
What information is needed to accomplish these goals?
4. Diagram processes and relationships.
How will the goals be accomplished, given the information gathered
in Step 3?
5. Establish quantitative requirements.
What are the quantitative requirements; square footages, budget,
schedule?
6. Synthesize the program.
What does all of the above mean in terms of the designers task?
How is the architectural program synthesized?
Each of these steps is described briefy in the following section on the
programming process. The activities included in this chapter address the
steps as well.
Programming
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Steps in the Programming Process
No defnitive process has been agreed upon by architects and others involved in programming for
architectural projects. However, each programming effort will cover the steps outlined here:
Step 1: Research the project type.
Every project type has a characteristic history, vocabulary, and set of spatial relationships. The programmer
has to be familiar with these aspects of the project type and be able to communicate them to the owners,
users, and design architects. Sources of information include architectural literature, information produced by
associations related to the functions of the project type, case studies, and post occupancy evaluations. For
example, when developing a program for a fre station, you could search for articles online on that building
type, study plans of fre stations to see what space types are included and how they are related, review
literature from an association of frefghters, and visit local fre stations.
Step 2: Identify project goals.
Working with the project committee, establish the major goals of the projectthe big ideas. Do not get
involved at this point with details that can be addressed later.
Step 3: Gather and analyze information.
Using the project goals as a guide, gather information on activities, schedules, numbers of people, site
characteristics, climate, zoning, space criteria, code information, and user profles. Look for information
relevant to the project type such as broad code issues that will affect the design task and the space
requirements for each function (e.g., 25 square feet/student is a common space criteria for sizing
classrooms).
Step 4: Diagram processes and relationships.
Given the information available, how can design strategies be created to reach the project goals? Take
the information developed in Step 3 and place it in diagrammatic form to depict the processes and
relationships the fnished project must accommodate. Although not solutions themselves, these diagrams
help to conceptualize design solutions and are abstract enough to be addressed by any number of physical
solutions.
Record document
is generated by a
State Agency
Record is delievered
to Record Center
Record is checked
by a Records
Analysis
and Cataloged
Record is sent
to warehouse to be
shelved
Storekeepers
designated shelf
space for record,
enter location into
computer and shelf
record.
When destruction
date approaches
agency is notifed
and verifcation is
received.
Records Analysis
approve record for
destruction
Archives review
Record is
destroyed
Record is put
in archives
Record can be
used in reading room
for authorized
personel
Record can be
retrieved by agency
and returned
Programming
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resources
Hershberger, Robert G.
Architectural Programming and
Predesign Manager. New York:
McGraw-Hill, 1999.
Flowcharts and relationship diagrams (often called bubble diagrams) are
two of the ways you can illustrate information about the clients needs for a
project. For example, on page 5 is a sample fowchart for materials housed
in a state records center. The idea of a fowchart is to show how goods,
services, visitors, staff, information, and other important components of an
organization will operate in a new facility. A sample relationship diagram for
a university library is shown below. This type of diagram is a step toward
laying out the spaces in a facility design.
Step 5: Establish quantitative requirements.
This step determines how big a facility will be, what it will cost, and when it
will be completed.
The size of a facility is determined by using the space criteria developed in
Step 3 to allocate space for all the activities identifed in that step. Space
requirements for the identifed activities are called the net assignable
square footage (NASF), net because this space is not the total amount
required for the project and assignable because the area is assigned
to an activity. The total area of the building is called the gross square
footage (GSF). The difference between the GSF and the NASF is the
space used for common areas such as corridors, public rest rooms,
and open but covered space, as well as general support areas, which
includes mechanical and electrical equipment space, custodial closets,
Programming
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Take brief notes while reading the narrative and list key resources you used to complete the activities. Note
discussion outcomes from meetings with your supervisor, mentor, or consultants. When fnalizing the activity
documentation (PDF), include your notes and the Emerging Professionals Companion activity description.
notes
and wall thicknesses. The GSF is determined by assuming that the NASF is a percentage of the GSF. The
percentage is determined by experience. For example, in a middle school classroom building, the NASF
is expected to range between 64 and 68 percent of the GSF. See Exhibit 1A-1, 1A-2, and 1A-3 for sample
space allocations.
Establishing the project budget is often a balancing act between the budget goals and the needs and
desires of the client. The diagram on page 6 indicates that quantity and quality are in inverse proportion
to each other. For a specifc budget goal, a client can have a small amount of high-quality space, a large
amount of low-quality space, or something in between. The program must fnd a balance acceptable to the
client, which often requires several sessions with the project committee.
The importance of completing this part of the programming exercise cannot be overstated. The objective
of the programming work is to defne a meaningful scope of work for the design. If the size of the project
and the budget are not reconciled, the scope of work will not be realistic. To proceed with design without a
realistic scope of work is to invite serious problems later in the project.
Time, as refected in the project schedule and completion date, also affects project cost. Therefore, cost
estimates are adjusted to allow for infation. Specifcally, they frequently are infated to the midpoint of
construction because contractors allow for infation during construction in their bids. If a project is delayed,
the original budget may have to be increased or the project size decreased.
Step 6: Synthesize the program.
In the end, the program must summarize the information and identify the major issues revealed by the
programming effort. This step is the most diffcult and is best conducted with the designers input. (Note:
Sometimes the programmer and the designer are the same person, and sometimes not.) The questions to
be addressed include these: What are the major design issues? What are the major challenges to achieving
the project goals? The purpose of the completed program is to focus the design effort and make it as
effective as possible. This step also serves to educate the client about the major issues.
Step 7: Document the program.
When documenting an architectural program, value brevity over inclusiveness. The focus of the program
document should be the defnition of the scope of the work in qualitative and quantitative respects. If it is a
program for schematic design of a building, the program should relate the criteria for the schematic design.
It does not need to have information on location of electrical outlets and other details that can be resolved
in design development. Details that have been discussed should be noted elsewhere, and the notes
addressed in later project phases.
Programming
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resources

William Pea is often referred
to as the father of architectural
programming.
Pea, William, and Steven
Parshall. Problem Seeking:
An Architectural Programming
Primer. New York: John Wiley &
Sons, 2001.
The Building Owners and
Managers Association
International (BOMA) has
set standards for measuring
buildings, including: offce
buildings, multi-unit residential,
retail, and other building
typologies. Learn more about
these standards at www.boma.
org/MeasurementStandards.
Skills and Tools For Architectural Programming
An architectural programmer needs good research skills. The programmer
must answer questions such as: What information do we need? Where is
that information? How much information is enough? What do we do if the
information we have (e.g., projections) is unreliable?
Until about two decades ago, fnding information could be a major problem.
Today, with the Internet as a major research tool, information is easy to
fnd. In fact, information overload can be a problem. In addition, since
credentials are not required to place information on the Internet, the
individual sifting through the quantities of available data must assess its
reliability.
The mere gathering of data should not be considered a substitute for
thinking, any more than the gathering of seeds or fruit can be a substitute
for nourishment.
Anonymous
Sometimes the client is the best source for project data. Even if such client
information is fawed, it is the book they use, value, and work with, and
it will help you see the world through the clients eyes. However, you are
obligated to inform clients about alternatives, as well. Architects always
have the dual obligation of learning from and informing the client.
Interviewing
A programmer is like a cultural anthropologist trying to fnd out what makes
a subculture (your clients) tick. A client organization has a governing
system, a value system, an economic system, and folklore. Familiarizing
yourself with this subculture will help your programming effort. To be a
good interviewer, you need to:
Plan your questions ahead of time and give the client a copy of
them before the interview if possible.
Be prepared to put your questions on the bottom of the pile while
the clients tell you what they want you to know. Then get your list
out and have your turn.
Find a good way to document what you are told. You need to feed
this information back to the client and your colleagues in the offce.
Be diplomatic if someone gives you information you do not need.
Often, such information provides useful insights.
Be an active listener.
[T]o listen is to surrender self-thoughts, impinging awareness, and judgments;
to listen is to admit a stance, a vantage, a world other than our own.
Sven Birkerts
Documentation Skills
The programmer will want to document interviews used to gather
information, as well as decisions made during the programming process.
The programmer also must be able to compile the program for the owners
approval and for the use of the design architects. Whenever possible,
diagrams and room layouts should be sketched to assist the design architect.
Programming
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Analytical Skills
Before bringing a new person onto his programming team, William Pea would ask them, Are you
numerical? To be a good programmer, you have to like people frst and diagrams and numbers next.
Todays computer spreadsheet programs, like Excel, make managing the numbers much easier, making
it possible to try more scenarios. In attempting to reconcile an owners space desires and budget, a
programmer can test area (gross square footage) against quality (cost/square foot) at various levels. Most
importantly, a programmer must be able to think clearly. This can be diffcult, as we each have a personal
thinking style that may not be shared by the rest of the world. We have to be analysts some of the time;
idealists some of the time; synthesizers some of the time; and pragmatists some of the time. We have to be
versatile thinkers, calling on the appropriate thinking style at the proper time.
A programmer also has to think critically, examining ideas as objectively as possible. This is helped by
asking questions such as these: Where does this idea ft into the larger scheme of things? How does the
value system of the person who suggested this idea affect its meaning? Why did that person say what he
said? Why do I keep holding on to this idea when it seems to be weakly supported? How can we reconcile
ideas that on the surface seem to be competing?
Finally, the architectural programmer should enjoy synthesizing, or bringing together, ideas. The programmer
brings the client, user, and the designer together to agree on a scope of work, and in the process must
synthesize ideas as diverse as a climate analysis and a strategy for achieving an image the client has in
mind. The programmer provides a service that helps make the design effort more effective and focused, so
that creativity has a chance to fourish in the design.
Written by Edith Cherry, FAIA
Edith Cherry is a partner in Cherry/See Architects in Albuquerque, New Mexico. She is professor emerita of architecture at the
University of New Mexico, where she taught design and programming for 28 years. She is the author of Programming for Design,
from Theory to Practice.
notes
10
1A
Programming
Program Cuisine - Dining Out
Supplemental Experience for eight (8) Core IDP Hours
Many people go out to dinner to celebrate a special occasion. Typically the restaurant is chosen based on
the type of celebration. Most restaurants have a similar basic program, but it is the additional services and
function spaces provided that make them unique and more enjoyable for certain events.
Compare the following programs: a pizza facility to host a childs birthday party, a restaurant you would
take your sweetheart to on Valentines Day, and a place suitable for a happy hour with coworkers.
Write a report describing what makes each of these places appropriate to celebrate the respective event.
Assume that each place is located in the same town, and they have the same 3,000 square foot layout.
Each restaurant has a dining room that is 60% of the total area and the kitchen, storage, and other areas
make up the remaining 40%.
In your report, answer the following:
How many square feet per person is necessary for the type of restaurant?
What additions would be needed to make each space unique to its purpose?
How are server and guests considered in the layout?
Produce plan seating and service diagrams to accompany the written report to explain your solutions.
Share your work with your IDP supervisor or mentor and make suggested changes. Document the fnal
version as a PDF.
Activity - Core
11
1A
Programming
Programming a New Community Center
You are programming a community center for a city with a population of 500,000 that has ffteen other
community centers. The activities vary from center to center. You analyzed the square footage for three
recently built or expanded centers. Additionally, a budget review has shown that the construction cost allows
for a total gross area of 20,000 square feet.
Data on the other community centers are provided in Exhibits 1A-1, 1A-2, and 1A-3.
For the community center you are programming, develop a draft list of spaces and sizes, totaling 20,000
gross square feet (GSF). From the information shown in the exhibits, decide on an area multiplier to
convert total net assignable square feet (NASF) to total gross square feet.
Write a report describing why you made space allocations and program decisions that are on your list. If a
5,000 GSF addition was part of phase two, what programmatic functions would be housed in that space?
version as a PDF.
Activity - Core
Programming
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Post-Occupancy Evaluation - Building Users
Interviewing clients before the design process starts is an essential part of the programming process.
Usually this is best accomplished one-on-one, without asking a client to fll out a questionnaire. However,
when buildings include a large variety of users/occupants, a survey is an acceptable tool. Similarly,
interviewing the building users after the project is completed and they have occupied it for several months is
also important.
Select two projects of similar building types completed by your frm or your mentors frm less than two
years ago. Create a questionnaire for the occupants to complete. Write a summary of feedback you expect
to receive from the occupants. Compare your summary to the post occupancy evaluations, if available.
version as a PDF.
Activity - Core
Programming
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Post-Occupancy Evaluation - Function Change
A post occupancy evaluation (POE) is used determine users level of satisfaction with a buildings design
and function after at least a year of occupancy. The purpose of this activity is to consider how building
functions change over time. This information can be useful in determining the degree of fexibility that should
be designed into a project.
Select a project designed by your offce or a mentors offce that has been occupied for 5 to 7 years. If
a documented program exists, review it. Review the construction documents to familiarize yourself with
changes that may have occurred between the programming and construction documentation.
Make arrangements to visit the building and interview at least three people who have used the building for
two years or more.
If the organization has a facility manager, be sure to interview him or her. Ask what changes have been
requested and executed. Are there new needs for the current staff?
Write a report (with appropriate graphs or diagrams) on what design elements have proven successful and
what aspects resulted in requested or executed change. Try to determine what caused changes. Did the
users intentions change? Did the users operations require adjustments to the building? Did the designers
miss something in the program? Did the programmer miss something? Was the budget suffcient to
accomplish the original intentions? What new programmatic requirements are needed with the current
staff?
version as a PDF.
Activity - Core
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1A
Programming
New Facility - Community Center
In this scenario, you are programming a new community center that will replace an older building. In initial
conversations with the director of community services, you learn that you are the second frm taking on this
task. Apparently the pro-ftness staff thinks the questionnaire was selectively distributed because they did
not agree with the results.
Through further discussion you discover factions within the community center staff. One faction supports the
use of the center for weight traininga free gym of sorts. Another faction feels the clientele of a free gym
would not be a good infuence on adolescents. This group prefers ftness training, aerobics, and spinning
bicycle classes. How could the architect reconcile the debate?
Research community centers and write a report (maximum 250 words) that outlines your programmatic
recommendations, and include a programming bubble diagram. In addition, prepare a questionnaire that is
relevant to multiple users, to be distributed to all members.
version as a PDF.
Activity - Core
Programming
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1A
Development of an Architectural Program
Select a project designed by your frm or a mentors frm that has recently been occupied. If the project
program was documented prior to design (as is recommended by all programmers), do not refer to that
document until after completion of this exercise. Visit the facility and examine the plans and other drawings.
Review the information in the programming narrative, the programming activities, and the references
referred to in those sources.
Reconstruct components of the architectural program as follows:
Develop a set of goals that the completed project addressed.
Develop a relationship diagram for the project.
Calculate the square footage from the foor plan, and determine the effciency ratio of the plan.
Interview the project designer and determine the major design issues that were resolved. Relate
these issues to the other program information. Determine what the role of the client played in the
development of the program and the formulation of the design.
If there was a documented program, compare the information you develop to the documented
program prepared for the project. Explain the differences.
Determine how programming is done in your offce or your mentors offce today. Is the process
different from the process used on your retroactive program?
version as a PDF.
Activity - Core
Programming
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Assessment of Client Needs
Supplemental Experience for eight (8) Elective IDP Hours
In this scenario, a large corporation has hired your frm to design a new offce building. You are the
programmer for the project. The site is a lovely, located in a southwestern city in the U.S., where water is a
precious resource. However, the city has not yet enacted any ordinances that limit water use.
The chief executive offcer (CEO) has envisioned a sparkling white building on a green lawn. He is not from
the Southwest and misses the greenery of other parts of the country. Some of the management directors are
more sensitive to the water issues of the area.
On many issues, the programmer should act as a neutral party. Create a questionnaire that will pose
unbiased questions to the entire management team assessing their functional needs, as well as meeting
aesthetic desires. Include three offce building precedents with differing strategies. Use diplomatic
language.
version as a PDF.
Activity - Elective
Programming
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1A
Project Kick-Off Meeting
Initial client contact and interviews are key to a successful programming phase. Often you will fnd clients
do not know what they want the frst time around. A kick-off meeting is defned as the frst meeting with
the client and project team held in order to make introductions and discuss roles and responsibilities of
stakeholders. Multiple meetings and conference calls may be necessary before programming can begin.
Ask to attend a project kick off meeting with your supervisor or IDP mentor for a new project. Be sure to
take thoughtful notes, including who attended the meeting and why they are a project stakeholder. What
materials or information was shared with the client? Write a report that summarizes your interpretation of
client needs. Use any graphs or tables necessary to communicate your fndings. Meet with your supervisor
or mentor (or with whom you attended the meeting) and compare notes.
version as a PDF.
Activity - Elective
Programming
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1A
Impact of Code & Site Restrictions on Project Scope
Often project scope is affected by code and site restrictions. Codes may limit the number of foors and
the size of the footprint of a building. Soil conditions may limit the building to one area of the lot because
soil conditions are poor everywhere else or a portion of the site may be within a food plain. Often these
variables affect programmatic elements of a building.
Select a small recent project that was signifcantly impacted by code and site restrictions. Reference the
applicable local building code of the project you have chosen. If the restrictions were lifted, or a variance
approved, what programmatic changes would you recommend? Write a narrative describing the new
building based on your new assessment. Include citations from the applicable codes or ordinances.
version as a PDF.
Activity - Elective
Programming
19
1A
New Facility - Childrens Museum
The Happy Valley Childrens Museum has been operating for more than eight years in found space at a
local shopping center. The museum is very popular, with an active board of directors ready to raise funds for
a permanent home.
In this scenario, your frm is asked to design a new facility for the Happy Valley Childrens Museum, with you
as programmer. You asked the museum director for current literature and brochures on the museum, as well
as the last eight years of annual reports. Exhibits 1A-4, 1A-5, and 1A-6 are excerpts from those materials.
Review the exhibits listed above and develop a draft set of goals for the project. It may help to have a
list of organizational goals and a separate list of facility goals that implement them. The museum director
recommends four considerations:
Function (activities that require space)
Form (aesthetics, psychological effect)
Economy (attitude toward resources, amount of budget)
Time (move-in date, expected changes over time)
Keep your list of goals concise. Take material that is a subset of a larger, more important goal out of this
list, and move it to the part of the program that delineates strategies for accomplishing that goal. Make
a list of questions you want to ask to address goals you think need to be added. For a real project, you
would take this draft to the frst building committee meeting to begin the discussion on goals.
A few days after you draft the goals, review them. Can you boil them down more? Are some of the ideas
so closely related they could be combined? Or conversely, does one of the statements cover too many
ideas? Make changes to your goals as necessary.
Once you have completed your goals, write a brief report (maximum 250 words) to the building committee.
Be sure to explain the function, form, economy, and time.
version as a PDF.
Activity - Elective
Programming
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1A
New Facility - Motorcycle Dealer
In this scenario, a popular motorcycle dealer has outgrown the tire store where he frst began his business.
Over the last ten years he has increased his revenue, number of customers, and expanded services. He has
been very successful and wants a new building.
Determine the program for the project. Interviews have been held with the staff. As part of the
programming, you will interpret the staff interviews (Exhibit 1A-7) and develop a fowchart showing how a
motorcycle moves through the facility and a relationship (bubble) diagram for spaces needed in the new
facility.
After making the diagrams, write a descriptive narrative (maximum 250 words). Do you have all the
information needed for each diagram? What else would you ask the client?
version as a PDF.
Activity - Elective
Programming
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1A
New Facility - Library
In this scenario, your community has decided to build a new library to replace the current outdated and
ineffcient facility. The community has decided to come to you for design assistance. As an architect that
specializes in library design and a founder of a popular book club, you are fattered. The client has decided
to give you freedom to develope the program as long as they agree with the direction of your ideas. But you
realize that documenting client approval is important.
Research the program of a local public library and use this program as the older library you will replace.
Through sketch quality bubble diagrams and a written narrative, communicate to the client your initial
ideas for a new 50,000 gross square foot (GSF) library.
version as a PDF.
Activity - Elective
Programming
22
1A
Law Ofce Addition to a 3,000 GSF Building
In this scenario, you are programming an addition to an existing 3,000 gross square foot (GSF) building.
The existing building will be remodeled. An additional 2,000 gross square feet (GSF) will constitute the
new quarters for an offce of 20-25 lawyers. The original building was built in the late 1940s and was used
as optometrists offces. The long narrow shape of these offces will not be suitable for the lawyers, so the
interior of the existing building will have to be gutted. You do all the interviews and attend all the user group
meetings, and now you have to create a program for this building.
Prepare a report to the clients including a detailed scope of work, price per square foot (based on building
requirements) and a list of design objectives that will be necessary to renovate the current building with
the new client expectations. Interview a senior person in your frm or a mentors frm to fnd out what types
of unforeseen conditions may arise during construction that may impact the program. Include a summary
of fndings in a client report, with any appropriate diagrams. Include what you believe to be the appropriate
contingency for this project.
version as a PDF.
Activity - Elective
Programming
23
1A
A Dynamometer Room for a Motorcycle Dealership
In this scenario, Big Boss wants to add a dynamometer room to his dealership. He says that when new
bikes with fuel injection get tuned, the mechanics need to run them to be sure everything is working
right. They have been placing a laptop with the testing program on the handlebars and running the bikes
down the interstate at 80 mph to test the tune up. Big Boss doesnt think that is a good idea. His workers
compensation insurance carrier agrees.
One of the chief mechanics, Jeff Smith, has run dynos in previous jobs and is the main man to operate the
new addition. As you talk to Jeff about how this space should work, he tells you that the customers want to
watch their bikes being tested. The dyno is usually sunk in the foor and the bike turns a big drum. The bike
has to be running. The force on the drum and measurements on the bike controls indicate what is going on
in the bike. He also points out that some of the bikes are air-cooled. So, we have to have a big fan blowing
on the bike while its running. Plus, we dont want to be breathing all that exhaust.
Research the applicable building code to see occupancy type for a dyno room. Big Boss has a total of 30
employees. Only the 12 mechanics will be authorized to use the dyno.
Write a report detailing the programmatic requirements for a dyno room. Include major elements of
the design (with estimated square footages, adjacencies) that will have a large cost impact. List and
explain the program requirements to protect the customers and those needed to protect the employees.
Remember to include acoustical and exhaust requirements in your report. Synthesize the program issues
succinctly.
version as a PDF.
Activity - Elective
Programming
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1A
Hospital Layout - Focus on Patient Experience
In this scenario, one lazy summer day, Johnny decides to climb a tall tree. Unfortunately he is not a
good climber and quickly falls out of the tree, breaking his arm and leg. His mom was nearby and calls
an ambulance which quickly arrives and takes him to the hospital. After running initial tests the doctor
determines that Johnny needs routine surgery which requires a night in the hospital. The next day Johnny is
released and returns home to recuperate.
Using the layout of a local hospital, create a diagram of Johnnys patient experience in the hospital
showing the medical services he receives from the time he enters until his departure the next day.
Sequentially list all programmatic functions (with basic defnitions, adjacencies and approximate square
footages) that were required to make Johnny the patient better. Estimate how many hospital employees
came into contact with the patient.
version as a PDF.
Activity - Elective
Programming
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1A
Addition to a University Science Facility
In this scenario, you are programming an addition to a science facility at Tankersly State University. The
addition will house a new microbiology division in the biology department. The department uses two types
of spaces: lecture/seminar rooms and labs. The enrollment data obtained from the university registrar is
described in Exhibit 1A-8, column A. The university schedules courses in 39 time slots per week. Labs meet
in four hour sessions. Lecture/seminars meet in 1-hour (MWF) or 1.5-hour (TTH) sessions.
University policy schedules labs at no more than 50% utilization and lecture/seminars at no more than 75%
utilization. So, for example, the university is willing to have a lecture/seminar room be empty 25% of the time
so the room can be used for meetings and other purposes. Labs are scheduled at 50% due to the diffculty
of scheduling four-hour sessions and the required prep time between sessions.
Using the information provided above, determine how many of each type of teaching space (lecture/
seminar and lab) is needed to accommodate the microbiology program at Tankersly. Place your results in
the last three columns of Exhibit 1A-8. It may be diffcult to achieve the desired percentage of utilization.
If you propose one more classroom or lab, the utilization may fall below the desired percentage; propose
one less, and the classroom or lab will be too heavily scheduled. Experiment with assuming one or more
courses can be taught at different times in the same classroom or lab, but do not mix lecture/seminar and
labs. These types of classes cannot be taught in the same rooms because equipment needs are very
different. Can you come closer to the desired utilizations?
Write a report summarizing your fndings. Include a copy of the Exhibit 1A-8 chart showing your
recommended occupancy sequence. Include recommendations of support spaces needed in the addition.
Provide diagrams when necessary to illustrate required adjacencies.
version as a PDF.
Activity - Elective
Programming
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1A
Partnering with a Contractor: Dealing with a Project Program that is Over Budget
In this scenario, your offce wishes to pursue a design-build project with a contractor who is trusted by the
partners in the offce. The client, who knows both your frm and the contractor, is on board and wants to
move on the project as soon as possible.
You all discuss the quality-versus-quantity issue and agree on a cost per square foot for the building. A
contract is signed with all parties for a fxed construction price.
When programming begins, everyone understands that, if the budget remains unchanged, the agreed upon
cost per square foot implies a limit on the gross square footage of the project. However, as programming
progresses, the owner has a hard time agreeing to reductions in the response to his needs that are needed
to stay within the budget. Scope creep is at work. A little more space is added here; a little more there. You
keep adjusting your spreadsheet, illustrating that the bottom line is going up and up. The contractor thinks he
can be very effcient.
Finally, everyone agrees that the project program is way over budget. The project has been delayed while
these efforts were being made. Soon, the schedule will be the governing factor, since the owners lease for
the existing location ends on a fxed date. All parties are getting nervous and defensive.
Write a narrative detailing how to prevent this situation as the programmer. Could there have been an
agreement made in the beginning to establish the rules for programming? Explain and include any
limitations and criteria that could have been set. Detail actions to take and the feasibility of this project.
Create a questionnaire with that clearly addresses the conclusions in your narrative and that can be used
to prevent this from happening in the future.
version as a PDF.
Activity - Elective
Programming
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Project Where There is an Active Neighborhood Association (Historic District)
In this scenario, your client is a developer building an infll project in a historic district on two undeveloped
lots. In order to develop a proftable project on the expensive lots, the developer is proposing multifamily
housing that is denser than the surrounding neighborhood. The zoning on the site allows for development at
the density the developer desires.
From experience, you are aware the historic district has an active neighborhood association. You propose
to your client that you meet with the neighborhood association to discuss the project and listen to their
concerns.
Prepare a questionnaire to distribute at the next neighborhood association meeting to allow you to
establish the scope, design objectives and limitations of the publics needs for the proposed project.
Knowing this project will most likely produce opposing points of view, describe in a narrative a
programming technique to use with the developer and neighborhood association together so they feel they
have participated in the design. Review and cite a local historic district code in your questionaire, and if
needed, include appropriate diagrams or graphics.
version as a PDF.
Activity - Elective
Programming
28
1A
Exhibit 1A-1

Back to Narrative
Back to Programming a New Community Center
Programming
29
1A
Exhibit 1A-2
Back to Narrative
Programming
30
1A
Exhibit 1A-3
Back to Narrative
Programming
31
1A
Exhibit 1A-4
From a Happy Valley Childrens Museums general publicity brochure:
The Happy Valley Childrens Museum celebrates the child in all of us. We believe that learning is fun and
fun is learning. Through play, we encourage children to expand their own learning. We accomplish these
objectives by providing an environment that allows for exploration and interaction with that environment
and the people, young and old, who are using it.
There are times when children hope to be stimulated by the environment. There are also times when
they hope to be the stimulus. We offer opportunities to do both. The same reciprocity occurs between
children and our staff.
We seek to be the place where the entire community comes to learn and play.
Exhibit 1A-5
From the most recent annual report:
The following activities that took place this year illustrate the variety of experiences children have at the
Happy Valley Childrens Museum:
A ten-year-old played chimes in the garden.
A class of third graders made costumes and put on a play they wrote.
First graders built a playhouse out of cardboard boxes.
A teenage intern conducted a workshop for intern candidates.
A workshop was held for local third grade teachers.
Children gave a musical concert in the amphitheater.
The Museum on Wheels visited 18 schools.
Statistics:
64,000 individuals visited the museum during the year.
8,020 school children visited from local schools.
220 volunteers helped maintain exhibits, designed and built new exhibits, assisted on the exhibit
foor, cleaned the museum, and helped in hundreds of other ways.
10,250 new members joined the museum.
Back to New Facility - Childrens Museum
Exhibit 1A-6
From the collection of annual reports:
For the last eight years, the following visitor statistics emerged, beginning with the frst year of operation:
6,000 20,000
8,000 32,000
9,000 40,000
12,000 64,000
The annual reports indicate that the exhibit foor and the Birthday Room are rented for private parties
as a fund-raising activity.
Programming
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1A
Chucky, Warehouse Manager: Well, we get the bikes by semi-tractor trailer. You have to watch the
drivers, cause none of them can back up a truck. Half the time they run over the curb or come close to
wreckin somethin. Bikes come crated in the worst to get off crates you ever saw. We use that hyster
there to get them off the truck and into the warehouse. Course, theres all kind of paperwork to do when
they come to keep some truck jockey from ending up with a new bike by accident. Then, were left with
all this wood from the crates.
Antonio, Bike Prep: Yeah, see, the bikes dont get here ready to ride. No way. My guys have to put on
the bars and a bunch of other stuff. They wont put all that stuff on at the factory cause it makes the
crate too big. Plus, theres always something scuffed up or chipped paint or somethin. We do some of it
and then let the mechanics check it out.
Squid, Head Mechanic: We make sure all the parts got put on in the right place. Half the time the
factory guys are dreaming instead of working. Plus we have to jet everything for this altitude. Once we
get them runnin right, then the bikes get a bath. Be sure you put a drain in the wash bay. And be sure it
doesnt stop up every fve minutes.
Danny, Parts Manager: If a bike was ordered with a special part, like a fancy muffer, we would have
ordered that part. It gets delivered, and we have to check it into the inventory. We have to keep all the
parts in a separate area kind of under lock and key, or they walk off. So, thats why we have a window
between the parts storage and the mechanics area, see, over there. We also have a window between
parts storage and the parts counter in the display room. Also, we have to keep a good inventory and
know where all the parts are when someone needs this gadget or that widget. Well, anyway, we have to
have the muffer ready for the mechanic to put it on before we tell the customer to come get their new
dream!
Beth, Bookkeeper: Before the bike gets to the foor, we have to be sure the inventory documents are all
in order. I also have to record all the credit and payment information, since we fnance about 40% of the
bike sales.
Hollywood, Service Manager: Well, what happens at the service desk is customers bring their bikes
in for tune-ups or repairs. They check in here, and we schedule the work. Usually, they call frst, but
sometimes we repair bikes for people who are on the road and break down nearby. The service desk
needs to be near the mechanics, and it is probably best if we have our own door to the outside. The
customers can park their bikes right outside, so we dont have to push them so far into the holding area.
They stay there til they get worked on. Oh, and we need a couch and a coffee pot, cause the travelers
are here for quite awhile sometimes.
Lefty, Parts Sales Desk: We need to be handy to the customers, but close to the parts warehouse.
Customers come and look at all the motor clothes and parts and stuff. They can order parts for their
bikes here. We have all these catalogs with every part you can ever imagine.
Maggie, Motor Clothes: Well, most people think bikes are the hot sales item. But we make more on
motor clothes than bikes. Course, I wouldnt be able to get a bike salesperson to admit that. What we
Exhibit 1A-7
Excerpts of interviews for the motorcycle dealership follow:
Exhibit 1A-7 continued on page 34
Programming
33
1A
Exhibit 1A-7, continued
Excerpts of interviews for the motorcycle dealership follow:
want is for customers to come in and have a good time, browse around, and buy something. Dont make
any straight lines to the parts desk. Make the customer come past all the clothes on the way to parts
or service. Oh, and I need some storage for replacement stock. We get a great deal if we buy a ton of
T-shirts, but I cant display them all at once.
Becky, Head Salesperson: Look, on the sales foor there needs to be lots of lights so these babies
sparkle. There is nothing as glorious as tons of chrome, all in one room! Give us enough room to spread
the bikes out for folks to walk between them and take a good look. And we need some little offces to
make the sales deals. They can be small, cause were always out on the foor selling those bikes.
Boss Man, Dealership Owner: Hey, all I need is a nice offce with windows onto the sales foor. I like to
be near the main entry cause I like to welcome the customers.
Back to New Facility - Motorcycle Dealer
Programming
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Exhibit 1A-8
University Classroom/Lab Size Data
Course A B C D E F G
MBio 302 510 3 90 39
MBio 303 483 3 90 39
MBio 302 Lab 510 4 24 39
MBio 303 Lab 483 4 24 39
MBio 402 450 3 90 39
MBio 403 412 3 90 39
MBio 402 450 4 24 39
MBio 403 Lab 412 4 24 39

Key
A
Projected total enrollment
B
Number of hours attended per week
C
Optimum class size
D
Time slots available per week for
scheduling
E
Number of teaching stations required at
100% utilization (A/C x B/D = E). This
number may be a fraction.
F
Number of teaching stations proposed
that approaches the desired percent
utilization. It is important to remember that
you cannot build a fraction of a teaching
station.
G
Percent utilization of proposed number of
teaching stations (F/E=G)
Back to Addition to a University Science Facility
Programming
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notes
Programming
36
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1B
Site & Building
Analysis
activities - core*
introduction
57
58
59
60
61
62
54
55
56
54
38
Urban Farm
Water Management - Before and After
Using Wetlands for Storm Water Treatment
narrative 39
Quality of Life
Precipitation Predicament
Saving Wetlands
Creating a Mission Statement
Sustainable Site Determination
Community Design
exhibits
----
Site & Building Analysis
38
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Internships.aspx.
2008.

2001.
Chapter 17.3 - Site
Analysis
2009.
Introduction
of the feld activities involved in site and building analysis. The following
information is taken from the NCARB IDP Guidelines:
Site and Building Analysis
Minimum Site and Building Analysis Experience: 80 Hours
Defnition: Involves research and evaluation of a projects context and may
include site and building evaluation, land planning or design, and urban
planning.
Tasks
Develop or review master plan
Establish requirements of site survey(s)
Review site survey(s)
Review geotechnical and hydrological conditions
Evaluate and compare alternative sites
Perform site analysis
Assess environmental, social, and economic conditions related to
project
Document and evaluate existing conditions
Interpreting existing site/environmental conditions and data (e.g.,
topography, drainage, soils, local ecology environmental impact
issues)
Site planning (e.g., site selection, master planning)
Regional impact on project (e.g., seismic, climate, transportation,
economy, labor)
Government and regulatory requirements (e.g., zoning, planning,
design review)
Community-based awareness (e.g., values, traditions, sociology,
future objectives)
Hazardous conditions and materials
Facilities planning (e.g., building use, building conditions, systems
conditions, infrastructure, space allocation)
Site design
Building design

notes
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Narrative
A comprehensive site and environmental analysis is the foundation of good design. This is especially true
in the twenty-frst century, when energy scarcity and the transition to alternative energy sources offer prime
design opportunities.
Site design begins with analysis of the site and environmental conditions, which yields information the
architect can integrate into the project program and design solution. In many cases, when the natural
attributes of a site are considered, the energy consumption of a building can be reduced considerably, the
longevity of the building increased, and short-term and long-term facility costs reduced. To achieve these
ideals is to approach sustainability in design.
A site refects the environmental, economic, and social characteristics of its location within the natural and
built landscape. The term place-based design refers to designs executed with an understanding of the site
and the natural and built systems associated with it. The character of a site uniquely informs the function
and expression of a building designed to stand on it. Put another way, the site analysis can be used to
provide regional character and context to a design.
An in-depth and comprehensive site analysis helps the architect determine building footprint and form,
building scale, building orientation, glazing location and size, and landscape design. It also makes possible
development of a low maintenance/low energy use strategy for a project. Such a study begins with
analyzing a larger areathe region in which the site is located. Regional environmental conditions, including
ecology, biology, geologic history, anthropology, and climate, as well as legal and regulatory issues, provide
information about the site that is essential to the building design process.
A building design informed by a rigorous site analysis has a number of advantages. Such a design is
economically strong, works with nature, is unique to the region and neighborhood, takes advantage of the
sites microclimate, and addresses relevant legal and regulatory requirements.
Site Analysis Considerations
A project site is usually defned by a legal description furnished by the client. This description includes
a survey fxing the size, legal corners, and existing conditions, such as vegetation, contours, existing
infrastructure, and existing utilities of a property. A site, however, is much more than the legal description
and project location. The survey, plat, and legal description describe the location of the property within the
regulatory jurisdiction, but a tremendous amount of important information related to past use (or abuse) of
the site is also critical to a site analysis.
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Regulatory and natural
conditions related to the three
elements considered in a site
analysisair shed, watershed,
and geologic basedirectly
affect the design process.
Beyond this, though, the
quality of life in a region is
directly related to how the
design embraces local climatic
and environmental factors. A
design that disregards these is
expensive to build and operate
and has little chance of being
cherished as a community
asset.
The two diagrams
accompanying this article,
opposite page, illustrate these
concepts: bioregionalism and
biourbanism.
A site is always more than dirt on which to build. It is a three-dimensional
space, including the airspace, watershed, and geological strata of a
site. An environmental analysis is intended to establish and illustrate the
climatic and natural conditions that affect this space. A historic look at a
project site determines how it was formed over time by local environmental
forces and reveals historic uses of the site and surrounding area. Site
characteristics that could affect building design include factors such as
prevailing winds, presence of wetlands, frequency of fooding or drought,
and types of soil.
Along with the architects analysis of a sites environmental conditions, it
is critical to be aware of regional conditions that may affect the site, the
project, and the community. The importance of this awareness lies in
the potential for the architect to include in the design solution a regional
or community issue while solving their clients programmatic needs. An
example of such opportunity would be an area that foods and the design
could include an area set aside to alleviate damage from fooding while
developing a community open space. In such a case, the designer is acting
as a steward of the community and showing political savvy.
A site analysis that focuses on natural features can inform a design
in ways that will improve energy effciency and building longevity;
reduce maintenance expenses; and improve the quality of life, sense of
community, and health of the users and the environment. The knowledge
gained from an in-depth environmental analysis of a site, when integrated
into a building design, can help the architect solve the design program with
lower mechanical and environmental costs. Building designs that work with
natural site characteristics are typically less expensive to use and maintain
and better for the environment. In addition, the increase in daylighting and
natural ventilation provides better indoor air quality, which generally offers
building occupants a better experience, increasing both their spirit and
productivity.
The architects challenge, then, is to design a building that addresses the
social, economic, and environmental considerations of the site at the same
time it responds to the clients program. To accomplish this requires the
architect to understand these issues and create a solution that addresses
them simultaneously. Pertinent considerations and their characteristics are
explained in brief as follows:
Building Location Options
Identify possible locations on the site for entry and egress, parking,
stormwater storage, sidewalks, and other necessary features early in the
site design phase. Pedestrian and vehicular access points to the site, the
context and scale of the existing neighborhood, view corridor protection;
sense of entry/place, neighborhood character, connections to transit, and
relation to civic amenities and open space can affect the location of a
building on the site.
Regulatory Restrictions
Local, county, state, and federal requirements must be adhered to unless
a variance is applied for and obtained. Such restrictive regulations typically
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fx setbacks, height limits, lot coverage and landscaping, FARs (foor area ratios), parking, and fre protection
requirements, as well as construction types and, in some cases, aesthetic issues. The architect, as an
additional service, often applies for a variance to make it possible to ft a project better into the neighborhood
or to address environmental issues such as solar access.
Natural Conditions
In sustainable design, the natural conditions of a site are an important factor in the project design. Natural
conditions are the parts of the site and immediate surrounding that occur naturally, in other words, without
human intervention. The natural site is a subset or microcosm of a regionbiologically, ecologically, and
climatically acting much like the region but with specifc characteristics and microclimates. A regional
environmental analysis shows long-term patterns of solar gain, wind, and precipitation, as well as soil and
water movement, while a site-specifc analysis reveals the context of a site and its specifc connections to
regional patterns. The regional climate informs a design about long-term issues, including natural dangers
(high winds, seismic activity, drought and fooding, fre, insect infestation, etc.), sea level changes, air
quality, water quality and quantity. Data about the microclimate, on the other hand, directly affects a projects
architectural form.
Other natural conditions of signifcance to the architect are existing and native vegetation and local soils and
topography. Data on geology of the site and region is also useful. Learning and working with natural patterns
is necessary for successful sustainable design.
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Site Analysis & Research Tasks
Research and illustrate the
following conditions:
Precipitation
Prevailing winds
Solar patterns. Determine
summer and winter
solstice dates to establish
the location of the sun
for light and heat on the
longest and shortest days
of the year.
Temperature and humidity
Hazards (e.g., hurricanes,
windstorms, fooding,
drought, earthquakes, etc.
Identify topographical features:
Ground- and surface
water conditions and
issues (natural and
historical)
Access and orientation
Vegetation
Potential slope problems
or opportunities
Geologic conditions that
might affect structural
design
Identify geotechnical issues:
Soil and rock type
Seismic activity
Environmental hazards
Locate existing utilities.
Types
Location
Size
Investigate site context:
Immediate surroundings
Cultural factors
Historical experience
Economic concerns
Continued on page 44
Constructed Conditions
Two types of existing structures may affect building design. One is any
infrastructure previously built on the site and the other is nearby structures
that may affect a new building on the site.
Existing structures of concern include both those no longer in use and
slated for demolition and those that will remain on the site, as in renovation
or preservation of a historic structure. The architect can learn of past
successful attempts at using the site from historic passively designed
structures that have stood the test of time. By analyzing these, the
architect can identify both successful and unsuccessful techniques and
use them in working out the new design.
The urban scale or character of structures on adjoining sites can restrict
what can be built on a site, as can the public nature of adjacent spaces
such as a community square or other public amenity. Also important are
not-yet-built structures that may affect the solar gain, view corridors, or air
quality considerations on a site.
Utilities
The existence and location of utilities on a site greatly affect a site plan
and ultimately the building design. The cost required to put utilities
underground, move them out of view or away from site access, or comply
with ordinances can signifcantly affect a project budget.
Environmental Hazards
If a site has been built on previously, it may be contaminated in some way.
There are many levels of contamination, the worst being a toxic condition
that must, by law, be cleaned up before any other activity is permitted on
the site. Cleaning this type of site (a brownfeld), whether toxic or nontoxic,
before construction can greatly beneft the surrounding neighborhood and
region. Constructing projects in previously built areas is a recommended
strategy for reducing sprawl and improving the quality of urban life.
When the environmental hazards of a site are not addressed properly
in the site design, it is more likely that a constructed project will have a
negative effect on neighboring property. For instance, dangerous slopes
and inadequately designed setbacks and stormwater controls could lead to
fooding across property boundaries.
Natural disasters such as earthquakes, windstorms, fooding, drought, and
fres should be addressed in the site plan analysis. The information and
knowledge from the analysis carried into the design phase will inspire the
design to contribute to the protection from and mitigation of such disasters.
Consultant Input
The complexity of building today often requires architects to bring
consultants onto the design team early in the design process. Consultants
who might contribute to site analysis would be soil engineers, ecologists,
alternative energy specialists, waste management experts, green design
professionals, landscape architects, and historic preservation architects,
among others.
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Community Interests
Today, establishing community consensus is part of virtually every architecture project. NIMBYism (Not
In My BackYard) is a challenge that must be addressed with considerable creative thought in most
projects today. Zoning and building codes stem from a desire to protect the community. Preservation of
neighborhoods and environmental quality can be a critical concern in site and environmental analysis.
Jurisdictional Input
Determining which jurisdictions have responsibility for a project site may require considerable research,
especially as this can vary depending on the scale of a project. Agencies representing local, state, and
federal issues such as protection of the water supply, sewage management, air quality, aviation fight
patterns, concurrency (requirement for supporting infrastructure to be in place concurrent with new
development), traffc, and open space may all have some jurisdiction over the site plan and project design.
Having their requirements overlaid on the site plan from the beginning of a project is an excellent way to
ensure the regulations will be addressed.
Alternative Site Selection
As an additional service, a client may ask for analysis of an alternate site(s) for a project. The architect
would prepare an in depth analysis of the alternate site(s) and a comparison evaluation of all the sites
considered.
The Site Analysis Process
Although segments of a site and environmental analysis may become part of project demolition and site plan
documents, acquiring information for these documents is not the main purpose of site analysis. Rather, the
products of this process are intended to help designers become aware of legal and natural conditions and
opportunities present on the site. This information is useful both for developing the design and illustrating
present site considerations to clients.
Seven basic steps lead to the creation of this frst sketch and analysis. (These can be added to or simplifed
through experience.)
1. Briefy review the design program and write down the most important project requirements. Next,
answer questions about the size of the project, height restrictions, setbacks, parking requirements,
and other regulations and restrictions that inform the design process. In this process, you may also
question, What does this project want to do; what are the opportunities and challenges?
2. Visit the site. Arrive by transit, bike, foot, and car, comparing what you learned about the site from
each method of approach. Visit at different times of day. The site visit can reveal a uniqueness that
will inspire expression in the design. Of all the site considerations, the characteristics of the site are
the most important and basic to sustainable design.
3. Take considerations and characteristics previously listed, and research the specifcs of the site.
4. Make a preliminary assessment of the site as it relates to the project. Answer questions: What
opportunities present at the site match the human comfort needs of the occupants? What site
characteristics may confict with these needs, such as glare from other buildings, traffc congestion,
excessive noise, heat or pollution from adjacent buildings or sites, opportunities for daylight and
passive heating? Analysis of the character and context of the community helps set the project scale,
entry and egress locations, and connection to the neighboring community, among others.
5. Analyze the site in more detail, and establish a site analysis plan if further research is necessary.

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Site Analysis & Research Tasks
Continued
Determine zoning and building
regulations:
Height limits
Setbacks
Maximum site coverage
Floor area ratios
Required landscape area
Environmental regulations
View corridors or other
protected requirements
Urban design criteria, if
applicable
Lynch, Kevin, and Gary Hack.
Site Planning. Cambridge, MA:
MIT, 1984.
Alexander, Christopher,
Sara Ishikawa, and Murray
Silverstein. A Pattern Language:
Towns, Buildings, Construction.
New York: Oxford UP, 1977.
Zimmerman, Floyd. Site
Analysis. Excerpt from The
Architects Handbook of
Professional Practice, 13th ed:
www.aia.org/aiaucmp/groups/
aia/documents/pdf/aiab089275.
pdf
6. Evaluate the site in relationship to opportunities and conficts. One
way to organize this study would be through evaluation of the
following relationships:
Building to site. How does the climate relate to the comfort
zonestemperature, air movement, humidityof the building.
How much precipitation is common? What types of vegetation
does the soil easily support with the least maintenance? What is
the relationship of the site geology to structural building issues?
Does the thermal comfort required in the building correlate to
the sites thermal conditions; if so how can the sites climate be
used to reduce the cost of mechanically assisted comfort?
Site to site. How does the site relate to its immediate
surroundings? The context, scale, territorial view corridors,
materials and construction methods, geometric relationships,
neighborhood character, and proportion are all defned
in the site and environmental analysis. Microclimates are
also revealed in the site-to-site analysis. Existing and
natural vegetation types, along with soil and water retention
characteristics, affect temperature, air movement, and humidity
on the site. Shading by vegetation and neighboring buildings
affects solar gain, prevailing breezes, and daylighting.
Site to region. The relationship between the site and its regional
environment or climate, as well as the urban, agricultural,
and natural character, is part of the site analysis. Cultural and
economic considerations are determined in this analysis, as
well as the climate characteristics of the bioregional system that
have formed the general attributes of the place.
7. Prepare a report of fndings that includes drawings and text
discussing the criteria mentioned in Site Analysis Considerations.
Once an architect has the results of site analysis in hand, he or
she must determine how to incorporate this information into the
design solution. Begin by considering this question: How do these
conditions affect the building program and how can design improve
the site, the neighborhood, and the region in an economically and
ecologically viable way?
Written by Daniel Williams, FAIA
Daniel Williams is principal of Daniel Williams ARCHITECT, an architecture and urban and
regional design practice. He has degrees in architecture and urban and regional planning
and is a national expert in sustainable design and planning. He is presently writing a book,
Sustainable Design: Ecology, Architecture and Planning and has written and taught on the
relationship between Energy, Environment, Architecture and Planning.
notes
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Architectural Examples
Design Responses Informed and Inspired By The Site Analysis
The projects on the following pages illustrate architecture that was informed by strong site and
environmental analysis. These award-winning architecture projects include both building designs and
regional planning designs. Listed for each project are design responses to these opportunities.
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Architectural Example 1
Edicio Malecon
Architect: HOK
Location: Buenos Aires
This 125,000-square-foot offce building was built on a
reclaimed brownfeld site (its garage within the foundations of
a 19th century warehouse) at Puerto Madero, a redevelopment
area in Buenos Aires, Argentina. The building was developed
as a long narrow slab to minimize solar gain from the roof. The
broad northern face, the primary solar exposure, is shaped to
track the sun and is fully screened with deep sunshades that
virtually eliminate direct solar radiation during peak cooling
months. The south face, which refects the geometry of the
northern faade, is equipped with the same high-performance
curtainwall system as the other facades, minimizing solar gain.
A green roof helps insulate the 40,000- square-foot podium
from solar radiation and manages stormwater runoff. Open foor
plates and raised foors provide fexibility for multi-tenant offce
or alternative future uses.
Design elements attributable to the site and environmental
analysis:
Thin plate (narrow cross-section) for 100% daylighting
Urban infll
Urban design context
Brownfeld development
Creation of urban edge
Stormwater reclamation
Browse the internet for more photos and information about Edifcio Malecon.
Keywords: HOK, Edifcio Malecon, brownfeld site, redevelopment, solar gain, solar exposure, high-performance
building, sunshades, open foor plan, urban infll, urban edge, stormwater reclamation.
HOK, Edifcio Malecon: www.hok.com/design/type/tall-buildings/edifcio-malecon
resources
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Browse the internet for more photos and information about Fisher Pavilion.
Keywords to consider: Fisher Pavilion, Miller+Hull, City Center, Seattle, LEED certifcation, city policy, building
envelope, thermal mass, urban infll, natural ventilation.
Miller+Hull, Fisher Pavilion: www.millerhull.com/html/nonresidential/seattlecenter.htm
resources
Fisher Pavilion
Architect: Miller+Hull
Location: City Center, Seattle, Washington
Fisher Pavilion is one of the frst buildings in Seattle to be
designed and constructed under the city policy requiring
all public facilities costing more than $5 million to achieve
a LEED Silver Rating. Burying the building and the
use of a high mass (10 feet of concrete) roof decrease
envelope loads on the building, resulting in extensive
energy and heating savings.
Design opportunities resulting from site and
environmental analysis:
Thermal mass cooling and heating
Rooftop plaza
Daylighting for 85% of the building
Creation of a new urban infll square as an
amenity
Natural ventilation
Maximized solar heat gain
Connected interior/exterior space
Transit parking drop off
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1B

Kahn/Williams HAUS
Architect: Daniel Williams Architect
Location: Seattle, Washington
This urban infll site provides a working
neighborhood, transit, civic amenities, walkable
shopping, open space for recreation, and regional
view corridors.
The site is a steep slope with a small area (4200
sf). Due to the site orientation, it was determined
the structure should be open from the east to the
southwest corner.
The requirement to build into the hill suggested use
of a cube (the most static form), which also creates
the most volume for the least exterior skin.
The site and environmental analysis established:
Correct angles for seasonal light and heat
penetration
Required orientation of spaces in the plan to
access daylight and territorial views
Solar patterns to inform window design and
detail
Possibilities for earth cooling and heating
(thermal mass 61 F)
Maximize south (solar) yard.
Possibilities for reuse of existing structure
and demolition rubble
Living roof recovery, cleanup, and storage of
rainwater for irrigation and gravity-fed toilet
fushing

Browse the internet for more photos and information about Kahn/Williams HAUS.
Keywords to consider: Kahn/Williams HAUS, Daniel Williams Architect, DWA design, urban infll, walkable design,
site orientation, daylight, solar patterns, thermal mass, building reuse, living roof, rainwater storage.
DWA Design, Kahn/Williams HAUS: www.dwa-design.com/architecture/KW_HAUS
www.dwa-design.com/data/documents/kwhaus_8x8.pdf
resources
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Browse the internet for more photos and information about Steinhude Sea Recreation Facility.
Keywords to consider: Steinhude Sea Recreation Facility, Randall Stout Architects, photovoltaic panels, solar hot
water collectors, passive solar design, high-performance buildings, sustainability practices, graywater, rainwater
harvesting.
Randall Stout Architects, Steinhude Sea Recreation Facility: www.stoutarc.com
resources

Steinhude Sea Recreation Facility
Architect: Randall Stout Architects of Los Angeles, CA
Location: Steinhude, Germany
Design objectives informed by the site and
environmental analysis:
Energy self-suffciency:
photovoltaic panels
solar hot water collectors
a seed-oil fueled cogeneration micro turbine
daylighting
natural ventilation
passive solar design
building automation
high-performance materials
These systems provide complete lighting and power
needs for the building while recharging a feet of
eight photovoltaic-powered boats. They also produce
excess electricity to sell back to the utility grid. Other
sustainability practices incorporated into the design
include graywater and harvested water systems, green
materials, and waste reduction.
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Architectural/Urban Design Example 5

Sea Ranch Condos
Architect: Moore, Lyndon, Turnbull, Whitaker Architects
Landscape Architects: Halprin Associates
Location: Sea Ranch, California
Sea Ranch by Moore Turnbull Architects is a good example
of a well-planned, well-designed project stemming from a well
analyzed site with powerful environmental conditions.
Beach sand in wind shadow is an ecological example in this
project. The energy organizes the sand (form/structure). Here, the massing of the small plant creates
protection from the strong winds. This knowledge can inform the design of a coastal community that
experiences gale force winds.
Elements informed by site analysis:
High wind forces inspired a tight-knit urban form
Architectural urban forms composed of exterior spaces
Interconnected trails to protect the community from strong winds
Use of local materials

Browse the internet for more photos and information about Sea Ranch Condos.
Keywords to consider: Sea Ranch Condos, Turnbull Griffn Haesloop Architects, site analysis, wind shadow, massing,
wind protection, local materials.
Turnbull Griffn Haesloop Architects, Sea Ranch Condos: www.tgharchitects.com/aboutus/history/condos/
resources
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1B
Browse the internet for more photos and information about Bahama Village.
Keywords to consider: Bahama Village, Daniel Williams Architect, Harrison Rue Architect, Key West, landfll
development, natural resources, prevailing breezes, passive cooling, cistern irrigation, potable water, reclamation,
land use zoning.
resources

Bahama Village
Architect: Daniel Williams with Harrison Rue
Location: Key West, Florida
Bahama Village, the oldest African-American
village in the U.S., located in Key West, Florida,
was subjected to landfll that severely damaged the
conch population, its economic base. A goal of this
urban design solution was to reconnect the natural
resources with the future of the village.
Ideas developed from information in the site
analysis:
Increase human comfort by improving
orientation to prevailing breezes for passive
cooling.
Reconstitute the cisterns for irrigation and
potable water use.
Restore economic and environmental
benefts of reclamation of conch farm.
Reuse existing materials.
Job incubationtrain local residents as
carpenters to protect and restore cultural
and economic future of the community.
Create land use zoning changes and tax breaks to preserve 150-year-old village.
Increase density with rear cottage zoning, improving the value of the property while bringing income
to residents.
Re-create beach zone and habitat
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Anacostia River
Architects and Planners: USGSA & Congress for the New
Urbanism
Location: District of Columbia
The program for this design included the following:
Develop affordable housing.
Foster economic development.
Improve environmental stewardship.
The site and environmental analysis suggested these
possibilities:
Reconstruct the creeks to manage storm water and
create urban parks.
Reclaim wetlands along river banks.
Supports walkable neighborhoods by extending
public transit to the riverfront.
Create public recreational space where the urban
space meets the rivers edge.
Integrate demonstrations of water purifcation
technology at the Navy Museum.
Remove sewagestorm water combined outfall.

Browse the internet for more photos and information about Anacostia River.
Keywords to consider: Anacostia River, USGSA, Congress for the New Urbanism, affordable housing, economic
development, environmental stewardship, storm water management, wetlands, water purifcation.
Anacostia River: www.anacostia.net
www.anacostia.net/Restoration_Plan/download/Anacostia-Report-Web-Quality.pdf
resources
53
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notes
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Urban Farm
Long life - loose ft refers to creating versatile designs in which the building is connected to the site in a
symbiotic manner. Consider the following attributes of earth: The ability to support building loads, nutrient
composition, ability to hold water, vegetation compatibility, and capability to support crops.
In this scenario, you are retroftting an existing apartment building in an urban nontoxic brownfeld
neighborhood in San Diego, California. Your client wants to grow vegetables and edible crops on close to
100 percent of the site, including the building footprint.
Write a proposal describing how you will accomplish your clients goal. Use sketch site plan to illustrate
proposal. Be sure to address:
Where will potential cost arise/appear?
How can costs be mitigated?
Can gravity be used distribute water for irrigation and gravity water reuse?
Is it possible for water be stored within the building and on the site?
version as a PDF.
Activity - Core
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Water Management - Before and After
Parking lots can create huge heat islands and large areas of impervious surface, increasing fooding while
decreasing groundwater recharge. What options can mitigate site impact?
Identify a project that has a site of at least ten acres. If your offce does not have any large-site projects,
use a project from another frm. Using the topographic plan, sketch the natural gravity fow of water over
the site. Then, using a site plan with the building intervention, sketch the new fow of water over the site.
Respond to the following issues:
Creating natural irrigation
Creating surface and ground water storage areas
Roof water collection
Water system integration
Summarize the specifc changes parking lots will create on the site, considering issues such as these:
Increased erosion and fooding
Increased impervious surface
Degraded water runoff
Microclimate heat gains and heat island effects
Costly infrastructure for underground water storage
How would you combine parking requirements and storm water control? What can be done to
accommodate a 100-year storm (10 in 24 hours)?
Describe any missed opportunities in the project plans for natural conservation or preservation. Using
both economic and environmental criteria, explain in a narrative how you would convince the client that
incorporating pervious pavement, water storage, parking, and open space on the site could be a win-win,
environmentally and economically.

version as a PDF.
Activity - Core
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Using Wetlands for Storm Water Treatment
In this scenario, your client wants to fll in wetlands on a site and put storm water treatment below grade in a
concrete holding vault. Its easier and my engineer has done it before, he says.
The county is in danger of losing its supply of groundwater, the regional storage for potable water, as well
as the supply to the rivers. Local rivers are becoming contaminated with the polluted, reduced groundwater
fow. You bring up the issue of retaining the wetlands to your client, and he again says, No!
Use a project in your frm or your mentors frm involving wetlands on the site. Design a plan that provides
two alternate locations for storm water management to discuss with your client. Indicate buildable area on
each site scheme.
Write a narrative persuading your client on the new site plans benefts: mitigate major disturbances or
leave the wetlands untouched.
version as a PDF.
Activity - Core
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Quality of Life
Consider attributes of quality of life: shelter, clean air, water, hygiene, security, human scale, thermal
comfort, and food.
Write a description and illustrate (in plan, section, or diagram) your favorite places: one urban setting and
one rural/natural setting. Describe similarities and differences using the following considerations:
Sunlight
Comfort
Temperature
Breezes
Humidity
Scale and proportion
Color and material
Orientation
Using a current project or other, prepare a short report demonstrating the natural characteristics of place
as part of your design. Do site considerations in your design go beyond the feel of the place (e.g.,
comfort attained by passively heating or cooling)?
version as a PDF.
Activity - Elective
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Precipitation Predicament
Water is the most critical of renewable resources. Supply comes from precipitation, such as rain and snow.
A critical aspect of this limited resource is storage for use when the supply is reduced, as in drought.
Designers can emulate natural conditions such as surface water (lakes, ponds, creeks), underground
storage (aquifers, ground water), and soil mechanics.
In this scenario, a potential client wants to build a new town along an existing rail line in New Mexico. New
Mexico is blessed with lots of sun but little precipitation. The site has many amenities and opportunities
beauty, views, clean airbut only seven inches of precipitation per year. The local water agency is about to
stop all construction that consumes more water than falls on the site. This is key to getting the client to feel
comfortable with your ability to understand and solve the water issue.
Geographic locations often effect the original design intent. For example, rainwater may not be an
abundant resource in New Mexico, but sunlight is abundant. For your project sketch plans best orientation
for maximizing passive and active solar use. Write a report on why you chose to adjust the project in
this way, and explain the proposed methods of water storage and reuse. Are there other resources you
recommend that can power the town?
version as a PDF.
Activity - Elective
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Saving Wetlands
In this scenario, an analysis fnds that wetlands make up twenty percent of a site in Madison, Wisconsin.
You and a frm principal want to save this unique part of the site. The owner likes the idea but asks, What
about mosquitoes?
Respond to the clients concerns about mosquitoes and build a case for preserving the wetlands. Through
plan sketch diagrams and a narrative address the following:
What issue might arise if the wetlands are not saved? Is mitigation required?
Outline three different approaches to the mosquito problem, while solving storm water storages.
What is your frms liability if the clients concern about mosquitoes turns out to be well-founded?
Discuss a testing period, fxes if necessary, and additional consultant costs.
What other site features could impact your design, are they positive or negative?
version as a PDF.
Activity - Elective
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Creating a Mission Statement
Several stakeholders are affected by every project. The neighborhood ecology and biology, the water quality
and quantity, future residents, and the client and your future clients will all be affected by each project.
In any project, degradation of natural resources is often unnecessary. Degradation is usually caused by the
belief that the structure can only be economical if every last square foot of a site is utilized. To paraphrase
Buckminster Fuller, pollution is an artifact of bad design.
In this scenario, you have created a mission statement for your frm that encompasses good design,
economics, and ecological stewardship. While explaining your mission statement to a new client, she
commented, Use it on your next project. We are flling in the wetlandstoo much hassle for me. This
project is critical to your startup as a professional. How will you approach this dilemma?
Develop a mission statement mentioned in the scenario. Create a narrative responding to the client,
keeping in mind this project will be a boost to your professional career. Explain the ethical dilemma you
face and respond to the following:
Are there any alternatives to suggest working with wetlands?
How does flling in the wetlands affect neighborhood, ecology and biology, and future residents?
Are there benefts to having wetlands near the property? What are the drawbacks?
If her position does not change will you accept this job, why or why not?
If you accept this job will your frm have to change its mission statement?

version as a PDF.
Activity - Elective
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Sustainable Site Determination
Credit Option 1: Development Density -OR- Credit Option 2: Community Connectivity
Current thinking about sustainability design issues includes the practice of reducing urban sprawl
by limiting greenfeld development and focusing development in existing urban fabric or brownfelds.
Greenfelds are defned as sites that have not been previously developed or built on and could support open
space, habitat or agriculture. Brownfelds are abandoned or underused sites available for reuse.
LEED 2009 Sustainable Sites Credit 2, Development Density and Community Connectivity, requires that
one of two options (Density or Connectivity) be met by performing an analysis and calculations outlined in
the USGBC LEED 2009 Reference Guide for Green Building Design and Construction.
Please reference the following source:
LEED 2009 Reference Guide for Green Building Design and Construction, U.S. Green Building Council
In sketch form, select a completed project that is located in an urban area. A multiple story building on
an urban infll site is preferable. The area density (foor area to site area) is more important than the
type of occupancy. Select one of the following two credit options to study and report on. Respond to all
requirements listed in the LEED reference guide.
Provide a response to the following questions in your sketches: Which option did you choose and why?
Will your project receive this LEED credit as a sustainable site? If not, what changes would have to be
made to the project to receive the credit? Could your project meet the requirements of both options? If you
picked option 2, community connectivity, how many of the required community services are present?
Credit Option 1: Development Density
Provide a site vicinity plan showing the project site and the surrounding sites and buildings.
Sketches, block diagrams, maps and aerial photos are all acceptable for this purpose. Draw the
density boundary on the drawing or note the drawing scale.
Record the project site area and building area in square feet.
Within the density radius, list all buildings and include their respective site and building areas.
-OR-
Credit Option 2: Community Connectivity
Provide a site vicinity plan showing the project site, the mile community radius and the locations
of the of the community services surrounding the project site. Sketches, block diagrams, maps and
aerial photos are all acceptable for this purpose. Draw either the mile radius on the drawing or
note the drawing scale.
Record the project site area and building area in square feet.
Within the mile radius, list all community services and include their name and type of business.
version as a PDF.
Activity - Elective
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Community Design
Machu Picchu survived as a working community for hundreds of years using only energy and resources
found on or near the site. Research and fnd site plans, images, and other graphic documentation that will
help you understand the theories behind the community form and design of Machu Picchu or other ancient
cities.
Prepare a short summary of your fndings. Answer following questions:
What lessons about community design can be learned from ancient builders? (Before you research
the answer, write down three ideas based on your intuition.)
What design principles are at work in your city or town that parallel those of Machu Picchu?
Describe three design principles in your city or hometown that are different from those used at
Machu Picchu or other ancient cities.
What site design principles do you see in a current project that parallel those of Machu Picchu and
what benefts do they provide to the site and its users?

version as a PDF.
Activity - Elective
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notes
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1C
Project Cost
& Feasibility
activities - core*
introduction
83
84
85
86
87
88
82
82
66
Differences in the Cost of One-Story Versus
Two-Story Schools
narrative 67
Preparing a Market Survey
Corporate Headquarters Building Options
Initial Budget for a High School
The Price of Sustainable Design
Initial Budget Overrun
Ofce Building Costs
exhibits 89
89 Exhibit 1C-1
Project Cost & Feasibility
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resources Introduction
of the activities involved in project cost and feasibility. The following
Project Cost and Feasibility
Minimum Project Cost and Feasibility Experience: 40 Hours
Defnition: Analyze and/or establish project costs relative to project
conditions and owners budget.
Tasks
Perform or review a feasibility study to determine the cost and/or
technical advisability of a proposed project
Establish preliminary project scope, budget, and schedule
Project fnancing and funding
Project delivery methods
Construction sequencing
Cost estimating
Value engineering
Life cycle analysis
Project budget management
information)

Internships.aspx.
2008.
Chapter 13.5 -
Construction Cost
Management

2001.
Chapter 14.4 -
Construction Cost
Management
2009.
Chapter 9.4 -
Construction Cost
Management
notes
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Narrative
Managing building costs is a challenging task for the design team as well as for construction managers,
contractors, and consultants. Owners demand that their design and construction teams respect the owners
fnancial and economic objectives and that they control costs during project delivery. This expectation is
found in both the public and the private sectors in all client industries, locations, and fnancial situations.
Owners expect that a budget prepared early in a project will be accurate and that the project will be
completed to the required scope, quality, and performance within that budget. Owners invariably place a
high priority on cost issues, regardless of the quality or other attributes of the project. They may even judge
success or failure exclusively in terms of cost.
During the past decade, professional organizations, educational institutions, government and private entities
have supported the development of building cost analysis methodologies and provided seminars and other
educational programs on this subject. The success of these efforts has varied, but one issue has become
clear: Achieving high-quality design and implementing effective cost analysis and management are not
contradictory objectives.
Nearly every decision an architect makes during design and construction affects project costs. Some
decisions are straight forward because they affect building quality or performance. Others are more subtle,
affecting ease of construction, complexity of building elements, or availability of materials. Some decisions
can profoundly affect other disciplines, such as plenum depths that may confne mechanical/electrical
services or a building module that infuences a structural grid.
Why is it so diffcult to control building costs? Quite simply, the design decision-making process is subject to
constant upward pressure on scope, quality, and performance and, therefore, on cost. Unless decisions are
managed and expectations kept in check, costs may rise beyond budget limits.
Building cost analysis encompasses economics, cost estimating, and cost management, discussed below
under the following heads:
Understanding building economics
Identifying factors that infuence building costs
Using standard formats
Applying cost-estimating methods
Dealing with escalation and contingencies
Understanding value analysis
Understanding life-cycle costing
Integrating building cost analysis into the design process
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Understanding Building Economics
What determines how much buildings cost? We all understand the cost of buying a suit, an automobile, or
even a house. By experience, we develop a sense for what something should cost. However, unless we
fabricate an item from its basic parts, we may not develop a sense of what makes it cost a specifc amount.
Construction projects are complicated entities. To be able to estimate and manage building cost, an architect
must frst understand what costs are involved.
Capital Cost Components
Capital costs are normally subdivided into three major categoriessite costs, hard costs, and soft costs.
The accompanying diagram summarizes each of these categories.
Site Costs
Site costs normally cover the owners initial land acquisition and development costs for the project.
Soft Costs
Soft costs include a variety of costs incurred by the owner to move the project forward. Design fees,
management fees, legal fees, taxes, insurance, owners administration costs, and a variety of fnancing
costs fall into this category. Moving costs and other tenant-related costs may be placed in the soft cost
category.
Hard Costs
Hard costs are those most directly affected by decisions of the architect. These include core and shell
features, interior enclosures, basic building services, and ft-out costs for fnishes and mechanical and
electrical services. Major components of hard costs that are usually not incurred under the construction
contract include furniture, fxtures, and equipment (FF&E) and specialized mechanical and electrical
services. These costs are often incurred directly by the owner.
The breakdown of costs can vary widely according to building type. For instance, a standard offce
building is typically built for between $80 per square foot and $150 per square foot, depending on quality
and performance requirements. A laboratory building, on the other hand, may cost from $150 per square
foot to more than $400 per square foot, again depending on quality and performance requirements. The
disparity between costs for these two building types is caused largely by laboratory mechanical costs, which
alone can exceed $150 per square foot, especially when extreme requirements of control, fltration, and
cleanliness are required. To control mechanical costs when they are expected to represent 40 to 50 percent
of overall project cost, more attention must be given to initial budgeting and ongoing cost management
activities for mechanical elements.
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Construction Costs
Construction costs are the portion of hard costs normally associated with the construction contract, including
the cost of materials and the labor and equipment costs necessary to put those materials in place. Added to
this are overhead costs, which include both job site management and the contractors standard cost of doing
business (offce, staff, insurance, etc.).
Material Costs
Material costs cover purchase of materials, including local and regional taxes, and shipping and handling
costs, which include transportation, warehousing, and in some cases security. In very remote areas or in
overseas locations, shipping, handling and other overheads may exceed the cost of the material.
Installation Costs
Installation costs include the price of labor and equipment to put materials in place. Labor costs consists
of base wages, taxes, insurance, and benefts, as well as premiums for overtime or for working in remote
locations. Equipment costs include the direct cost of the equipment (whether it is a purchase amortization or
a rental) and the cost of an equipment operator, which sometimes includes support staff.
Overhead costs associated with construction are usually referred to as general conditions. These costs
include those for feld supervisory staff, additional professional services staff, engineering consultants, as
well as temporary facilities and utilities, small tools, and a variety of safety and security equipment. Also
included in this category are bonds, permits, and insurance costs allocated to the project. Contractors and
subcontractors also incur general conditions costs.
Additional overhead costs associated with the main offce of each contractor include salaries of home offce
staff, certain insurance costs, various home offce overhead costs (job procurement, marketing, advertising,
etc.) and proft. Proft is a function of market and risk and may include a contingency for unknown or
uncontrollable aspects of the work.
What makes construction costs vary?
The purchase price of building materials is directly affected by their availability and the demand for them in
the marketplace. The timing of events on a project can signifcantly affect cost, especially if short lead times
for products and materials challenge availability. Shipping and handling costs, particularly in remote areas,
can be expensive. Procurement limitations such as the Buy American Act can substantially drive up cost
by limiting competition. Sales taxes, import/export duties, and other special fees indirectly affect the cost of
materials.
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Installation costs are driven by geographic variations in labor costs and
productivity. Certain trades, such as demolition, universally carry very
high insurance premiums because of the risks associated with the work.
The safety record of the contractor further affects insurance premiums.
Conditions of the work, particularly for renovation projects, dramatically
affect productivity because access, egress, laydown area, staging area,
and general space available to conduct business may be restricted.
The nature of a project site, such as a remote location or site with poor
access to utility services, also affects general conditions costs. Security for
the construction site can be another cost factor. Owner requirements and
limitations on site access may indirectly affect cost.
Other potential markups that contribute to a buildings cost are a function of
market competition and project risk. Risk or the perception of risk is always
a signifcant factor. In times of high competition, allocations for overhead
and proft tend to be reduced to increase a frms competitive edge. When
competition is poor, these costs tend to increase. Owner policies intended to
reduce the owners risk can also increase cost. For example, some owners
believe that employing extremely onerous bonding and default requirements
protect them, but they may be unaware of the cost of such measures.
Identifying Factors That Inuence Building Cost
Building costs can only be controlled through effective control of the factors
that infuence them:
Scope of work
Geographic and site factors
Programmatic factors
Design factors
Qualitative and performance factors
Delivery process, legal, and administrative factors
Market, competition, and economic infuences
Risk factors
Scope of Work
This is the most basic factor driving building cost. If the scope increases,
costs will almost invariably increase accordingly, thus scope management
is an important part of cost management. Under extreme circumstances, it
may be necessary to program a facility over again rather than rely on the
design process to correct a scope problem.
Geographic and Site Factors
Site location (e.g., urban vs. rural) affects labor rates, material costs, and
a variety of other cost issues. Local climate has a major infuence on
selection of building materials and even on basic approaches to developing
the building. The building site also determines access, egress, and utility
provisions. In some instances, particularly large sites such as campuses
and military bases, utility lines may need to be extended great distances to
reach the building site, possibly resulting in costs that exceed those of the
rest of the project.
resources
DellIsola, Michael D. Architects
Essentials of Cost Management.
New York: John Wiley, 2002.
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Factors Affecting the Cost of Building Elements
72
resources
1C
Construciton Specifcations
Institute. The Project Resource
Manual: The CSI Manual of
Practice. New York: McGraw-
Hill, 2005.
Site conditions include basic topography, which dictates the amount
of earth that must be moved to allow for development and provision of
utilities. Environmental factors can affect costs directly if they require a
response and indirectly if their mitigation requires adjustment in the project
schedule. For example, wetlands mitigation can have major impact on cost
and on how much of the site is available for use. The presence of rock or
other diffcult soils also directly affect site development costs as well as
eventual choices for building foundations.
Programmatic Factors
Typical cost drivers related to a building program include space effciency,
security requirements, circulation requirements, ADA requirements, blocking
and stacking, adjacency requirements, and the functional mix of spaces.
By far the most signifcant of these factors is the mix of space types
required in a building. For example, laboratory space may cost $400 per
square foot, while standard administrative or offce space may cost $100-
150 per square foot. An exact 50-50 program mix in this example would
yield a building cost of $200-220 per square foot. If the same building
comprised 70 percent laboratories and 30 percent offce space, the
building cost would exceed $300 per square foot.
Space effciency is also an important cost driver. Achieving the levels of
space effciency defned in the program can be a design challenge. To
ensure these effciencies are achieved, care must be taken to establish
realistic targets based on experience in comparable buildings.
Design Factors
The building geometry and degree of articulation in the basic plan
affect building cost. For example, from a cost perspective, a perfectly
square footprint is the simplest to build and theoretically less expensive.
Nonetheless, this geometry may be unacceptable and overly simplistic for
most projects.
Plan geometry and exterior articulation are issues that require proper
budgeting and oversight during the design process. Shadow lines, notches,
and projections all may beneft the building form aesthetically, but their
complexity represents additional costs for labor and possibly for materials.
This relationship is especially true for buildings with high-quality envelope
systems.
Building height and overall scale also infuence building cost. For example,
the cost of the structural system is likely to increase along with the building
height.
Qualitative and Performance Factors
The owners quality and performance requirements need to be carefully
considered in both budgeting and cost management. Owners generally set
requirements with a bottom threshold in anticipation that delivered quality
will at least meet stated minimums. Designers will almost certainly meet
these minimums and often exceed the minimum because of their desire to
provide better quality and performance.
notes
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Legal and Administrative Factors
The delivery method chosen by the owner can affect the cost of a project in many ways. Whether the
delivery method is design-bid-build, design-build, construction management at risk, or a variety of other
construction management approaches, the initial budgeting process and the cost management process
should refect the delivery method chosen and account for any premiums or discounts anticipated, especially
as they relate to the schedule.
The timing of a construction contract award is an extremely important consideration. A construction contract
can be awarded at almost any point in the procurement process. However, if the contract is negotiated
and awarded before the documents are complete, the owner and contractor often agree on a guaranteed
maximum price (GMP). A GMP usually includes allowance for work not defned, and the degree and nature
of these allowances requires scrutiny on the part of the owner and the architect.
The owners approach to cost management and cost management policies have a subtle but signifcant
effect on the cost of a building. Brian Bowen, former president of Hanscomb Inc., observed, Buildings
cost what theyre allowed to cost. If the owners attitude toward cost management is lax, it is reasonable
to assume costs will increase over time. Conversely, if the owner demonstrates concern for cost then cost
tends to be contained over time.
Market and Economic Infuences
Market and economic conditions may overwhelm other cost factors. Market conditions tend to follow the
overall economy, and in turbulent economic times the market has been known to affect building costs by 10
to 20 percent or more. In times of recession or slow economy, prices tend to drop because demand is down.
Conversely, in times of economic boom, prices tend to rise because demand is up.
Competition also affects prices. As the number of bidders increases, the price goes down; when the number
of bidders is reduced, the price goes up. Market factors are volatile, and great care must be taken when
projecting the effects of competition and infation. The delivery method chosen may also affect competition,
directly through the number of prime contractors who are bidding the project and indirectly through the
number of subcontractors included in the bids of the primes.
Risk Factors
Projects with more risk are likely to cost more, thus formalized risk-estimating methods may be appropriate
in certain circumstances. Preparation of a risk-based cost estimate places more attention on major cost
components when risk is a signifcant issue and variances in these components can be consequential. In
some circumstances, it may be appropriate to consider alternate design choices that may have the beneft
of minimizing some aspect of risk on a project. For example, a facility could be relocated to a different area
of the site to minimize the chance of disturbing contaminated soils, or materials could be selected that are
known to be readily available rather than materials that are in short supply.
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For more discussion of using
MasterFormat and UNIFORMAT
as a structure for cost-
estimating review topic 13.5
Construction Cost Management
in The Architects Handbook
of Professional Practice, 14th
Edition.
Using Standard Formats
Use of a standard framework for classifying and managing information is
essential for accurate building cost analysis. The most common framework
in the construction industry today is the 16-division MasterFormat
developed and managed by the Construction Specifcations Institute (CSI).
MasterFormat is extensively used throughout the industry as a format
for project manuals, specifcations, and other project data. Since the
MasterFormat structure resembles the basic way projects are procured
(subtrades and contract packages), it is often used as a framework for cost
control, scheduling, and estimating.
UNIFORMAT is a classifcation system based on physical building
elements, originally developed by the American Institute of Architects
(AIA) and the U.S. General Services Administration (GSA) in the 1970s.
The most recent version, UNIFORMAT II, refnes certain aspects of the
original system and has been designated ASTM Standard E1557-96
UNIFORMAT is best applied to conceptual and schematic estimating, while
MasterFormat is more effectively used for detailed estimating and bidding.
It is not diffcult to cross reference the two systems.
Applying Cost-Estimating Methods
Any cost-estimating method used should be consistent with the level of
information available and the time available to prepare the estimate. Cost
estimating methods tend to fall into four major categories:
1. Single-unit Rate Methods (SUR)
2. Parametric/Cost Modeling
3. System/Elemental Cost Analysis
4. Quantity Survey
The fgure on the opposite page shows when these estimating methods
generally can be applied to overall delivery of a project.
Single-unit rate methods tend to be appropriate in the planning and
programming phases of a project. Parametric and cost model estimates
are generally used during schematic design and early design development.
Systems and elemental estimates are best during design development and
early construction documentation. Estimates based on a quantity survey
can be used almost any time but are generally most appropriate when
documents are reasonably detailed, such as during design development,
construction documentation, and bidding and construction. At any time,
these techniques may be used to cross-check overall costs.
1. Single-Unit Rate (SUR) Estimating Methods
Single-unit rate estimating methods are subdivided into four major
categories:
Accommodation method
Cubic foot method
Square foot method
Functional area method
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Accommodation Method
For this method, an estimate of overall construction cost is calculated using the cost of selected units of
the facility as a baseline. For example, parking garages can be measured per parking stall. Apartment
buildings might be measured on cost per apartment. Performing arts facilities and auditoriums can be
measured on cost per seat. Hospitals may be measured on cost per bed. The accommodation method is
often used to provide very preliminary estimates or to provide a quick check and assessment of a current
project estimate.

Cubic Foot Method
This method of analysis is not generally used in the United States except for volume-dependent facilities
such as warehouses. Although it can be effective, the cubic foot method tends to be awkward for use in
most facility types. Nonetheless, certain European countries, especially Germany, routinely use cubic
measures as a means of budgeting facilities.

Square Foot Method
This is the most commonly used initial budgeting mechanism in the United States. It can be effective,
but care must be taken to ensure the programmatic basis of each is comparable when costs of
different facilities are considered. In addition, the method of measuring must be consistent for project
comparisons to be valid. A number of published sources provide square foot costs. A commonly
referenced one is the RSMeans, Building Construction Cost Data.

Functional Area Method
This approach to estimating is based on functional space types. A functional space type is defned as
an area in a building that has a distinct functional purpose, for example, classrooms, a cafeteria, or a
gymnasium in a school. The advantage of determining cost by functional area rather than pure square
footage is that variations in space types and program can be considered in the basic estimate. Using the
school example, classrooms might cost $100 per square foot to build, while the gymnasium might cost
$200 per square foot. Overall proportions in a typical program of classrooms and gymnasium can be
accommodated. The functional area method allows for sensitivity to program elements.

The functional area method can be applied in two ways, either by pure space type or by core and shell
plus the functional space build-out. The frst option assumes equal sharing of the core and shell costs
among space types. The second derives the core and shell costs separately and then assesses the build
out costs of each space type.
2. Parametric/Cost Modeling Method
These cost estimating methods use predetermined models based on statistical analyses used to predict
facility costs. The process is most effective for repetitive facilities that have consistent programs, such
as those with industrial applications. Statistics are gathered from in-place construction and can be used
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As you research and look for
more information on topics
presented in the Emerging
Professionals Companion,
remember that a quick internet
search of keywords can be
incredibly useful to completing
your Activities.
to predict costs, especially for complicated systems that involve piping,
manufacturing, and processing components. These approaches have
less application in building construction.

Cost models can be prepared with computer models that project the
form, shape, and composition of building types. In the last several
years, computer based systems have been developed to help
designers model form and shape and determine building size. These
systems can also be used as a front-end device for cost modeling.
3. Systems/Elemental Cost Analysis
This approach to cost estimating provides a bridge between the
conceptual estimating methods described above and estimates
based on full, detailed quantity surveys, which are described below.
The concept behind this approach is subdivision of a facility into its
elemental components, generally using UNIFORMAT as a basis. The
level of detail included is a function of the amount of design detail
available when the cost estimate is prepared.

When very limited design information is available, a set of assumptions
must be made from which to estimate costs. It is possible to base these
estimates on historical information from similar facilities or historical
information about building components and elements. At an early
stage of design, before details have been defned, it may be desirable
to develop what are generally referred to as assembliescomposite
systems usually drawn from standard design details. These assemblies
can be accurately priced and are especially useful for comparative
purposes. Historical cost is an appropriate basis for estimates when
facility types and programmatic components are similar. Adjustments to
the historical cost information can be made if necessary.

Published sources of information can be used to prepare estimates
and to cross-check estimates prepared using other methods. RSMeans
produces a publication that contains cost models of various building
types, including selections of walls, fnishes, mechanical systems, etc.

A potentially more accurate estimate is one produced using an
elemental format that represents specifc conditions of the developing
design. This approach requires a combination of pricing mechanisms,
which could include historical costs, costs of systems and assemblies,
and detail cost analysis for selected items.
4. Quantity Surveys
The quantity survey method of cost estimating is usually employed
when detailed design information is available on the entire project or
at least major components thereof. The actual pricing approach may
include only total unit prices or labor, materials, and equipment. The
level of detail in the estimate is intended to refect individual units of
work in the way it will be carried out.
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Dealing With Escalation and Contingencies
Escalation and contingencies are cost factors that have not yet been identifed when an estimate is
prepared. All estimates, as estimates, potentially include escalation and contingency. These terms can be
defned as follows:
Escalation is the infationary cost growth anticipated between the time an estimate is prepared and the
project bid is accepted. Pricing represents known costs at the time the estimate is prepared, and escalation
is added to move the cost forward in time. This can be done in three ways:
1. Escalation that occurs during construction: For simplicity, 50 percent of the work is assumed to
take place before the midpoint of construction and 50 percent after. Therefore, the cost estimate for
construction is escalated to the midpoint to show what a potential bid might be. This is called a bid
estimate.
2. Escalation that occurs from the time the estimate is calculated to a projected bid date: In order for
an estimate to refect a future bid date, the bid estimate would be escalated for the amount of time
between the date of the bid estimate and the bid date.
3. Escalation calculated by the contractor and presented in a bid: Subcontractors preparing bids to
submit to general contractors usually include escalation in their numbers and guarantee the numbers
for a limited time. A contractor preparing a bid to present to the owner does the same.
Contingency is an allowance for work that is not completely defned when the construction estimate is made
but is anticipated to be part of the project scope. Contingencies tend to be added as a single factor made up
of several components:
Design contingencies depend on the degree of completeness of the design when estimates are
prepared and the degree of confdence the estimator has that the design will not change signifcantly.
Estimating contingencies refect the estimators confdence in the estimate. They can depend on the
extent of design development at the time the estimate is prepared, but other factors may also affect
the estimate, such as availability of materials, issues of site access/egress, and conditions of the
work. The design and estimating contingencies are usually included together and generally approach
zero as the documents are completed.
Construction contingencies are intended to refect cost increases that will occur after the construction
contract has been awarded. These contingencies are meant to cover unknown site conditions,
weather, and uncontrollable delays, as well as change orders due to inconsistencies/incompleteness
in the construction documents.
Owners contingencies are intended to cover the construction contingency but include an allowance
for scope increases and owner-elected changes.

What are reasonable allowances for contingencies? There are no absolute standards, but experience
teaches what fgures are sensible. For example, a major architecture/engineering frm advocates using the
following design/estimating contingencies:
Program estimates: 10-15%
Schematic cost estimates: 7.5-12.5%
Design development estimates: 5-10%
Construction documents estimates: 2-5%
Pre-bid estimates: 0%
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resources
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More information about value
analysis can be found in
topic 12.11 Value Analysis in
The Architects Handbook of
Professional Practice, 14th
Edition.
DellIsola, Alphonse J., and
Stephen J. Kirk. Life Cycle
Costing for Facilities: Economic
Analysis for Owners and
Professionals in Planning,
Programming, and Real Estate
Development : Designing,
Specifying, and Construction,
Maintenance, Operations, and
Procurement. Kingston, MA:
Reed Construction Data, 2003.
Understanding Value Analysis/Value Engineering
Value analysis (VA) is a cost optimization process that has been applied in
numerous ways in the construction industry for more than 30 years, mostly
under the term value engineering. The concept is also a problem-solving
process, and when applied correctly to a problem can have excellent
results. It is this aspect of the process that has led to use of the term value
analysis rather than value engineering. Unfortunately, VA has often been
employed instead as a last minute cost reduction process, resulting in
signifcantly reduced value for the owner.
The application of VA is not diffcult but does require patience,
concentration, and a certain amount of discipline. For best results, all
parties involved must agree on the objectives and be willing to work toward
common goals. When properly used, VA can be a useful tool for general
problem-solving, cost optimization, and value enhancement.
Understanding Life-Cycle Costing
Life-cycle costing (LCC) is an economic assessment expressed in terms
of equivalent costs. It is used to evaluate the signifcant costs of ownership
over the life of a product, assembly, system, or facility and to compare the
costs of various options.
Life-Cycle Costing Principles
In LCC analyses, both present and future costs need to be taken into
account and related to one another. Todays dollar is not equal to
tomorrows dollar. Money invested in any form earns, or has the capacity
to earn, interest. For example, $100 invested at 10 percent annual interest,
compounded annually, will grow to $673 in 20 years. In other words, it can
be said that $100 today is equivalent to $673 in 20 years time, providing
the money is invested at the rate of 10 percent per year
The terms interest rate and discount rate are generally used
synonymously, and refer to the annual growth rate for the time value of
money. The discount rate can be derived from the minimum acceptable
rate of return for the client for investment purposes or from the current
prime borrowing rate of interest.
Infation also affects an economic analysis because its ability to reduce
purchasing power over time must be factored in. This effect, more correctly
termed defation, means that more currency in the future will be required
to purchase the same goods. Some costs may exceed infation. For
example, energy costs have tended to increase at a rate 1-2 percent
above infation over the last 10 years. Thus, future energy costs need to be
infated differentially (above the general infation rate) by 1-2 percent. This
is referred to in life-cycle cost analyses as escalation.
Life-Cycle Cost Analysis Period
The period used in comparing design alternatives is an important
consideration. Generally, 25 to 40 years is long enough to predict future
costs for economic purposes and to capture most signifcant costs, since
90 percent of the total equivalent cost is consumed in the frst 25 years
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(at a 10 percent discount rate). Consideration of periods longer than 40 years generally add no signifcant
beneft to the analysis.
A time frame must also be assigned to each system under analysis. The useful life of each system,
component, or item under study may be its physical, technological, or economic life. The useful life of any
item depends on such things as the frequency with which it is used, its age when acquired, the policy for
repairs and replacements, and the climate in which it is used. Component replacement may be scheduled
several times in an overall facility cycle.
Categories of Cost
Typical facility costs for the owner over the life of a building can be subdivided as follows:
1. Initial costs
Construction
Fees
Other initial costs
2. Future facility one-time costs
Replacements
Alterations
Salvage
Other one-time costs
3. Future facility annual costs
Operations
Maintenance
Financing
Taxes
Insurance
Security
Other annual costs
4. Functional use costs
Staffng
Materials
Denial of use
Other functional use costs
Life-Cycle Costing Methods
Life-cycle costing requires adjustment of costs to a common point of time. Generally, one of two economic
methods can be used. Costs may be converted into todays cost by the present worth method, or they may
be converted to an annual series of payments by the annualized method. Either approach will allow accurate
comparison of construction alternatives.
notes
80
resources
1C
Fatzinger, James A. S. Basic
Estimating for Construction.
Upper Saddle River, NJ:
Prentice Hall, 2004.
Civitello, Andrew M., William
D. Locher, and Andrew M.
Civitello. Contractors Guide
to Change Orders: [how to
Resolve Disputes and Get Paid].
[Anaheim, Calif.]: BNI Pub.,
2002.
Present Worth Method
The present worth method requires conversion of all present and future
expenditures to a baseline of todays cost. Initial (present) costs are
already expressed in present worth. Future costs are converted to present
value by applying the factors presented previously.
Annualized Method
The annualized method converts initial, recurring, and nonrecurring costs
to an annual series of payments and may be used to express all life-
cycle costs as an annual expenditure. Home mortgage payments are
an example of this procedure; that is, a buyer opts to purchase a home
for $1,050 a month (360 equal monthly payments at 10 percent yearly
interest) rather than paying $150,000 all at once.
Other Economic Analysis Methods
Other methods of economic analysis can be used in a life-cycle study,
depending on the clients requirements and special needs. With additional
rules and mechanics, it is possible to perform a sensitivity analysis,
determine the payback period, establish a break-even point between
alternatives, determine the rate of return and extra-investment and rate-of-
return alternatives, perform a cash fow analysis, and review the benefts
and costs of using different products, materials, and assemblies.
All life-cycle costing methods, correctly applied, will yield results pointing to
the same conclusion selection of the alternative with superior economic
performance. Since the construction industry is capital cost intensive,
however, the present worth method is recommended. In addition, this
method tends to be easier to use and to produce easily understood results.
Integrating Building Cost Analysis Into The Design Process
Detailed cost estimating, value analysis, and life-cycle costing are all
useful tools and are all services beyond the basic requirements specifed
in AIA Document B101. Building cost analysis is the application of these
tools within the overall design process. The objective of building cost
analysis is to maintain balance and alignment between scope, user/owner
expectations, and budget, both from the outset and over time in a way that
makes clear the cost consequences of decisions.
The building cost analysis process has several key steps:
1. Prepare a realistic budget. Prepare a budget that properly
refects scope and expectations. This is the frst and perhaps most
important step in the process. The budget can be prepared using
an estimating technique appropriate to the information available
but, at the least, it should have budgets for each discipline. In this
way, the budget becomes a cost model for the facility. Adequate
reserves for escalation, contingencies, and risk must also be
included.
2. Subject decision-making to ongoing cost input. Design
decisions should be reviewed for cost implications as decisions are
made. This requires provision of cost input on an ongoing basis.
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notes
3. Prepare comprehensive milestone estimates. Periodic cost estimates, at a minimum, should
be prepared at the conclusion of each major phase of the project and reviewed by all disciplines
to ensure completeness and proper consideration of competition and market costs. Historical cost
analysis and benchmarking can provide an additional measure of justifcation for the estimates.
4. Focus on cost drivers. Details are important, but focus on the key cost drivers associated with each
discipline. The effort involves a balancing process and the recognition that to achieve overall cost
targets trade-offs and adjustments between disciplines will be necessary.
5. Revise design/objectives as necessary to maintain budget. If the estimate, as well as a
reasoned analysis of it, indicates budget problems, it will be necessary to revise the design itself and
possibly the design objectives to maintain the budget. After any necessary adjustments have been
made, the cost model should be revised to refect redistribution and reassessment of the budget
assigned to each discipline along with revised contingencies. This process continues to the next
milestone and becomes progressively more detailed in each phase of design.
6. Use value analysis as a cost management tool. VA can be used as an optimization tool and a
means of balancing competing design issues without compromising critical aspects of the design. VA
focus should narrow as the design develops, adjusting from conceptual issues to details, materials,
and systems.
7. Maintain sensitivity to life-cycle costs and sustainability. Life-cycle costing is a recognized
method for objectively comparing alternatives during design development and is an important
component of ongoing cost advice. Issues of energy effciency, sustainability, and reliability require
an organized approach and a proper economics-based analysis tool that can inform project decision-
making.
8. Learn from the process. Last but not least, learn from the process. Gather and maintain information
from past projects to use as input for current projects, and learn from the experience of others.
Written by Michael D. DellIsola, PE, CVS, FRICS
Michael D. DellIsola is a senior vice president of the Orlando, Florida, offce of Faithful+Gould. He has 30 years of experience in
cost control, value engineering, technical facilitation and partnering, life-cycle costing, and project management.
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Differences in the Cost of One-Story Versus Two-Story Schools
In this scenario, your frm is experienced in designing elementary and middle schools. A key client from
a local school system asks for help preparing for an upcoming school board meeting. There are several
new elementary schools planned and their approach has always been based on a single story design.
However, one of the school board members who is a developer of apartment buildings claims that two-story
construction could save money. Your client asks you for assistance in clarifying the costs of one-story versus
two-story construction for elementary schools.

Solicit assistance from mentors or those in your frm experienced with school construction. Review the
potential differences between one-story and two-story construction for the following:
Site and site work
Foundation
Structural
Roof construction and roofng
Circulation square footage
Vertical transportation
Plumbing piping
Air distribution
Emergency power/backup
Building security
Building operations
Child safety
Prepare a brief report that addresses the issues and compares the relative cost of two-story and one-story
construction.
version as a PDF.
Activity - Core
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1C
Preparing a Market Survey
For this activity, prepare a market survey of the local area.
A market survey explores the factors infuencing construction costs in a location. Pertinent data can be
gathered by interviewing local frms having knowledge of the construction activity in your area.
It will be necessary to contact frms/organizations in your area. Possible sources include: general and
subcontractors, contractors and builders associations, local government offcials, other architectural and
engineering frms, builders exchange and construction-reporting frms, and bankers and commercial
mortgage frms. Talk with your IDP supervisor or mentor about contacts they can provide to you.
Conduct a (partial) market survey. Select from the following list and address two or three categories:
Availability of major materials to be in the project
Capability of local fabricators, precast yards, concrete plants, etc.
Availability of labor crafts necessary for the project
Availability of special erection equipment
Anticipated capacity of local contractors during bidding period
Special conditions that might infuence bidding
Local escalation experience
Site accessibility
Prepare a written report that includes:
Who was contacted.
Where they are located.
When contact was made.
Why they were contacted.
What information was obtained.
A summary assessment with specifc recommendations.
version as a PDF.
Activity - Elective
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Corporate Headquarters Building Options
In this scenario, your frm is designing a headquarters for a company with 400 employees. The companys
master plan called for two, two-story buildings: each 50,000 GSF at a construction cost of $12,500,000.
The owners facility department is recommending the buildings be combined into one. Write a brief
narrative answering the following questions:
Will the single building be larger or smaller in total gross area?
Will the single building be more or less costly?
Are there other impacts on the buildings function?
The owners facility staff based their construction budget ($25,000,000 total) on expectations of a
competitive market with 6-8 prime bidders and 3-4 subcontractors per trade. It is now apparent that the
marketplace is much less competitive with 2-3 prime bidders and maybe, 1-2 subcontractors per trade.
What is your suggestion for a revised construction budget considering this level of competition?
version as a PDF.
Activity - Elective
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Initial Budget for a High School
Your frm has been selected to design a new high school. The school system has not constructed a new
high school in many years and has requested that you prepare a preliminary budget.
They provided following program:

Program
Classrooms 50,000 SF
Laboratories 8,000 SF
Gymnasium 12,000 SF
Auditorium 11,000 SF
The following provides a basis of budgeting (benchmark current year) using program spaces and overall
building core and shell.
Space Type Unit Cost
SF of Core & Shell x $
SF of Classrooms x $
SF of Laboratories x $
SF of Gymnasium x $
SF of Auditorium x $
RSMeans, Reed Construciton Data, Inc.
Research the cost per square foot listed above by consulting RSMeans. Once all costs are known,
prepare a draft budget using the revised unit costs.
version as a PDF.
Activity - Elective
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1C
The Price of Sustainable Design
In this activity, you will assess the cost associated with sustainable initiatives, examine the benefts and seek
to justify the expenditure.
In this scenario, Mr. Smith, the owner of a small retail store, has approached you to design a new location
for his growing enterprise. The client does not have a large budget, and doubling his inventory and sales
space to two locations is a risky venture for his small business. Your frm has a reputation in the local
community for sustainable design. This client is not familiar with the LEED rating system but is receptive to
improving sustainability and heard about your work when you won an AIA green design award last year. You
believe that seeking a LEED rating for the project is a good idea and will beneft the owner. Achieving this
rating may increase the cost of the project by approximately 3-5 percent.

Consider how to justify this additional expenditure to your client:
Outline four sustainability changes to include in the project that would have modest cost but
signifcant impact.
Estimate the initial cost premiums associated the changes.
Use life-cycle costing and value analysis to determine whether the higher LEED rating is actually
cost-effective in the long run.
Estimate the benefts of the sustainability changes to the design in both economic and non-
economic terms.
With the data you fnd, write a brief memo to the client justifying this additional expenditure.
version as a PDF.
Activity - Elective
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Initial Budget Overrun
In this scenario, your practice is invited in January to submit to a commercial client an expression of
interest to build a 275,000 GSF distribution facility. The owner has stated that the approximate budget for
construction is $10M. You respond and are short-listed. You are invited to an interview at which you submit a
fee proposal based on a general description of the facility and its scope provided by the owner.
To prepare your submittal and calculate your fees, you estimate that the construction and site work will cost
approximately $9.7 million, which correlates well to the owners budget. A week after the interviews, you
receive the good news that you have been selected to design the project (see Exhibit 1C-1).
You complete an intensive two-week evaluation of the clients program and requirements, as requested by
the client, and submit a pre-contract evaluation report. Working closely with a professional cost consultant,
you conclude that the scope, performance, and quality requirements refected in the program you developed
will require a budget of $13.5 million. This includes the fact that your analysis indicates the facility will
exceed 300,000 GSF. You are scheduled to meet with the client to discuss and defend your report and
recommend actions.
Prepare an outline agenda for the meeting. Consider the following questions:
The client said a budget of $10 million was based on a previous project constructed about fve
years ago that the owner claims was similar to the current project.
How will you defend projection of scope, quality and resulting estimate, while convincing the client
your work is accurate?
How do you explain it may not be affordable?
The owner has expressed concern over the schedule. If the design phase takes longer than the
client expected, how will you respond?
What are the next steps you will recommend to the client?
version as a PDF.
Activity - Elective
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Ofce Building Costs
In this scenario, your architectural practice has been retained to prepare the design for a headquarters
building of a small regional textile company, which has outgrown its administrative space that is currently
attached to one of the companys plants. The gross foor area is 50,000 SF, on a single foor.
No budget has been set for the project. You proceed to develop a two-story conceptual design and prepare
a cost estimate that predicts a construction cost of $8,000,000.
You meet with the company president and the reaction to your cost estimate is immediate and it is clear
their company expected to spend less. The president focuses on the cost per square foot ($160.00). A board
member contends that their company has just built an offce building and it only cost $120.00 per square
foot.
The president knows very little about design and construction. Decide how to explain why offce buildings
can vary a great deal in cost.
Talk with colleagues experienced in offce building design. Develop an outline presentation to the owner
including:
What are the major variables that affect the cost of offce buildings?
What are the assumptions on design approach, quality and other features that would be consistent
with a $160/SF offce facility? With a $120/SF offce facility?
Compare and contrast the above cost per square foot.
How would you convince the owner to spend more money?
If the owner remained fxed on $120/SF for the building, how would you proceed?
version as a PDF.
Activity - Elective
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Exhibit 1C-1
Back to Initial Budget Overrun
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1D
Planning & Zoning
Regulations
activities - core*
introduction
112
113

110
111
110
92 narrative 93
Same Floor Plans, Different Codes
ADA Compliance Checklist
Egress Systems
Complex Zoning
exhibits
----
Planning & Zoning Regulations
92
resources
1D
Internships.aspx.
2008.
Chapter 15 - Building
Codes and Regulations

2001.
Chapter 17.5 - Zoning
Process Assistance
2009.
Introduction
of the activities involved in planning and zoning regulations. The following
Planning and Zoning Regulations
Minimum Planning and Zoning Regulations Experience: 60 Hours
Defnition: Evaluate, reconcile, and coordinate applicable regulatory
requirements and professional design standards.
Tasks
Identify requirements of regulatory agencies
Prepare and present submittals for governmental approval
design review)
Permit and approval processes
Building codes, zoning codes, and ordinances
Accessibility laws, codes, and guidelines
Specialty codes and regulations (e.g., seismic, life safety, fair
housing, historic preservation, energy)
Universal design (environments usable by everyone regardless of
limitations)
Designing and delivering presentations
notes
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Narrative
The practice of architecture, the rules of conduct of our professional societies, and the licensing laws of
states and other jurisdictions all require protection of the public health, safety, and welfare. The AIA Code
of Ethics and Professional Conduct Canon 1: General Obligations, Rule 1.101 states that, In practicing
architecture, members shall demonstrate a consistent pattern of reasonable care and competence, and
shall apply the technical knowledge and skill which is ordinarily applied by architects of good standing
practicing in the same locality. In addition, under Canon III: Obligations to the Client, Rule 3.101 states
the following: In performing professional services, members shall take into account applicable laws and
regulations. Members may rely on the advice of other qualifed persons as to the intent and meaning of such
regulations.
Similarly, the NCARB Ethics and Professional Rules of Conduct state: In designing a project, an architect
shall take into account all applicable state and municipal building laws and regulations. While an architect
may rely on the advice of other professionals (e.g., attorneys, engineers and other qualifed persons) as
to the intent and meaning of such regulations, once having obtained such advice, an architect shall not
knowingly design a project in violation of such laws and regulations.
Most, if not all, state licensing laws have rules prefaced with language such as, In order to safeguard life,
health, property and the public welfare... As well, the International Code Councils International Building
Code begins, The purpose of this code is to establish minimum requirements to safeguard the public
health, safety and general welfare...
The frst step in complying with the charge to protect the public health, safety, and welfare is to gain a
clear understanding of the intent and use of the building codes and other regulations applicable to the
work of architects. This chapter of the Emerging Professionals Companion offers readers a foundation for
understanding and applying the codes and standards that infuence a conventional architectural design.
Codes and Standards Differ
A building code is a set of regulations adopted by a jurisdiction to defne the design, construction, and
materials that may be used to construct buildings and facilities with the goal of protecting the health,
safety, and welfare of the public. Codes generally are developed by nonproft organizations through a
process that brings interested and affected parties from the entire building community together in a public
forum to determine the provisions of the code. In order to apply to construction in a particular location, the
code must be adopted for that area by the pertinent legislative body (state legislature, city council, etc.).
Compliance with the code is administered by the authority having jurisdiction (AHJ) in the area, which may
vary according to building type. For instance, plans for hospitals often must be approved by the state health
department, while plans for a residence are approved by the local planning and zoning department.
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AIA Code of Ethics and
Professionals Conduct
Canon I: General
Obligations
Canon III: Obligations to
the Client
Download a copy of the NCARB
Ethics and Professional Rules
of Conduct: Distinction and
Clarifcation at
www.ncarb.org/Publications/
Mini-Monographs/Ethics-and-
Professional-Rules-of-Conduct.
aspx.
Learn more about the
International Building Code
(IBC) and the International Code
Council (ICC) via the following
website: www.iccsafe.org
While codes regulate what, where, and how buildings may be constructed,
the standards referenced in them are intended to ensure that materials,
engineering systems, and construction techniques meet safety
requirements. A building code may refer to a variety of standards. For
example, engineering standards relate to the design of a product and
testing standards relate to methods of determining the performance of
materials or assemblies. Standards cannot be applied to a project unless
they have been adopted, usually by reference in the building code, by the
jurisdiction where the project is located. Otherwise, standards are strictly
advisory in nature.
When designing a project, it is important to remember that the contents of
the building code are the minimum standards the project must comply with.
Designing to these minimum standards is not only the ethical thing to do,
it is required by law. Every member of the project team, from designer to
project manager to drafter, must understand these minimum standards in
order to meet the architecture professions licensing obligation to protect
the public health, safety, and welfare.
Prescriptive vs. Performance-Based Codes
Most architectural projects can be ft into one or more of the uses defned in
the building code, typically the International Building Code (IBC). However, a
client may ask for a building design that simply does not ft the parameters of
the code. This situation arises because the IBC and other building codes are
prescriptive in nature. In other words, they prescribe what must be done for
a building to be safely occupied for its intended purpose.
It may be diffcult to make an unusual project (e.g., a casino building in Las
Vegas) comply with the prescriptive measures of the IBC. In such a case, a
performance code approach may better address relevant issues. To begin
to address such situations, the IBC contains a section (104.11) that permits
a designer to use alternate materials, design, and methods of construction
and equipment. According to the International Building Code Commentary,
the code is not intended to inhibit innovative ideas or technological
advances unless the resulting design will be inherently unsafe. The
writers of a comprehensive regulatory document such as a building code,
the IBC Commentary continues, cannot envision and then address all
future innovations in the industry. As a result, a performance code must be
applicable to and provide a basis for the approval of an increasing number
of newly developed, innovative materials, systems, and methods for which
no code text or referenced standards yet exists. Section 104.11 of the IBC
was taken and fully expanded into the International Performance Code.
The difference between a prescriptive code and a performance code
is easily explained by using an ordinary automobile as an example.
A prescriptive code would tell you that in order to stop an automobile
traveling at 30 miles per hour on dry concrete pavement within 100 feet,
you must install disc brakes with non-asbestos pads that are connected
to all four wheels and simultaneously operate when you touch the brake
pedal. A performance code simply identifes the task of stopping the
same automobile, with all of the same parameters, in the same 100-foot
distance, no matter what technological methods or procedures are used.
notes
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In the United States at this time, a performance code is viewed as a relatively new approach to protecting
public safety. Therefore, some architects and authorities having jurisdiction (AHJs) are less comfortable
designing to a performance standard. However, from a common sense point of view, the performance
concept makes more sense than a prescriptive code.
Design Begins With Code Analysis
A code analysis is a systematic review and compilation of the specifc provisions of the locally adopted
building code that will affect the design and construction of a building or facility. It is one of the most
important tasks during the course of any architectural project. An incomplete analysis can have serious
implications on the degree to which a project meets the obligation to protect the public at the same time it
achieves the architects design intent.
Codes are divided into many chapters defning minimum requirements for the design and construction of
a building. The International Building Code (IBC) begins with a chapter devoted to the administrative and
operational procedures adopted by jurisdictions to enforce the code.
In chapter 2 of the IBC, the majority of terms used in the code are defned. Defnitions that are missing
may be found in the chapters that pertain to the subjects you are researching. For example, the defnition of
exit access is not found in chapter 2 but in section 1002.1 of chapter 10, Means of Egress. The remaining
chapters deal with subjects that are the technical meat of any codethe provisions that will govern the
components or features of a design.
There are prescribed steps to follow in analyzing a code, but before we address those we will review some
general rules every architect should keep in mind when working with building codes. Rule #1 requires your
complete attention; it is the most important rule and may be the only one you need to remember. However, it
is best to apply all of these rules to every project you design. In this chapter you will soon see that I caution
you more than once about prudent use of building codes. Not only is this chapter intended to coach you in
the use of codes; it is also intended to explain the pitfalls of applying codes halfheartedly.
Rule #1: Do not memorize the code.
The worst thing you can do is memorize what the codes say. Why? Because codes change. This is a good
thing because codes are usually changed to refect progress and technological advancement in the building
industry.
The danger of committing codes to memory is the possibility that you will design to a code provision that
has been changed, requiring costly re-design that risks budget, schedule, and client trust. Such errors,
although unlikely, often are not discovered until bidding. The worst-case scenario is discovery during
construction, when it is too late to alter the design.
You may become convinced you know what the code says, but dont let that prevent you from reading the
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Steiner, Frederick R., Kent
S. Butler, and the American
Planning Association. Planning
and Urban Design Standards.
Hoboken, NJ: J. Wiley, 2007.
code book every time you begin a new design. In addition, be sure to test
your current design against your original code analysis as construction
documents are being fnalized. Relying upon your memory alone may
mean missing something that was changed in the last code revision cycle
or remembering a detail incorrectly.
The real danger is that a code error will affect your design in a way that
is detrimental to both your in-house budget and the clients construction
budget. Your in-house budget may be exhausted, resulting in the redesign
being done at a fnancial loss to your frm. Or, the cost of redesign to
bring the project into code compliance may exceed the project budget,
causing the project to be delayed or even cancelled. Either effect can be
devastating.
As an example, the following is a true story involving the height of
guardrails. Guardrails had been in the codes at the same height for years.
The architect of a large two-story covered mall based the building design
on a code that was no longer applicable. All of the guardrails that lined
the second level of the open mall were of a custom design, rather than
something taken from a manufacturers catalog. After the railing system
had been installed, the building inspector issued a stop work order to
halt construction of the building because the guardrails were too low. The
AHJ refused to remove the stop work order, or red tag, jeopardizing the
widely publicized grand opening of the project. Because the railing system
was a custom design, retroftting the installed railing did not appeal to
the architects. They asked the owner to grant them time to redesign the
guardrail system, which would delay the opening. With different priorities,
the owner ordered the system retroftted with anything that would ensure
compliance with the height requirement and not endanger the opening
date. For the architect, the result was a visual nightmare, but the project
opened and was successful in the owners eye. The owner ultimately had
the retroftted system removed and replaced with a conventional system
and sued the architect to recover the costs. All of that could have been
avoided if the architect had checked the code provisions before creating
the design and committing an inadequate design to the construction
documents.
At this point you may ask why this was a problem for the architect. Why
did the AHJ not identify the problem during the plan check ? After all, the
jurisdiction issued a building permit and surely that means the project,
in its entirety, complies with the building code. WRONG! Codes contain
a provision whereby the AHJ is immune from prosecution and another
that says that nothing will forgive a violation of the code. The architect
is the frst interpreter of the building code, and some AHJs rely upon the
architects seal to ensure a project complies with the code. After all, the
architect is the person who sets the parameters of the design. Owners
expect architects to design projects that will satisfy their program needs,
and rely upon architects to produce projects that meet those needs,
including compliance with all applicable rules, regulations, and standards.
The AHJ is responsible for checking if the completed work of architects
and builders complies with the rules and regulations the jurisdiction has
adopted. Although AHJs review construction documents and inspect
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projects under construction, such reviews and inspections do not ensure a project complies with codes in
every instance. Section 109.1 of the IBC states, Approval as a result of an inspection shall not be construed
to be an approval of a violation of the provisions of this code or of other ordinances of the jurisdiction.
Rule #2: Verify what codes will be applied to your design.
It is vital for architects to understand code implications before design work begins because the
consequences of not designing to code are severe. Code compliance for each project is different, as it is
based on building type and what has been adopted and enforced in the jurisdiction where the project will
be constructed. Therefore, designers must make an exhaustive investigation of what codes, rules, and
regulations will be applied to the design and construction of every project.
Do not just call the offce of building inspection; rather, visit a responsible building offcial who can answer
your questions. Before visiting the AHJ offce, or even calling to make an appointment, prepare a list of
questions that need to be answered before you begin the design process. Ask which building, mechanical,
plumbing, fre, and electrical codes are being enforced by the jurisdiction, and ask whether any other codes
or guidelines will be used to assess your project. In particular, fnd out which edition of each code the AHJ
uses and whether there are any plans to switch to another code or edition; this information is critical, as
signifcant changes can occur from one edition of a code to the next. Also ask whether the codes or other
applicable documents have been modifed in any way for local use or if they are enforced as they were
published. This is important! Local offcials may assume you know more about how they do business than
you actually do; be sure to ask lots of questions.
Prudent designers not only ask the right building code questions, they also inquire as to any implications for
their projects of other regulations, such as zoning ordinances, historic district ordinances, deed restrictions,
or federal requirements, such as requirements of the Occupational Safety and Health Act, Environmental
Protection Agency, Department of Energy, or Americans with Disabilities Act.
Rule #3: Review your design with the AHJ before you commit.
The person, or entity, that reviews your project documents for compliance with the applicable codes and
standards has many namesthe building offcial, the code offcial, the fre offcial, etc. No matter what their
title, these offcials are the authority having jurisdiction over your work, so we will generically refer to them as
AHJs.
Before construction on your project can begin, the AHJ must issue a building permit. The issuance of a
permit means your construction documents have been found in general conformance with the codes
and standards enforced by the jurisdiction. In most locations, getting a building permit requires a very
lengthy, labor-intensive process. To help move things along, a second visit to the AHJ (after the frst visit
discussed in Rule #2 above) is recommended to review the fnalized schematic design. At that point, your
code compliance investigation should be complete so you can explain to the AHJ how the codes will be
applied in your design as illustrated in your construction documents. Make certain the AHJ understands your
interpretation of the codes and agrees with it and how you will apply that interpretation.
One thing most architects do not understand is their role as the frst, and often primary, interpreter of the
codes. It is not the AHJs job to tell you how to apply the code. It is their job to confrm that your interpretation
is correct and that you have correctly applied your interpretation to your construction documents. In view
of the architects role, it is vital that you visit the AHJ when you have both an understanding of your design
and of how the codes will affect it. Leave a copy of your code analysis with the AHJ and follow up with a
letter that confrms your meeting, what was discussed, and any agreements or acknowledgments regarding
interpretations of the code as applied to your project made by the AHJ.
It is prudent to visit the AHJ a third time when construction documents are near completion, just prior to
submittal for permit review. Take a copy of the code analysis initially reviewed with the AHJ and the letter
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Building Codes Illustrated: A
Guide to Understanding the
2012 International Building
Code, 4th Edition. Francis D. K.
Ching, Steven R. Winkel
Edition, topic 15.2, Building
Codes and Standards
confrming your prior meeting and its conclusions. Make certain the AHJ
understands how you applied your analysis to the construction documents
and how you have addressed each code issue. At this meeting you may
ask how long it will take to get the building permit. Make certain the
AHJ understands that these documents, when completed, will be the
documents submitted for the building permit.
When is a Code Analysis Performed?
As mentioned above, it is a good idea to engage in more than one code
analysis and review during the course of a project. The frst is done before
the design leaves the sketch paper and becomes an idea to be developed.
At this point, some basic determinations have been made, such as general
size, a general idea of materials, and proposed location on the site. The
suitability of a site for a given use, building size, or location can quickly be
determined through a preliminary code analysis. Since the feasibility of the
basic project concept affects the overall cost of a project, it must be one of
the frst considerations.
As a project design develops beyond the sketch paper stage, a more
detailed understanding of the code is required to ensure protection of those
who occupy the building. The design team often develops a code analysis
to be used at the transition between phases of a project and in discussions
with building offcials. Through a continual reference to this code analysis,
unexpected surprises for the project design can be avoided.
What Does a Typical Code Analysis Encompass?
The code book itself can guide you through the steps recommended for
completing a code analysis for your project; see the page titled Effective
Use of the Building Code. Entire books are dedicated to this process and
a copy of one of them may assist you.
The process recommended by each author will take you through issues
regarding the use and size of a proposed project. Following are brief
discussions of the issues that are most signifcant as you begin the design
process.
Occupancy Classifcation
Select the category in chapter 3 of the International Building Code that
describes the use or uses intended for the building you are designing. Most
of the occupancy classifcations are self-explanatory; for example, theaters
are Assembly Occupancies (A). Select the appropriate occupancy
based upon the features of your theater. If you are designing a multifamily
dwelling, the occupancy classifcation will be found in the residential
(R) classifcations. However, and dont let this confuse you, if you are
designing a single-family dwelling you will not fnd your project in the IBC.
Instead, if the local jurisdiction has adopted it you are likely to be using the
International Residential Code, which also covers townhouses that do not
exceed three stories in height. This is an instance in which Rule #2 is vital;
confrm which code applies to single-family houses in the jurisdiction where
the structure will be built.
notes
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Some projects will have more than one use and be classifed as mixed use occupancy. This usually
(not always) means the project will require the use of separation walls to divide the building into one or
more separate buildings as defned by the code. The IBC, for example, reads, Structures or portions
of structures shall be classifed with respect to occupancy in one or more of the groups listed. Where a
structure is proposed for a purpose which is not specifcally provided for in the code, such structure shall be
classifed in the group which the occupancy most nearly resembles, according to the fre safety and relative
hazard involved. In other words, the hazards contemplated by the occupancy groupings are broadly
divided into those related to people and those related to contents. People-related hazards include number
and density of occupants, their age or mobility, and their awareness of surrounding conditions. Content-
related hazards include storage and use of hazardous materials, as well as the presence of large quantities
of combustible materials.
Analysis of the occupancy classifcation, construction type, and height and area limitations must be carried
out simultaneously. These three factors together make up the basic code compliance package, as well as
the basic parameters of a project design. If they are not resolved in the early design stages of a project, they
will have serious implications for the success of your project.
Construction Type
Your design may depend in some ways on a construction type, such as steel-frame, wood-frame, brick, or
masonry construction. However, the code may limit the use of some building materials, possibly making it
diffcult to accomplish your design. Requirements for building height, area, and fre ratings depend on the
type of construction chosen for a project. Construction type also infuences construction costs, as costs rise
in tandem with fre resistance and structural performance.
Height and Area Limitations
Buildings are permitted to be a certain height or area based on the materials used to build them.
Determining height and area limitations for a project is one of the most important parts of a code analysis,
and may be confusing if not carefully considered. See the accompanying information, Applying the Height
and Area Table of the International Building Code, for more details about this topic.
Location on the Property
Determining where a project can be located on the site is another vital part of the code analysis. The
location of the building relative to the property lines, which is determined by zoning regulations, will
dictate much about the design of a buildings exterior walls. Placement of window or other wall openings,
projections, and fre ratings of exterior walls are all defned by codes.
Fire Suppression Requirements
To determine whether your project must be ftted with a fre suppression system, carefully read the relevant
portion of the applicable building code (chapter 9 in the IBC). You may choose to install an automatic fre
sprinkler system required because of the buildings occupancy class or other code requirements to gain
more height or area for your building.
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Applying the Height and Area Table of the International Building Code
Table 503 of the 2003 edition of the International Building Code (IBC) the height and area table is
used to establish the fre risk of a building. The fre-hazard level of different use groups (determined by
fre load and/or occupant load) is weighed against the fre load and fre-resistive protections of a building
construction type. The IBC makes certain assumptions regarding these two factors to determine the
heights and areas shown in the table.
In addition to the type of construction, two other factors increase or decrease the fre hazard of a building:
The proximity of adjoining structures and the fre suppression systems used. Equation 5-1 in the IBC is
used to calculate increases in the allowable areas shown in table 503 due to these additional factors and
to determine the largest single-foor area for a particular building. (See section 502 for the defnition of
building area to determine how to apply this fgure.)
Equation 5-1:
where:
A
a
= allowable area per foor (sq. ft.)
A
t
= tabular area per foor in accordance with table 503 (sq. ft.)
I
f
= area increase permitted due to frontage (%) as calculated in accordance with section 506.2
I
s
= area increase permitted due to sprinkler protection (%) as calculated in accordance with section 506.3
Before you can use equation 5-1, the frontage or open space allowance must be calculated using equation
5-2. An increase in the tabular area of a building is permitted when more than 25 percent of the total
building perimeter is open to a public way (street), or when other open space on the same lot or equivalent
open space is dedicated for public use with access to a street or approved fre lane. This access must
provide fre service access to the structure, provide safety for evacuees, and reduce exposure of the new
structure to and from adjacent buildings. Any space other than a public way must be at least 20 feet wide
to qualify as open frontage. Note that the maximum value of I
f
is 75 percent.
Equation 5-2:
where:
I
f
= area increase permitted due to frontage (%)
F = building perimeter that fronts on a public way or open space having 20 ft. open minimum width
P = perimeter of entire building
W = minimum width of public way or open space
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Continued from page 100
Several conditions apply to the use of equation 5-2:
1. W is the minimum width of a public way or open space around a building for purposes of this
equation. Therefore, the minimum value for W is 20. If the space is less than 20 feet in width, that
portion of the perimeter does not qualify as open perimeter in determining the value of F.
2. Section 506.2.1 limits the value of W/30 to 1, making the practicable maximum value of W 30
regardless of the actual width available. The exception for unlimited-area buildings does not apply
here because this equation is used to determine maximum areas permitted. The equation does
apply to unlimited-area buildings when it is used elsewhere to determine the fre-resistive-rating
requirement of an exterior wall.
3. In determining the value of P, the perimeter of any interior court must be included.
4. The value of F cannot include the perimeter of an interior court because that space is not
accessible from the public way (see item 5 below).
5. Open frontage perimeter that is not accessible from a public way cannot be included in determining
the value of F. For example, an open backyard may not be included if the access is only through
side yards, neither of which is at least 20 feet in width.
None of the above is intended to require a building to have a minimum perimeter of 25 percent open to a
public way or open space. This is only the minimum required to apply area modifcation equation 5-2.
The second part of equation 5-1 is simpler to calculate. When a building is equipped throughout with an
automatic sprinkler system designed and installed in accordance with referenced standard NFPA 13 as
stipulated in section 903.3.1.1 or exceptions thereto, the area of table 503 is permitted to increase by 300
percent for single-story buildings or 200 percent for multistory buildings.
The maximum allowable area determined by using equation 5-1 is restricted in several ways. First, it is
applied to the horizontal projection of the building (see the defnition of building area in section 502)
per foor to a maximum of three stories (section 503.3). Therefore, the maximum total area of a building
is three times the maximum allowable area calculated by Equation 5-1. In buildings greater than three
stories, this area must be distributed throughout (not necessarily equally), with no foor greater than the
value calculated in equation 5-1. Note that the height modifcation provisions of section 504 do not change
the three-story limit.
The other application restriction affects basements. When a single-story basement is not above grade
(see defnitions in Section 502), the basement is not included in the calculation of the total building area.
Its area is, however, limited to the maximum allowable area for a single story as determined by equation
5-1. This permits a single-story basement that has a larger area than the stories above, particularly if the
building exceeds three stories.
If there are multiple basement stories, only one is exempt from the total building area calculation, and the
exempted basement area is still limited as noted above. The other basement stories are included in the
total building area.
Written by Jerry R. Tepe, FAIA
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Ching, Frank, and Steven
R. Winkel. Building Codes
Illustrated: A Guide to
Understanding the 2012
International Building Code.
Hoboken, NJ: John Wiley &
Sons, 2012.
resources
In addition to checking the code, it is very important to check with the
authority having jurisdiction to determine if a sprinkler ordinance has
been enacted locally. Many jurisdictions have such ordinances, which are
generally more restrictive (e.g., requiring installation of sprinklers when not
otherwise indicated) than the provisions of the International Building Code
or the International Fire Code. Because sprinkler protection is becoming
a more widespread requirement, it is best to design a project as though
a sprinkler system is required until you fnd out otherwise. Integrating
sprinklers from the outset of design, using the standards that regulate their
placement, can prevent interference with your design intent if sprinklers
have to be added later.
Means of Egress
Because of its direct effect on public safety, the means of egress from a
buildingboth everyday use and panic modedemands careful review of
the applicable building code. The occupant load for a building or portion(s)
of a building is specifed in the building code to determine the size and type
of egress system required. These requirements have a great effect on the
building design, making a careful check of the code doubly important.
The frst step in designing an exiting system is to determine the occupant
load of the building. This calculation specifes the maximum number of
persons who may, according to the code, occupy a building, or a portion
of it, at any one time. Certain occupancy classifcations have special
exit system requirements. The minimum number of occupants any exit
must accommodate is established by the largest number of occupants
calculated for a room or building foor. (The relevant portion of the IBC is
sections 1003.2.2.1 through 1003.2.2.3.) The width of corridors, exit doors,
and exit stairs is derived using formulas in the code after the occupant load
has been determined for each room and foor in the building.
Accessibility
Accessibility has been a design consideration since 1958, when President
Dwight D. Eisenhower created the Presidents Committee for the Physically
Handicapped. At that time, the American Standards Association (now
NSI) was asked to develop accessibility specifcations that would set
the basis for designing buildings and facilities for access by the disabled.
The resulting document has evolved into todays standard for providing
access to all sites and structures and the Americans with Disabilities Act
Accessibility Guidelines.
Today, accessibility is mandated by federal, state, and local laws. Basically,
everything you design is required to be accessible to disabled individuals.
There are some exceptions, but they are limited. You must do careful code
research if you feel a project is not required to follow accessible guidelines.
Coordinating the Work of Others
Architects often employ consultants to assist in designing a project.
Architects do not perform the technical work of their consultants; rather,
they coordinate that work with their architectural work. Look at it this way:
The buildings you design are like a human being. Each building has a skin
and bones (the structural system) and a brain (the M/E/P systems) that
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2000 IBC Handbook, Fire- and Life-Safety Provisions
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go inside the skin. If the internal parts do not ft within the skin, then the design and the designer have failed
the client. Therefore, while the architect may not be required to actually perform a code analysis for their
consultants, they must coordinate and make certain the consultants work has been performed so nothing
about their work will adversely affect the project.
As an example of the importance of coordinating engineered systems designs with the architects design,
consider this: If the corridor walls and ceilings require a certain fre resistance rating, all of the ductwork that
penetrates the walls and ceilings can be required to have fre dampers installed. Leaving these dampers
out of a set of bid documents can add signifcant cost to a project in the form of a change order.
Accessibility Upfront
Accessibility standards for buildings and facilities are mandated by several laws, including the Americans
with Disabilities Act (ADA), the Architectural Barriers Act (ABA), HUD and the Fair Housing Act, and,
often, by one or more state or local building codes. Any one, or all, of these may be applicable to a
single project. Today these requirements more than ever before affect a great many building features,
components, and fxtures. They can also affect fundamental aspects of building design, including size and
confguration of rooms, location of doors, and systems for vertical movement.
Accessibility standards and guidelines include, among others, the ADA Accessibility Guidelines (ADAAG),
the Fair Housing Act Accessibility Guidelines (FHAG), the Uniform Federal Accessibility Standards
(UFAS), ANSI A117.1, and the ICC International Building Code (IBC). In addition, many states have
accessibility laws, some with their own unique provisions. Although much effort goes into making federal
guidelines and model codes technically consistent, and many states and local jurisdictions adopt the
model standards, differences remain. The U.S. Access Board has developed federal accessibility
guidelines for childrens facilities and for recreation facilities such as fshing piers, boating facilities,
miniature and full-size golf courses, exercise facilities, swimming pools, and playground surfaces and
play equipment. While these guidelines have not yet been incorporated into federal law, they have
been published and are readily available so they may be considered to serve as a standard of care for
architectural design. The Access Board is also working on guidelines for public rights-of-way, passenger
vessels, and outdoor developed areas.
Careful investigation of applicable codes, standards, and guidelines early in the design process is
essential to minimize exposure to litigation and prevent the inconvenience and additional time and
expense of redesigning and revising plans and specifcations for compliance. The later changes occur in
the design process, the greater the consequences. Certainly, integration of accessibility standards into
a design should be accomplished before construction documents are prepared so that changes are less
costly and take less time.
One way to ensure accessibility requirements are incorporated in every project is to adopt mainstreaming,
an approach that has emerged in the development of accessibility standards. This concept involves
incorporating accessibility compliance as an integral part of the design process, rather than an activity that
is carried out separately. For example, the minimum clear width of 32 inches the model code requires for
doors to accommodate people with disabilities would be incorporated in the chapter on means of egress,
rather than in a separate accessibility requirement. Placing a provision that accommodates the disabled in
the main text of a code is referred to as mainstreaming. Architects can similarly mainstream accessibility
considerations into their design process. There are already enough issues that can complicate a design
project; if accessibility considerations are main streamed, chances are accessibility compliance will not be
one of them.
Written by Ken Schoonover, PE
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A Code Research Example
This section will guide you through the development of a building code program, also referred to as a code
analysis for a hypothetical library project.
The Scenario
The project is intended to create an underground and above ground addition to a historic library structure
at a major state university in western Pennsylvania. Additional space is needed to house the universitys
growing book collection and to meet the need for private group study spaces and conference spaces both
large and small. State-of- the-art technology for video conferencing and multimedia presentations must be
accommodated. In addition, the project includes structural repair and total renovation of the M/E/P systems
of the existing building.
The programmed intent of the client is for the addition to be a stand-alone building connected to the existing
library with a lobby or similar element in order to exempt the existing building from compliance with the new
code. Your frm would prefer to build the addition adjacent to, but not physically connected to, the existing
building. This decision has important code implications in that if the addition is a totally separate building it
must comply with all provisions of the 2000 International Building Code.
The renovation work that will be undertaken in the existing library building, on the other hand, need not fully
comply with the IBC as long as the renovation work does not cause the building to become unsafe. This
situation exists because of a practice called grandfathering, in which existing buildings are permitted to
adhere to the provisions of prior editions of the code. The code does not address grandfathering, except by
allowing an existing building to remain in its original condition if renovation work will not make it unsafe.
The premise is that you must consider an existing building was safe when it was constructed and frst
occupied. If nothing has happened to appreciably change the building, it can remain as built even though it
may not fully comply with the current edition of the building code.
Clarifying the Clients Expectations
The scenario just described is a picture near the beginning of project delivery, and a lot of questions must be
asked and answered before your frm can go forward with a design. Following are some questions you may
need the client to answer in order to understand the project.
Q. Since this is an addition to an existing facility, do you want us to use the same interior and exterior
materials in the new building? (This should not matter to the designer, but it is important to the code
reviewer and the specifcation writers because it relates to the fre ratings assigned to construction
assemblies by the code.)
A. The campus has an overall architectural style that includes the use of brick and cast stone on the
exterior of buildings throughout the campus. We would like you to use the same materials in this new
structure.
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Q. How big should the addition be? (The designers will set the
size of the foor plates and the height of the addition, and these
dimensions are based on the needs of the project as determined during
programming. Nonetheless, it is useful to know if a client has some
ideas about size when you are researching the height and area tables
and assigning construction types and assemblies to be studied during
the code analysis.
A. The building program, developed by the university, has set the
square footage required to house the book collection (allowing for
future expansion) at 250,000 square feet. This does not include the
square footage desired for meeting, study, and conference rooms, nor
that needed for the building support functions. (The actual area of the
building will not be known until the designers have completed their
work.)
Q. Will the new design allow free pedestrian movement between the
two buildings, or will there need to be a defnite fre-resistant separation
between the two? This is an important code issue.
A. This is strictly a design consideration and the architect is free
to create the connection in a manner he or she considers the least
damaging or imposing in relation to the existing historic faade.
Q. Will the new buildings mechanical and electrical systems support
the existing building or will the old systems be totally revamped as
stand-alone systems?
A. The systems in the existing building are to be removed and replaced
with services that will be housed in the new building. This arrangement
is desirable because of the water damage the old systems caused to
the historic structure.
Q. Can we use conventional fre suppression systems, or must there
be some systems that do not rely on water for fre suppression? Is
there a requirement to use both water and waterless systems?
A. The university wants to make use of both types of fre suppression
systems. As the project develops, the university staff will work with the
architects and consultants to determine which portions of the building
will have which system.
Q. To what extent are openings in the exterior envelope desired by the
university?
A. This will be both a design consideration and a function of the
buildings relationship to other existing buildings. The book stacks are
to be located on the interior of the building and arranged so that direct
To become a serious code
user, invest in the following ICC
publications:
2000 IBC Workbook: A
Study Companion
Architects Guide to the
2000 IBC
These books will provide
practical learning assignments
for independent study of
the International Building
Code. Some of the exercises
provided with this chapter of
the Emerging Professionals
Companion have been extracted
from these books (all with the
permission of ICC).
resources
notes
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sunlight does not reach the books. If the overall building design is enhanced by windows (or skylights),
the architect must consider how these openings will affect the function of the spaces they are in, how to
deal with any excessive energy losses, and what fre protection may be necessary because of the close
proximity of other buildings.
Q. What types of conveyance systems are anticipated? Will open shafts house escalators, or will the
conveyance systems be conventional elevators?
A. Again, this is a design issue and not specifed by the building program. However, the university staff
has not envisioned anything other than elevators. If the architect contemplates escalators or other
people movers, those decisions will be made in the design presentation process.
Executing a Building Code Analysis
The AIA standard forms of agreement and the conditions of the contract for construction set out the
responsibilities of all the parties involved in a project. Make certain you familiarize yourself with those
agreements and govern yourself according to what is required of the architect. Understanding your
contractual responsibilities is as important as performing an accurate code analysis.
Verifying that all aspects of your design comply with applicable building codes and guidelines is vital since
the fnished structure must comply with them. To help with this task, frms often devise their own building
code analysis forms to use as a guide. A sample code analysis form appears on the following page to
illustrate the basics of code review, but do not treat it as a complete or master form for use with every
project. Code analysis forms should be unique to each project. You will be required to think through the code
issues on all your projects as you begin the work of designing.
Even though the building program may identify certain code features, you must always verify what the code
requires. In this example, the building occupancy/use for the project was established by the program, which
states that the building will be used as a library (refer to A-3 in section 303.1 of the 2000 IBC). When you
check the tables, you will fnd that library is not listed. Remember, what you are looking for is the building
use, rather than the building type. It takes some imagination, but what you have to do is think of what
common action, or feature, will apply to people using the building.
In the case of a library, people assemble and make use of a facility that will house books. Libraries offer
spaces for people to study and gather for meetings, lectures, and other public events, functions that are
assembly uses. Offces and spaces that serve other support functions in the library are considered
auxiliary uses, so do not require the building to be classifed as mixed use.
The owners building program also indirectly sets the construction type for the project. The square footage
needed to accommodate the building function requires Type I construction. The code provides for exceptions
and other ways to increase the allowable square footage if a different construction type is employed. In this
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case, however, those exceptions and allowances were exhausted because the existing building is a historic
structure and over the years other buildings went up around it. Immediately to the north of the library was a
much older building that was in worse condition, so the university decided to sacrifce that structure to gain
a building pad for the new addition. Even with this space, the new building will be close enough to existing
buildings that the code will require compliance with the most restrictive fre resistance requirements.
Fire suppression systems are always required for buildings with an assembly use. Therefore, conventional
fre suppression systems will be used in most of the building, in accordance with NFPA- 13 standards,
but special fre suppression systems that do not employ water as the suppressant will be used in certain
sections of the library.
Building Code Analysis Form
Item Remarks
The Design Codes 2000 Edition International Building Code
Edition International Plumbing Code
Edition International Mechanical Code
Edition International Fire Code
Edition NFPA National Electric Code
NFPA 13
Building Occupancy Classifcation A-3 Library. Established by the Owners
Program. Refer to Section 302.1
Construction Type Type I (Required, based upon Program S.F.)
Refer to Table 503
Building Area Unlimited (Based upon Construction Type)
Refer to Table 503
Building Height Unlimited (Based upon Construction Type)
Refer to Table 503
Table 503 Analysis Refer to Height & Area Sidebar
Fire Suppression System Required by Section 903.2.1.3
Allowable Occupant Load Refer to Section 1003.2.1 & Table 1003.2.2.2
Number of Exits Required 4 - Refer to Sections 1004.2 & 1005.2.1
Corridors Construction Refer to Section 1004.3.2
Maximum Allowable Travel Distance 250 Feet, Refer to Table 1004.2.4
Exit Locations Refer to Section 1004.3.2.2
Exit and Corridor Width Refer to Section 1004.2.2.2

Narrative Written by Jim. W. Sealy, FAIA
Jimmy Sealy, an architect and consultant in Dallas, Texas, has participated in writing building codes and standards since the
early 1970s. He most recently served as a member of the International Code Council drafting committees for the International
Performance and International Residential codes. Sealy serves on building codes and standards committees for Underwriters
Laboratories, the National Institute of Building Sciences, the National Institute of Science and Technology, the Applied Technology
Council, and the American Institute of Architects.
Activities Written by Terry L. Patterson, NCARB
Terry Patterson is the W. Edwin Bryan, Jr., Professor of Architecture at the University of Oklahoma College of Architecture where he
has taught architectural technology and design for 24 years. He is the author of Illustrated 2003 Building Code Handbook and other
publications on building materials and technology.

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Same Floor Plans, Different Codes
In this scenario, a repeat client has come back with another project. The frst project was a suburban two-
story, wood-framed, brick veneered condominium complex without sprinklers. It was a fnancial success in
part because the design amenities attracted a large number of buyers. Given the success of that venture,
the client wants your frm to design a ten-story version of the same project, to be located in the urban center
of a large city in another state. The client expects the project can use the same foor plans on multiple
levels. Consequently, he wants to negotiate a minimal fee for the design phase of the work.
Your frm must convince the client that a signifcant amount of design work will be required. Your supervisor
has asked you to research the building code ramifcations of the proposalhow the changes in size
and location of the project will affect your frms work with regard to building code, zoning laws, and the
Americans with Disabilities Act and the Fair Housing Act. Colleagues in your offce are preparing studies on
other aspects, so your focus is limited to code issues.
Write a report to your client addressing three changes to the plans and elevations that might result. Base
your responses on the following questions and suggested categories for examination:
1. What ordinance requirements related to location must be considered?
Building height
Fire zone versus building materials
Setbacks versus opening protection
2. What building code requirements related to building size must be considered?
Building height and foor area limitations
Construction type
Fire protection systems
Means of egress
Accessibility
3. Explain to the client how this project is affected by and local, state, or federal regulations between
two-story and ten-story projects. Assume your jurisdiction is the local area.
4. Encourage the client to view sustainable design as a way to save money in a larger building.
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ADA Compliance Checklist
Compliance with the Americans with Disabilities Act (ADA) is a challenge facing architects in every aspect
of architectural practice. This act, which is a civil rights law as opposed to a code, asserts guidelines
for assuring accessibility to the built environment for physically disabled citizens. Failure to comply with
accessibility guidelines can cause an architect to incur risks for monetary damages to building owners, if the
owners and their built works are found not to be in compliance and remedial construction is required. Worse
yet, owners may be found to be liable for monetary damages to disabled citizens giving rise to potential
claims against the architect. Errors and omissions involved in failing to comply with ADA requirements can
be very serious for architects because the errors tend to be discovered only after construction is completed,
a time when all costs to remediate are more likely to be assessed as the architects responsibility.
Only a few primary areas cause most of the problems for architects. As the project manager you are
primarily responsible for organizing others to do work, but if you have a detailed understanding of
accessibility issues, you will also be able to infuence the outcome of the work of others with greater
precision.
Please reference the following documents:
Common ADA Errors and Omissions in New Construction and Alterations; Department of Justice (PDF)
ADA Standards for Accessible Design; July 1, 1994, Department of Justice (PDF)
To address ADA design issues on your projects create an ADA compliance checklist. Study the current
edition of the ADA Standards for Accessible Design, and Common ADA Errors and Omissions in New
Construction and Alterations. Create an outline of the major issues which affect architectural drawings.
Using the errors and omissions studies as a guide, prepare a checklist of major requirements of the
section of the design standards entitled, Accessible Elements and Spaces: Scope and Technical
Requirements.
Differentiate between those items affecting the drawings and those affecting the specifcations in your
checklist. The ADA Standards for Accessible Design contains many drawings and sketches that explain
layout and dimension requirements. In order to create your checklist as a visual guide, place reference
copies of these drawings, where appropriate.
As you prepare your checklist pay attention to the following issues:
Is it important to have an accessible route to an accessible entrance to accessible parking?
What is the maximum slope of a ramp in an accessible route through the site?
What kinds of handrail extensions are required at stairs?
How many primary ways are there to access doors, and what maneuvering space is required?
What protrusions are allowed in circulation paths?
What are the circulation requirements into and through toilet rooms?
What are the dimensions of accessible toilet stalls?
What are the acceptable dimensions and details of accessible showers?
Take care to prepare the checklist and visual guide in a well-organized manner; it helps as a design and
project management aid in the future.
Share your work with your IDP supervisor or mentor and make suggested changes.
Activity - Core
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Egress System
An overlay consists of egress and fre safety zones. Separation of different occupancy classes may require
fre-rated partitions in a building, which means that all the doors, ducts, and other penetrations of the
partitions are fre-rated as well. In this case, the HVAC system has to be designed to prevent the spread of
smoke. In large buildings, HVAC fans may be involved in pressurizing compartmentalized zones adjacent
to a fre and depressurizing the fre zone itself. Structural systems are fre-rated, interior fnishes are fame
retardant, and so on.
The egress system must allow for safe exit paths to unobstructed sky (or at least a safe place of refuge) in
the event of emergency. Egress is a geometric overlay of routes and passages as well as a system of safe
construction standards. Many occupancy-based building codes regulate dimensions such as the length of
dead-end corridors, the maximum diagonal distance to an exit, the number and width of required doors, and
the width of the egress path itself.

Prepare an ideal building plan that presents the best interior layout and circulation to idealize fre safety.
They are to occupy ten intermediate foors of an offce tower with a 100 x 100 footprint. Draw a typical
layout for one foor. There will be clerical, staff, executive, conference, toilet, library, and utility areas. A 40
x 40 media center of 100 seats will be provided on select foors for teleconferencing and large meetings.
Be sure to include sustainability features in the design.
version as a PDF.
Activity - Elective
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Complex Zoning
Ask a colleague to refer you to a project that had a complex zoning circumstance. Carry out the following
exercises related to that project:
Review the zoning ordinance that governed the project.
Reconstruct the volume that constitutes the allowable building envelope for the site.
Develop a diagram illustrating the allowable building envelope.
Develop an overlay on the allowable building envelope that represents the building that was actually
constructed. Make note of the difference.
Browse through the zoning ordinance, or interview a zoning offcial in your city to learn about foor area
ratios (FARs). How could the FAR be a determinant in a building program? Floor area ratio (FAR) equals the
total covered area on all foors of all buildings on a certain plot, divided by the area of the plot.
Write a report that summarizes your fndings on this project. Be sure to include any charts and diagrams
used as well as the information learned from the zoning offcial. Review the zones described in the zoning
ordinance, and speculate how a mixed-use building (residential and commercial, for example) could be
dealt with in the architectural program.
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Activity - Elective
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exhibits
----
2A
130
131
132
133
134
A Design with a Potential Problem
Self-Sufcient vs. Green Architecture
Reections
Sustainable Design
Evaluation of Context and Precedent
128
116 introduction
activities - core* activities - elective 130
118 narrative
Creating an Alternative System of Proportions
Creating an Alternative Floor Plan
128
129
Schematic Design
Schematic Design
116
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Internships.aspx.
2008.
Chapter 12.2 - Design
Phases

2001.
2009.
Phases
Introduction
of the activities involved in schematic design. The following information is
taken from the NCARB IDP Guidelines:
Schematic Design
Minimum Schematic Design Experience: 320 Hours
Defnition: Involves the development of graphic and written conceptual
design solutions for owner/clients approval.
Tasks
Develop design concepts, including site design
Prepare schematic design documents
Apply sustainable design principles
Apply historic preservation principles
Prepare presentation materials (e.g., models, renderings, drawings)
Develop project phasing plans
3-D modeling
Adaptive reuse of buildings and/or materials
Alternative energy systems and technologies
Architectural history and theory
Basic engineering principles
Building design
Building Information Modeling (BIM) technology
Building systems and their integration
Computer Aided Design and Drafting (CADD)
Confict resolution
information)
Design impact on human behavior
Design principles
Freehand drawing and design sketching
Graphic communication
Implications of design decisions (e.g., cost, engineering, schedule)
Life safety
Manual drafting
Natural and electric lighting (e.g., daylight, solar control, energy
consumption)
Problem solving
Site design
Space planning
notes
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Knowledge Of/Skill In Continued
Spatial visualization and modeling
Sustainable design
Universal design (environments usable by everyone regardless of limitations)
Vertical circulation
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See Chapter 1A - Programming
for more information on
programming.
See Chapter 2D - Codes and
Regulations for more information
on building codes.
See Chapter 1B - Site and
Building Analysis for more
information on site analysis.
See Chapter 2C - Construction
Cost for more information on
building cost analysis.
Narrative
Schematic design is the frst of the fve increments of basic architectural
services defned in most AIA standard forms of agreement between owner
and architect. During schematic design (SD), the architect typically works
with the client and other project team members to explore alternative
concepts for addressing the clients needs. A preferred design direction
is selected for further exploration from these alternatives, and schematic
design typically ends with a presentation of the proposed design including
plans of each foor level, major elevations, outline specifcations, a budget
estimate, and other information needed to clearly describe how the design
meets the clients project program and goals. The language used to
defne this increment in the standard AIA contract form is quoted in the
accompanying sidebar.
Most of the examples of this process provided in this chapter have been
drawn from interviews with the design principals of frms that won the AIAs
Architecture Firm Award. This award is given annually to frms in which the
continuing collaboration among individuals has been the principal force in
consistently producing distinguished architecture for a period of at least 10
years.
Major Variables Affecting Design
The frst step in schematic design is usually identifcation of major issues
that must be addressedat least at a conceptual level. Although every
project is unique, the following factors generally are the basis for most
project designs:
Program
The program sets out the core of the design problemthe project
objectives and the spaces and functional requirements to be
accommodated. Most programs are unique to a project and client and,
therefore, call for unique solutions.
Regulatory constraints on design have increased steadily. Beginning with
simple safety requirements and minimal land use and light-and-air zoning,
building codes and regulations have grown into a major determinant in
design.
In addition to formal code requirements, a growing number of public
agency approvals infuence design in a more subjective, less structured
way. Many owners and their architects must adjust designs to satisfy
community groups, neighbors, and public offcials. These design
adjustments are often ad hoc efforts to meet objections or to gain support
rather than direct responses to codifed requirements.
Site
The building site, of course, has a major infuence on building design. Physical
characteristics (such as size, confguration, topography, and geotechnical
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issues), existing structures, environmental factors (views, existing vegetation, climate, solar orientation,
drainage), access, adjacent land uses, and many other site factors become considerations in the fnal design.
One site consideration that often has a signifcant effect on building design is the surrounding environment.
Not only does the community context have obvious effects on building confguration, it also frequently
infuences the scale, detailing, color, and texture of the fnal design. A more direct infuence on building
design are existing structures to be incorporated into the project. A growing percentage of building design
problems calls for working within the constraints of an existing structure.
AIA Contract Document, Description of Schematic Design
AIA B101, Standard Form of Agreement Between Owner and Architect, describes schematic design as follows:
3.2.1 The Architect shall review the program and other information furnished by the Owner, and shall
review laws, codes, and regulations applicable to the Architects services.
3.2.2 The Architect shall prepare a preliminary evaluation of the Owners program, schedule, budget
for the Cost of the Work, Project site, and the proposed procurement or delivery method and other Initial
Information, each in terms of the other, to ascertain the requirements of the Project. The Architect shall
notify the Owner of (1) any inconsistencies discovered in the information, and (2) other information or
consulting services that may be reasonably needed for the Project.
3.2.3 The Architect shall present its preliminary evaluation to the Owner and shall discuss with
the Owner alternative approaches to design and construction of the Project, including the feasibility
of incorporating environmentally responsible design approaches. The Architect shall reach an
understanding with the Owner regarding the requirements of the Project.
3.2.4 Based on the Projects requirements agreed upon with the Owner, the Architect shall prepare
and present for the Owners approval a preliminary design illustrating the scale and relationship of the
Project components.
3.2.5 Based on the Owners approval of the preliminary design, the Architect shall prepare Schematic
Design Documents for the Owners approval. The Schematic Design Documents shall consist of
drawings and other documents including a site plan, if appropriate, and preliminary building plans,
sections and elevations; and may include some combination of study models, perspective sketches, or
digital modeling. Preliminary selections of major building systems and construction materials shall be
noted on the drawings or described in writing.
Building Technology
Building proportions, as well as choice of materials and systems, are rarely determined arbitrarily and are
only partially based on aesthetic criteria. For example, the foor-to-foor height required to accommodate
structural, mechanical, lighting, and ceiling systems in a cost-effective manner varies signifcantly from an
apartment house to an offce building to a research facility. Similarly, horizontal modules are often set to
achieve maximum layout effciency; thus, the exterior fenestration of an offce building may be based on the
module of a typical offce width, while the fenestration of a hotel is based on the module of a typical guest
room. In other cases, the dimensions may be dictated largely by mechanical systems, the technical criteria
of the exterior materials, or the knowledge and preferences of the local construction industry.
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your Activities.
Cost
The owners budget is often the most-discussed infuence on building
design. Since projects generally have limited budgets, cost considerations
regulate almost all decisions, from building size and confguration to
material selection and detailing.
Sustainability
In Chapter 1B - Site and Building Analysis, the study of the site and climate
presented the design team with multiple opportunities for the incorporation
of energy effcient building principles into the project. At the schematic
design phase, the team must begin to formulate which of these principles
should be developed to meet the goals of the owner. A protocol such as
LEED requires certain energy strategies be initiated at this Phase in order
to receive LEED Credits.
Ethics
What conficts has the design created with the neighbors? With the
community? Who bears the responsibility for researching valid design
alternatives? These questions and other issues can potentially become
signifcant ethical dilemmas for consideration by the architect and design
team as the schematic design for the project is being developed.
Other Team Members
The design of few projectsand virtually none of any size and
complexityare carried out by a single individual. Many projects require
a team of architects supported by as many as a dozen specialized
consultants. Each of these team members will have some input on the fnal
design.
The Client
A central ingredient in most successful design projects is a good client.
Some clients have a clear idea of program, budget, and other project
objectives, including the fnal appearance of a building. Others look to their
architect to help them defne the project objectives, as well as to design
a building that meets their goals. In both cases, the effectiveness of the
marriage between client and architect affects key design decisions made
throughout the project. Eero Saarinen expressed the central importance of
good architect-client relations in this suggestion: Lets see if we can make
this guy into a great client.
The above list of factors that affect the design process is far from complete.
Almost every project has a unique set of factors that distinguish it.
Primary Steps In Schematic Design
Despite the range of design opportunities and constraints that architects
face, the schematic design process used by most architects includes the
following activities in one form or another:
1. Analysis
Typically results in a defnition of the design problem.
2. Synthesis
Analysis is translated into a project concept.
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3. Refnement
The concept is worked into a design solution.
4. Documentation
The design solution is graphically depicted.
Step 1: Analysis
Design begins with analysis. The key objective of this initial step is to identify, analyze, confrm, and organize
the factors that will infuence the development of a design concept. Architects typically take the data
gathered and developed during the economic feasibility, programming, and site analysis stages of a project
and organize them for use in building design. These data may be provided by the owner or they may be
developed by the architect in the course of providing pre-design or site analysis services.

Each architect has his or her own approach to analysis. Some of the more common ones are described
here:
Program analysis. Many architects translate the words and numbers in a program statement into
graphic terms, developing charts, bubble diagrams, sketches of design concepts, and even three
dimensional models. These become design tools.

Virtually all experienced architects stress the need to take time to familiarize yourself with the project
program before design work begins. Most architects would prefer to be actively involved in programming,
which they believe is a critical starting point for design. However, even when the owner has prepared
a program before the architect is brought into the project, the architect needs to take time to review
and understand the program and to undertake the series of tasks used to convert the program into
understandable and usable design information.

For example, Charles Gwathmey and Robert Siegel of Gwathmey-Siegel & Associates usually work
with a senior staff member to reach a full understanding of the program and other issues particular
to a project. They diagram (to scale) all the program areas, noting adjacencies, mass, and other
characteristics. Next, they overlay this drawing on the site plan to get a sense of the scale and size
needed to accommodate the building as well as an understanding of its parts.

Site analysis. Important site data are typically diagrammed, organized, and drawn on one or more
copies of the site survey. Some frms may build a site model as well. These efforts yield a common
record of the physical, cultural, and regulatory factors discussed in Chapter 1B - Site and Building
Analysis. When organized in a common scale and format, these data often begin to point the way to a
design solution. No matter how well the data are documented, however, the architect needs to spend
time walking the site. As Roy Solfsburg of Holabird and Root puts it, an important part of the process
involves time for tramping and photographing the site and surrounding community.

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Kliment, Stephen, ed. Building
Type Basics series by John
Wiley & Sons, 2001 and later.
The site is almost always a major infuence on building design.
Romaldo Giurgolas statement that a building should respond both to
the order of the city and the order of the land illustrates the importance
of the site. His view is echoed by nearly all experienced architects.

Since many building design projects must work with or include
existing structures in the fnal solution, it is essential to establish clear,
accurate documentation of existing conditions, either by converting
existing drawings into base sheets for use in design or by creating new
measured base drawings. In addition to providing basic dimensional
data for design, this step typically identifes existing physical and code
problems.

Zoning and code analysis. Concurrent with the site analysis, many
frms convert zoning and other code issues into graphic form. In
the case of complex urban zoning codes, this may include graphic
representations of the zoning envelopethe height, bulk, setbacks, and
other limits imposed by the code.

When combined with parking and loading requirements, egress
considerations, building area and height limitations, and other code
requirements, this analysis can help the architect begin to shape the
program into a building mass that fts the site. In many cities, zoning and
other code constraints are a major architectural infuence. Where land
costs are high, the owner typically wants to fll the maximum allowable
envelope. As Edward Larrabee Barnes noted, however, the architect is
a professional: There are times where maximum exploitation is not the
right course, and the architect must argue for a smaller building.

Budget analysis. The project budget should be analyzed to determine
its implications for building design. Virtually all project budgets are
limited. The architect must make careful use of funds, applying more
funds to those elements of the building that appear most important to
the success of the design solution. This attention to cost may appear
limiting, but in commenting on cost and other constraints Robert Venturi
has observed, The best things happen [in the genesis of a design]
when you have to deal with reality.

The portion of a budget that is discretionary can usually be determined
by an experienced analysis of the budget. Analysis of the budget can
also establish clear guidelines for basic system selection during design.

Consideration of local construction industry practices. Concurrent
with an analysis of the budget, most architects consider the aspects of
local construction industry practice relevant to the design assignment.
This can range from what materials and systems are commonly
available to specifc detailing frequently used in the area. Local choices
are typically the most cost-effective for that region, and in many cases
refect climatic, code, and other local or regional considerations.

Scheduling considerations. The project schedule is more than a
project management tool. At times, it can also be an important factor in
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design. Major scheduling issues such as phasing, the time it takes to seek variances, and the sequencing
of design decisions to accommodate fast-track delivery can all infuence initial consideration of a design
concept.

Identifcation of architectural precedents. In many frms, an important aspect of the analyses carried
out at the beginning of schematic design is the study of relevant projects that faced similar or related
project issues (e.g., program, site, context, cost, etc.). Architects often familiarize themselves with the
design of such buildings to stimulate solutions for their own design problems. These analyses can also
help a client visualize some design ideas, as long as the owner is reassured the evolving design will not
be just a copy of the precedent.
Step 2: Synthesis
The architects combination of analysis and understanding and response of the data collected above is
the next step in schematic design. The combination of all this into a unifed solution is the synthesis that is
the core of concept design. There are many different approaches to this critical step. Lewis Davis of Davis
Brody Bond believes it is very hard to defne all the infuences that lead to a design: Very few architectsno
matter how consistent their workcan trace all infuences. Some are external, such as technology, available
materials, code, etc. Some are internal, such as the architects own education and experience or the building
just seen in Europe.

Some frmsincluding Venturi, Scott Brown and Associates; Holabird & Root; CRS; and Hardy Holzman
Pfeifferfollow approaches that generate and test several alternatives at once. Hugh Hardy notes that
often one proposes extremes or opposite possibilities to test an idea and elicit a response. Many assert the
need for an early idea. The strongest ideas are often the ones developed early, according to Lewis Davis.

There is usually some logic to the process that produces the initial sketches. Edward Larrabee Barnes cites
the evolutionary development of design concepts, There should be no clash of gears between the analysis
phase and design. But there is more than logic at work. In their work and in their writings, nearly all the AIA
Firm Award winners have commented on the importance of the non-rational, non-describable, and poetic in
the creation of a successful building design. At key points, judgment, taste, intuition, and creative talent take
over.

The particular design stimuli, organizing principles, areas of emphasis, and aesthetic vocabulary vary
according to the architect or frm, and the way in which architects synthesize these vary as well. Underlying
this diversity in the way architects approach schematic design, though, are some common tasks. Most frms
begin with analysis of the base data and then work through sketches, talking and thinking until they reach
the level of understanding necessary to form a concept.
Establishing design goals. The client and design team have goals, expressed formally or informally, for
the project. Beyond the frst conceptual steps involved in schematic design, the process becomes more
complex. In all but the smallest and simplest projects, subsequent steps involve teamwork.
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resources
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Miller, Sam F. Design Process:
A Primer for Architectural and
Interior Design. John Wiley &
Sons, 1995.
While it is true that most signifcant works of architecture are developed
under the guidance of a single strong design leader, most projects
have at least 10 team members involved in decision making (architects,
engineers, interior designers, consultants, construction managers,
public agencies, and, of course, clients). Thus, design excellence
results in part from the effective management of a complex team, all
of whose members contribute to the quality of the fnal result. (Learn
more in Chapter 3D - General Project Management.) It is important
to recognize and deal effectively with the many participants who play
a role in building design. Walter Gropius, a founder of the Architects
Collaborative, described the signifcance of a coordinated team effort
this way:
The essence . . . [is] . . . to emphasize individual freedom of initiative
instead of authoritative direction by a boss. Synchronizing all individual
efforts by a continuous give and take of its members, a team can raise
its integrated work to a higher potential than the sum of the work of just
as many individuals.
As important as teamwork and leadership from the architect are, the
client is an essential part of the design effort. As Charles Gwathmey
puts it, If you include the client in an understanding of the problem
and how you are responding to it, it makes the solution understandable
instead of a mysterious aesthetic proposition. Issues of taste go away.
During the schematic design phase, the architect and the client usually
meet regularly to evaluate the project concept and discuss design ideas.

Design Teamwork. Aesthetic guidelines for judging design decisions,
and project objectives help establish priorities when tradeoffs must be
made in the design solution. Compromises between budget and quality,
appearance and energy effciency, and sustainable design goals and
budget limitations, and hundreds of other decisions have to be made
within the context of an understanding of project goals and priorities. As
Paul Kennon of CRS asserts, It is important to have all of the cards on
the table and all of the issues identifed.
Developing a parti. Since a design problem can usually be solved
in several ways, another initial concept step is establishing a basic
organization, or parti, for the project. This may be a plan concept,
selection of a geometric form, a decision to mass the building vertically
or horizontally, or use of an organizing element such as a central
mall for the interior spaces. In thinking about this idea, you may want
to note this observation of Edward Larrabee Barnes: It is not just a
case of form following function. Sometimes function follows form. The
interaction is important.
In some cases, a basic design concept may stem from a particular
image or one of the partis commonly used in earlier periods of
architecture. Whatever the underlying principle, it is common for
architects to develop several partis prior to the testing and evaluation
steps that lead to a fnal concept.
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Selecting a design vocabulary. Complementing, or even integral to the development of, a parti is the
articulation of a design vocabulary. Architects work from a set of formal or aesthetic ideas that govern
how they synthesize their initial ideas into a complete building design concept. While few frms claim a
specifc unchanging vocabulary, architects are, in Lewis Daviss words, like painters . . . . We have a
palette of design elements that we are comfortable with, know how to use, and have found can produce
the best result.
This does not necessarily imply consistency. Paul Kennon noted that some architects develop a
vocabulary and refne it on each project. Others approach each project as a unique problem. They evolve
a vocabulary that may be cruder but which grows from the problem itself.
Creating and evaluating alternatives. Clients and design teams may have slightly different defnitions
of what is accomplished in schematic design, and their defnitions may vary from project to project.
However, certain objectives and products are commonly agreed upon. The primary objective of
schematic design is to arrive at a clearly defned, feasible concept and to present it in a form that the
client can understand and accept. Secondary objectives are to clarify the project program, explore the
most promising alternative design solutions, and provide a reliable basis for analyzing project cost.
Step 3: Refnement
Often the architect continues to explore two or more alternatives until a consensus is reached with the client
about the preferred design direction. Once this has been set, the design team refnes plans, sections, and
elevations to work out the major functional and aesthetic features of the proposed design.
Step 4: Documentation
Communicating design ideas and decisions usually involves a variety of media. Most well-known architects
make extensive use of models, but they also use other common study and presentation techniques. All stress
the need to spend focused time sketching and testing potential ideas to be included in the recommended
design. As Steven Izenour of the former frm Venturi, Rauch, and Scott Brown put it, No matter how good an
architect is, it takes a lot of time. Typical documentation at the end of schematic design can include:
A site plan created during programming or by the architect as a discrete service before schematic
design begins
An updated written and graphic building program
Plans for each level
Elevations
Two or more sections
Outline specifcations
A statistical summary of the areas included in the plans as well as a summary of other key
characteristics in relation to the program
A preliminary construction cost estimate
Other illustrative materialsrenderings, models, or drawingsneeded to adequately present the
concept
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resources
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Fawcett, A. Peter. Architecture:
Design Notebook. Oxford:
Architectural, 2003.
Drawings are typically presented at the smallest scale that can clearly
illustrate the concept (perhaps 1/16 = 10 for larger buildings and 1/4
= 10 for smaller buildings and interiors). Outline specifcations give
a general description of the work, indicating the major systems and
material choices for the project but usually providing little detailed product
description. As part of the schematic design work, the architect may agree
to provide energy studies, tenant-related design studies, life-cycle costs,
or value analysis; special renderings; models; brochures; or promotional
materials for the owner. It is also common for the architect to help the client
complete initial land use and code reviews before the design proceeds
to the next phase. Some of these reviews call for services beyond the
architects basic services. Many of these are included as additional
services in AIA Document B101, Standard Form of Agreement Between
Owner and Architect.
Final Approvals
The fnal step in schematic design is to obtain formal client approval. The
importance of this step cannot be overemphasized. The schematic design
presentation has to be clear enough to gain both the understanding and
the approval of the client. Once this has been obtained, most architects
recommend that each item in the presentation be signed and dated by
the client before design development services begin. While the successful
completion of this project increment typically sets the direction for design
development, it is only the frst step in the design process. The AIAs
standard description of the fve increments in basic services implies that
the process begins with a clear defnition of the clients program. It also
implies that the process can progress in a linear fashion through a series
of steps, each of which results in a more complete defnition of design, until
a project is suffciently detailed to go into documentation for bidding (or
negotiation) and construction.
The reality is not so orderly. Evolving program requirements, budget
realities, increased knowledge of site considerations (such as subsoil
problems), public agency reviews, and many other factors make it
necessary to go back and modify previous steps. Design moves forward,
but rarely in the linear fashion implied by the standard two-phase
description of designschematic design and design development.
Moreover, design rarely ends with completion of design development. Most
architects agree that design choices occur in every step of the process of
planning, designing, and constructing a building.
Written by Bradford Perkins, FAIA, MRAIC, AICP
Bradford Perkins is the founding principal of New York-based Perkins Eastman Architects.
He has been the principal in charge of more than 400 architecture and urban design
projects throughout the United States as well as many others in 20 foreign countries

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Creating an Alternative System of Proportions
In consultation with your supervisor or mentor, choose a completed project to analyze. This activity requires
you to study the composition and proportioning of exterior building elevations elements. Some materials are
a part of the buildings skin and provide shelter from the weather. Other materials are purely decorative
and provide either visual or representational relief or pattern from the body of the building.
Suggested order of elements to study:
1. Focus on the use of materials and consider the relationship of that material with the exterior grade,
various fnish foor levels, the corner of the building, the centerline of the building, etc.
2. Study the transition of one material to the next. Why does it occur at that location in the facade?
3. Consider the reason for these materials to be used together in the composition. What factorssuch
as cost, manufacturers recommended or available sizes, codes, and aestheticsled to the fnal
composition of the elevations?
4. Now look at the form of the building. Is the building symmetrical? Is it organized in the classical
manner of base-shaft-cap or is there some other organizing parti? What infuences created the
overall form? What is the style or history of the building (if applicable)?
5. Next look at how changes in the vertical plane are used to create shade and shadow. How is the
elevation oriented to the sun and what are the reasons why the Architect oriented the building on the
site?
Using the fnal schematic design phase elevations, record in sketch form the factors that infuenced the
following design elements:
Major exterior materials and their location
Record the major exterior element proportions
Measure window and door dimensions and placement in the elevations
Record the masonry unit or other exterior cladding material sizes. Is it a jumbo size?
Record any pattern used in the exterior materials
After analyzing the exterior elements, devise an alternative system of proportions for the front facade and
one side. Explain in 400 to 500 words, the issues the alternative system would raise (e.g., cost, code,
material availability, and so on). Write 100 to 200 words about what inspired the new solution.
Why do you consider your design to be an improvement over the original design? What changes would
you make to the original material selections? How does this change the style of the original design? Does
your design cost more or less to construct than the original design? How about availability of materials you
have chosen? Would this design require the structure of the building to be altered? Is there an existing
building or architect that provided the inspiration for your design?
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Creating an Alternative Floor Plan
Every foor plan is driven by the requirements of the building program, number of total occupants, the type
of occupancy, intended use of a space or spaces, code requirements including circulation and exiting, and
the creative nature of architectural design. Other considerations are structure, mechanical systems, furniture
size and placement, and cost. All of these demands must be organized into a foor plan that is effcient,
meets code, and satisfes the aesthetics of the design problem.
In sketch form, analyze the schematic foor plans of the project you selected for the Activity Creating an
Alternative System of Proportions OR select a different project to be studied. Respond to the following:
Note the major design ideas incorporated in the plans.
Make a list of the major project objectives and program goals.
Determine how well the plans meet these goals.
Calculate the occupant load of your foor plan.
Speak to the original project architect or designer if possible about the program and design
generators that were incorporated into the foor plan.
Calculate the percentage of circulation space required compared to the overall gross square
footage of your foor plan.
Calculate the percentage of your foor area dedicated to the mechanical and electrical rooms.
Consider the reason for their location.
If a single story building: How many exits are there and what is their relative location to the front entry and
each other? How many spaces or rooms must a visitor travel through to arrive at the main space or room
from the front entrance? Is this a single or mixed use building?
If a multi-story building: How many sets of stairs and their location relative to each other? Where is the
elevator(s) located? Where are windows located? What are the fre safety features of the foor plan?
Also in sketch form, develop an alternative foor plan that fulflls the same goals. Evaluate the alternative
against the same list of project objectives and program goals by considering the following:
Did your alternate foor plan use more, less, or the same foor area as the original design?
If less, what areas or functions were you able to make more effcient?
If more, what issues required you to use more space?
How does your plan improve the original design?
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A Design with a Potential Problem
In this scenario, you are working on the design of a new elementary school in upstate New York. Due to a
tight budget, the client has directed that the exterior envelope be kept very simple. You use this directive to
propose a very modern building with simple but attractive detailing. Two essential elements of the design are
a fat roof (low slope roof) and skylights over the main entries and in several other spaces.
In the meeting where you present the frst schematic concepts, a school board member asks, Dont fat
roofs and skylights leak? You answer, If its properly detailed, installed, and maintained, a fat roofeven
one with skylightsshould perform as well as any other roof.
After the meeting, one of the older members of the design team says to you, No one will remember the if
properly detailed, installed, and maintained caveat. Flat roofs and skylights tend to leak more often than
roofs with positive drainage and few penetrations. When a leak starts, its often very diffcult to determine
whos at fault.
You fnd this comment sobering. Except for this one question, the school boards response to the design was
positive. Should you change the design because something that should be avoidable might happen?
Consider the following questions: Are there materials in a standard skylight assembly that should be avoided
in cold climates? Are there special features available to enhance the performance of the skylight? Does
the type of fat roof membrane system affect the design and performance of the skylight with regards to
expansion and contraction? Are there special fashings available for this situation? What type of alternate
roof system will you consider? Is there a cost impact to the budget using this roof system?
Consult your supervisor, mentor or other experienced architects on their experience low-slope roofs and
skylights. Record lessons learned in sketch format.
Review manufacturers literature and conduct an internet search for information on leaking related to low-
slope roofs and skylights.
Based on your research, write a response to the school board members question. If you determine
the proposed design solution is the correct approach for the project, prepare appropriate sketches and
citations of articles to illustrate your conclusions and to demonstrate how the potential for leaks can be
minimized. If you determine the proposed design may be too risky (be sure to include consideration of
the local climate), prepare sketches of an alternate roof plan that will provide benefts similar to that of the
original design.
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Self-Sufcient vs. Green Architecture
In this scenario, your client is a well-known and committed advocate for green design in the San Francisco
Bay Area and an owner of a solar hot water and photovoltaic panel manufacturing company. Your frm is
known for being able to design state of the art, self-sustaining houses that do not require power from the
utility grid.
This client has invited you to design a house that will be 100% self-suffcient with regards to electrical
power and hot water needs. The client is expecting you to showcase his panels by providing all or part of
the energy needs in the design using the panels. He does realize that providing all of the energy using only
these roof panels may be a very diffcult goal to obtain and is willing to consider other forms of alternative
energy generation technology to power the house as long as the outside power grid is not required.
Early calculations of the required power and hot water requirements for the project leads you to the idea
that your design can rely solely on a mix of photovoltaic and solar panels that are to be roof mounted. The
panels will have a low profle that will be integrated into the design and oriented to maximize the generation
of power and hot water for the house.
The site has a moderate slope down of 6 to 8 percent from the north to the south. The prevailing wind is
from the northwest.
You begin the design and while on-site checking some feld conditions you notice that the entire west and
southern property lines are covered with 8 to 10 foot high redwood trees. Within 10 years these trees will
grow to a height of 25 to 30 feet and in the afternoon will shade most of the roof you had planned for the
house. These trees will continue to grow and live well beyond the life of any house you plan.
Do you carry out the design knowing this? Do you cut down the trees knowing that they provide cooling in
summer, absorb carbon dioxide, and are a habitat for wildlife? Or does the fact that the panels will provide
a greater reduction of the carbon dioxide emissions govern? Are there other technologies available to help
power the house? Is it possible to mitigate the potential impact the trees have on the house? How do you
balance the self-suffcient requirements of the program with other issues of sustainability?
Write a letter to the client describing the reasons for your course of action using one of the following
options:
OPTION 1: You decide to proceed with the original design relying on the photovoltaic and hot water
panels, as designed. At the end of 10 year growth period for the trees, determine what options you
have to maintain the clients requirement of a self-suffcient house.
OPTION 2: You decide you cannot cut any of the trees but will rethink the basis of the design and
plan for future tree growth now. Determine what options are available to you to meet the clients
original program.
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Reections
In this scenario, you are working with one of the largest fnancial institutions in the country on a high rise
building that will be the fagship for their banking operations on the West Coast. The site is located on a
busy corner with heavy vehicle and pedestrian traffc in the fnancial area of downtown Los Angeles. Most of
the neighbors are well known banks and other corporations and all have adopted the stylized architecture of
southern California using refective glass curtain wall that begins at ground level and is extruded vertically.
Your client has made it clear that the architecture of this building will also use this refective glass curtain
wall feature to create the look and blend in with the surrounding buildings.
You proceed with the design and as you study the site conditions and design of the building, you begin to
understand that during certain times in the morning and afternoon, the refective glass from the surrounding
buildings create a bright crossfre of refected sunlight at the intersection in front of the building. Your building
design is only going to contribute to the problem and perhaps create a blinding and potentially dangerous
condition for drivers and pedestrians in the area. You express these concerns to your client but they are
indifferent to the problems you present and state Its public property anyway, and not our problem and want
you to continue with the development of the design, as is.
What are the options to using glass curtain wall? What is the potential liability if you proceed with the
refective glass? Is there a way to continue to use the refective glass in the design without contributing to
the refected sunlight problem? How do change the attitude of your client?
Professional Liability and other insurance information from The AIA Trust, www.theaiatrust.org
Contact the insurance agent who provides professional liability coverage for your frm or if unavailable,
work with someone knowledgeable about professional liability coverage. Discuss the potential claims
from motorists or pedestrians who could be injured using the walks and streets in front of the building site.
Record these answers.
Draw the building profle and show the geometry of the solar angles at summer and winter solstice for the
latitude at Los Angeles. Show how you would redesign the exterior skin of the building at the frst 5 stories
to reduce the refected sunlight onto the adjacent sidewalk and street intersection in front of the building.
Consider and record alternate optional design features, geometries or materials that could be used to flter,
block or change the refected sunlight of the building curtain wall to the surrounding area.
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Sustainable Design
In this scenario, one of your frms clients is interested in developing a LEED-certifed project, incorporating
sustainable design concepts. While the client discusses the matter with some degree of certainty, client
representatives indicate they do not really know what is involved in the LEED certifcation process, nor
are they sure exactly how sustainable design will affect the design, construction, or cost of their project.
The client asks your frm to develop a checklist of what will be entailed if they decide to proceed with
development of a green building.
Please reference the following sources:
The Architects Handbook of Professional Practice, 14th ed. Chapters 12.7 and 12.8
Green Building Costs and Financial Benefts, Gregory H. Kats. (PDF)
Research what sustainability or building green means to an architects design process and prepare
a summary report assessing what is involved in achieving LEED certifcation and how design and
construction may be affected. Develop the checklist that has been requested by the client.
Start your study by downloading and assembling reference materials from the following resources or from
links suggested by them:
AIA Committee on the Environment: www.aia.org/cote
U.S. Green Building Council: www.usgbc.org/LEED
In preparing your report, follow these steps:
Develop an understanding of the basic philosophy of sustainable design, and summarize in the
report.
Research and note the different levels of LEED certifcation (Certifed, Silver, Gold, and Platinum).
Review the LEED project checklist available from the USGBC web site to put this information in
perspective.
Review each major area of sustainability espoused by the U.S. Green Building Council (e.g.,
site, water effciency, materials and resources, etc.). In your report, cite examples of how these
categories might infuence an architects building design.
Your report should address the following questions:
Why is sustainable design important in todays society?
How will the design of the building be affected by the level of certifcation the client chooses to
pursue?
Impact on construction of the building.
Impact on the cost of the building.
Address the cost/beneft equation related to sustainability or LEED certifcation.
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Evaluation of Context and Precedent
Use the same project you selected for the Activity Creating an Alternative System of Proportions OR choose
a different project that is local to research the activities listed below.
Some projects are highly dependent on the surrounding community to help create a design vocabulary or
palette from which the architect can use to create a design. Other architects may study this data and choose
to reject the vocabulary and create a building that is developed on an entirely different set of values.
This activity is designed to study the site area and record the type of design vocabulary you fnd in the
community and relate those values back to the building.
Study the site and prepare a photo essay that illustrates the features of the project site, the immediate
area, and the community that have infuenced the fnal design of the selected building.
Mount your photos on a board or develop a digital board presentation. Write a project report of 600 to
800 words that addresses what these issues are and why you think the architect was infuenced by them.
Select a minimum of the 3 most important infuences. (Note: You may include more than 3 issues, if you
deem it important to your thesis.)
If your building was infuenced by the style of a historic or non-local prominent building, add this building to
your photo essay and record your reasons for linking the building to your project.
Consider the following:
Local structures used for comparable or related purposes.
Materials commonly used in the area.
Elements of the immediate area that could be incorporated or refected in the fnal design, such
as important site features (e.g., topography, views, adjacent structures, points of access, mature
vegetation, etc.)
What is the height and density found on the site and in the surrounding area? Style of architecture? What
is the average age of the buildings found here? What impact does the required property setbacks have
on the buildings function or form? Does the project ft in with the surrounding community or does the
building stand in contrast? What problem was the architect trying to solve?
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2B
Engineering
Systems
activities - core*
introduction
152
153
154
155
156
157
148

149
150
151
148
138
Technical Criteria Characteristic of Different
Building Types
Impact of Other Disciplines on Schematic
Design
Value Analysis
Reconciling Conicting Client Demands
narrative 139
Client Preference for Methane HVAC
Solutions for Water Collection and Distribution
Coordinating Engineering Services
Who Makes the Decisions and How?
Passive or Active HVAC? Consultants Disagree
Differences Between Two Heating/Cooling
Systems: Design Impact on Space
exhibits
----
Engineering Systems
138
resources
2B
Internships.aspx.
2008.

2001.
2009.
Introduction
of the principles involved in engineering systems coordination. The
following information is taken from the NCARB IDP Guidelines:
Engineering Systems
Minimum Engineering Systems Experience: 360 Hours
Defnition: Involves selecting and specifying structural, mechanical,
electrical, and other systems, and integrating them into the building design.
These systems are normally designed by consultants in accordance with
the clients needs.
Tasks
Analyze and design basic structural elements and systems
Coordinate building systems (e.g., structural, mechanical, electrical,
fre safety, security, telecommunications/data) and reconcile
systems conficts
Building envelope
Characteristics and properties of construction materials
Confict resolution
information)
Design principles
Engineering load calculations
Hazardous materials mitigation
Indoor air quality
Life safety
Life cycle analysis
Natural and electric lighting (e.g., daylight, solar control, energy
consumption)
Problem solving
Product evaluation, selection, and availability
Sustainable design
Technological advances and innovative building products
notes
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Narrative
From the everyday perspective, an engineered system is any technical building component specialized
enough to require the services of an expert consultant. More precisely, such a system is a discrete array
of components that plays a vital functional role in the building and relates to other building systems and
components.
The structural system, the building envelope, and the HVAC system are three readily identifable engineered
systems. Along with the site and the interior, these are characteristically the main components of a building
project. Many subsystems can be identifed, as well: The electrical system, lighting, furniture, glazing,
foundation, storm water management, and so forth. While it would be just as valid to categorize building
systems in other ways, such as circulation, signage, and life safety, naming the topic engineering systems
coordination suggests the hardware approach.
This chapter will focus on systems that generally require professional engineering consultants as part
of the project team. From it, interns can learn both about the building systems discussed and about the
relationship between architects and engineers working on a project together. Some issues that may come
up include the following:
Architects and engineers tend to approach a project from different points of view, as the architect is
generally more familiar with project particulars and the engineer with system standards.
Different perspectives may mean that the architect and engineer prioritize their objectives differently
for a project, the architect more focused on design intentions and the engineer on the function of
systems design and equipment.
The engineers design work must be coordinated with the architectural management of the project,
including the work of other consultants.
In project scheduling, the team must anticipate the effects of details regarding engineered systems
that will affect project construction, including lead time, work sequence, and technical criteria such as
required environmental conditions or temporary bracing.
Long-term perspectives on commissioning, controls, operation, maintenance, and obsolescence of
engineered systems considerations of life-cycle costingare important factors in the selection of
engineered systems for a project.
Embracing these issues as architectural opportunities rather than shunning them as technical problems
to be solved by others can help architects achieve a smooth working relationship with building system
consultants. The engineer plays a vital role, but the architect leads the coordination of all building systems
and controls the fnal decisions, giving the architect the opportunity to promote innovation regarding the use
of building systems.
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Institutions that promulgate
performance specifcation
standards include the following:
National Fenestration Rating
Council (NFRC)
American Architectural
Manufacturers Association
(AAMA)
Window and Door
Manufacturers Association
(WDMA)
U. S. Department of Energy
(DOE)
National Institute of
Standards and Technology
(NIST)
American Society for Testing
and Materials (ASTM)
Underwriters Laboratories
(UL)
National Institute of Justice
(NIJ)
National Fire Protection
Association (NFPA)
These institutions may have free
resources and tools to aid the
designer.
Recognizing Technical Aspects of Building Design
Engineered systems vary according to the functional requirements of a
building project. Every building type has a number of technical aspects
that are generally the same in that category. For example, the technical
considerations inherent in library design include task lighting, a circulation
and storage system for library media, acoustics for quiet study spaces,
structural loads imposed by book stacks, and strict humidity control for
proper storage of printed works. Life safety code issues include egress and
fre suppression. To address all of these concerns well requires recognizing
them early and formulating appropriate design strategies even at the most
conceptual levels of project delivery. Selecting suitable systems early in the
design response is much easier than imposing them on a fnal design that
was not intended to accommodate them.
Another set of technical considerations is introduced by an architectural
design concept developed within the parameters of the building type.
Although an architects concept is based on an essential understanding
of the functional requirements of a building project, it is not uncommon for
a design to introduce atypical requirements. For example, irregular forms
may require structural gymnastics, or exposed elements may have unusual
fnishes that require special maintenance.
Another source of technical concerns can be introduced by the context of
the project: Conditions particular to the site, the climate, or surrounding
buildings or restrictions imposed by the historical situation or local codes,
and so on.
Selecting Appropriate Systems
The types of building systems chosen to address the critical issues of
a building project should simultaneously satisfy the challenges inherent
in that building type, the parameters of the project setting, and the
architectural concept. Failure in any one of these mandates will ultimately
derail a design. How then are these requirements translated into
appropriate selections?
One factor used to select building systems is performance specifcations,
which are often based on laboratory ratings, which make it possible to
engage in qualitative and quantitative comparisons. Understand the
available options and the rating techniques used to evaluate them can help
in product selection as well as in writing specifcations. A window system
offers a good example of performance specifcations because it has so
many ratings. Following are some of the major ones:
Solar heat gain coeffcient (SHGC)the rate of heat gain from solar
radiation and temperature difference (NFRC 200)
Visible light transmittance (VLT or Tv) percentage and color of
light in the visible spectrum that is transmitted to the interior (NFRC
300 & 301)
Light-to-solar gain ratio (LSG)the coolth rating factor of VLT
SHGC
U-valuethermal conductance of combined glazing and window
frame (NFRC 100)
notes
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Air leakagethe volume of air passing through a square foot of window area and resulting in heat
loss and gain through cracks in the window assembly (NFRC 400)
Condensation resistancethe ability to resist the formation of condensation on the interior surface
(NFRC 500)
Energy Star Windows Rating Program (USDOE)
Design pressurethe pressure withstood by closed window, which in turn establishes the structural
pressure, water penetration, and air infltration (AAMA/WDMA 101/I.S.2-97 and NAFS F-C90)
Forced entrythe attempted penetration of a door or window using a variety of tools (ASTM F588).
Blast and ballistic standards are also available (UL 752 and NIJ 0801.01).
Sound transmission class (STC) and transmission loss (TL)the decibel rating of noise attenuation,
ASTM Classifcation E90 and E413 (NIST).
Fire ratingwhere required to restrict the spread of fre and smoke within buildings from internal or
external fre (NFPA 257)
The ratings the organizations (listed on the opposite page) assign to various products are meant to be
interpreted rather than used for absolute comparisons. Laboratory rating standards are rather like the EPA
ratings of automobile gas mileage in that actual performance will vary with use and application in the real
world. In addition, details of project or site can also infuence the selection of products. For example, in
window selection the different sides of a building will have different solar exposures, thus, windows for the
different facades should be considered separately. In the fnal analysis, the numerical ratings of a particular
window should be balanced against project-specifc qualitative issues. The same principle applies to other
building systems and their performance ratings.
In addition to these performance specifcations, some rules of thumb can be applied to selection of building
systems. Derived from the proven experience of engineering consultants, these rules can be used by
architects in the conceptual and schematic design stages. In the window system example, a preliminary
selection of glazing type and placement could be made based on the rough daylighting rule that suggests
natural light will penetrate to 2.5 times the window head. Similar rules of thumb specify tons per square foot
of air conditioning capacity, span-to-depth ratios for foor systems, and watts per square foot for lighting.
Such information can be carefully applied to developing appropriate systems in other stages of the project.
Practical Application
In the architects offce, coordination of engineered systems affects every stage of project delivery. It
requires the architect to synthesize the owners requirements and the consultants recommendations on
alternatives into a solution that considers both what the design could be and what it practically should be.
To achieve this, the architect must engage in accurate, concise, and ongoing communication with the owner
and consultants, including continuous feedback that fosters collaboration.
Coordination of building system choices is communicated in many ways, from submittals, shop drawings,
specifcations, schematics, change orders, technical memos, requests for production lead time, cost and
performance comparisons, warranty agreements, and the like, to fnished construction documents for
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ULtimate Fire Wizard
The UL Design Wizard for fre-
resistance helps quickly locate
fre-resistance-rated designs:
http://database.ul.com/cgi-
bin/ulweb/LISEXT/1FRAME/
FireResistanceWizard.html
Owen, Mark S., and Heather
E. Kennedy. 2009 ASHRAE
Handbook: Fundamentals.
Atlanta, GA: American Society of
Heating, Refrigeration, and Air-
Conditioning Engineers, 2009.
engineering seal. Any single transaction can produce a ripple of change in
the network of time, cost, size, and image, thereby causing reconsideration
of many other decisions. Changing from low performance glazing to high
performance glazing, for example, can radically affect the thermal load
and thus the engineering design and architectural requirements affecting
duct size, vertical duct space, spandrel size, foor-to-foor heights, column
loads, and foundation sizing, not to mention HVAC capacity, fan room size
requirements, connected electrical loads, transformer vault design, and
service feeder size. Beyond all this, there is the detailing of the alternative
window wall system itself to consider.
Obviously, decisions with impacts so widespread have to be communicated
effectively because they affect the work and time investment of numerous
team members. Coordination ensures that client, architect, and
engineering consultants are all progressing from a common set of shared
information.
Building System Relationships
Building systems are related in physical, visual, and functional ways.
Components that are physically connected share space, either literally
or where they intersect. For example, detailing marks the site of physical
connections between dissimilar materials, such as where two systems
meet, such as a curtain wall at the structural frame or a window frame at a
brick veneer wall surface. Visual integration is managed by size, proportion,
color, shape, and other compositional techniques. The development of
a building elevation is a classic example, with roofine, fenestration, and
structural framing serving as geometric cues against the faade.
The functional relationships between building systems and their
components are guided by performance requirements. Passive thermal
design, for example, involves coordinating the building envelope design
with HVAC requirements so that these systems work together to provide
a satisfactory level of thermal comfort. Similarly, daylighting requires
the coordination of envelope glazing and interior luminaire layout. If
these systems are functionally coordinated, the resources of both are
economized and a more elegant lighting scheme is possible. As is true
throughout a project, if systems are designed with no relation to each
other, both will be oversized and neither will achieve optimal performance.
The most basic building system coordination addresses only potential
interference among systems at a practical level. In other words, light
fxtures must physically ft into the ceiling space, ductwork has to be
routed around major beams, the formal composition should be inoffensive,
and the building must meet functional program criteria. This level of
coordination, though minimal, can result in functional buildings. At the
opposite end of the spectrum is a level of coordination that results in well-
integrated buildings, those with systems that fully reinforce the design
intention. In these buildings, systems have been selected, coordinated,
and deployed not only to satisfy programmatic requirements but also to
support the architectural design. This higher level of integration explains a
great deal about exemplary works such as the John Deere headquarters,
which Eero Saarinen designed with CorTen steel.
notes
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Programming and Building Systems
As stated by Michael Stanton, FAIA in The Discipline of Architecture, architecture is granted the status of a
profession because it nurtures and employs a large and sophisticated body of knowledge to the betterment
of society. One of the most distinct and evident aspects of this service to society is the translation of a
clients vision for their project into an architectural program. It is part of the architects magic, entailing as it
does the principles and tacit understandings that underlie the entire discipline.
The architect develops a building program by beginning with a statement from the client and using good
communication and careful listening to reach an intimate understanding of the project. What begins as an
inventory of spaces, adjacencies, budgets, and perceptions in the clients descriptions becomes an inclusive
and complex ambition that cannot be described in terms of art or science. The design program is a uniquely
architectural artifact. It becomes the managing principle that manages all other factors of a project.
This emphasis on program is a reminder of the distinction between goals and objectives. The program is
meant to capture the ultimate goals of a project in a way that includes all the requirements and opportunities
from which it evolved. It is vital for engineering coordination objectives to be formulated with this big idea in
mind.
Early Project Development
Engineered systems coordination begins with selecting consultants well-suited to the project and
establishing a working rapport. Initial decisions should identify the contact individuals for each party and a
method for handling the fow of information.
Communication during the early phases of a project typically includes drawings and memos circulated
among the team. The architect should expect to receive written and graphic descriptions of recommended
standards at appropriate phases of the project. An initial meeting with an acoustician on a hotel project, for
example, might be summarized by that consultant in with a technical memo that includes recommended
STC ratings for separation of sleeping rooms from corridors, lobbies, and other spaces. Some generic
drawings of typical acoustical separations might be included, as well as details of critical connections,
appropriate door types to complement the noise reduction level of the wall, and suggested strategies for
handling HVAC noise. The consultant is likely to know that the designer is looking for a range of reasonable
options at this stage. Later technical memos from the same consultant would contain more detail and
involve more professional judgment on fnal details and specifcations.
To the extent merited by project size and complexity, all members of the project team should be kept abreast
of major evolutions in all building systems to prevent system compatibility problems. Changes and mistakes
cost increasingly more throughout a project, as it is obviously a great deal more work to undo things later
than to plan for them in the frst place. For example, the cost of correcting poor wall detailing selections
adapted earlier in the process could be compounded by the cost of correcting how the details associated
with a revised wall affect trim and fnish selections.
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Grondzik, Walter T., Alison G.
Kwok, John S. Reynolds, and
Benjamin Stein. Mechanical
and Electrical Equipment for
Buildings. Wiley & Sons Canada,
Limited, John, 2009. Print.
Early in project development is also the best time to consider the physical,
visual, and functional aspects of building systems, as outlined above:
Ease of coordination due to physical compatibility. This relationship
validates product submittals, shop drawings, and change orders.
A more comprehensive example is the layering of CAD drawings
to identify spatial relationships and potential interferences, such as
when a duct crosses a beam in cramped space.
Resolved composition of visual relationships. All engineering
systems have technical criteria that affect where they are placed in
a building. To avoid having such technical concerns unduly affect
the building design, architects must take engineered systems
coordination into account from the beginning of a project. For
example, HVAC systems need outside air for ventilation, exhaust
to the outdoors for polluted air, and combustion air along with
an exhaust fue if gas heating is used. Fan rooms have to be
located with concern for noise and access but be central enough
to minimize duct runs. Outdoor compressors need a few feet of
free air around them and an electrical disconnect within direct
line of sight. All of these requirements limit the location of HVAC
equipment, but an architect who knows these limitations from the
outset can plan around them.
Economy, elegance, and sophistication of functional relationships.
Multipurpose, versatile building systems are more easily combined
into a unifed building system. Automated and intelligent systems
can add further direct beneft. Buckminster Fuller termed this sort
of thinking through technology as ephemeralizing the problem,
increasing beneft while using fewer resources.
In practice it is usually not necessary, and sometimes not really possible, to
classify the exact nature of the relationships between building systems and
their components. Whether something has a physical, visual, or functional
relationship is not important. As an example, consider the common 2x 4
air-handling light fxture. It physically incorporates a return air path, thus
combining elements of the HVAC system and the lighting system. The light
fxture also fts snugly into the ceiling hardware grid, making it possible to
omit return air registers from the refected ceiling plan. On the performance
side, the lamps operation will be cooler and cleaner, making the fxture
last longer and provide higher effcacy and reducing the need for additional
supply air fow to capture the lamp. In the end, 10% fewer fxtures might
be needed than for a standard fxture, and air conditioning loads and
electrical circuits are reduced to match. Clearly, it is not important how
such relationships are labeled, but it is good to have a framework for
considering them.
To enumerate some of the major system-to-system integration
opportunities more vividly, consider the matrix on the opposite page of ten
possible two-system combinations and three types of relationship.
notes
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Sample Building System Integration Matrix
Building Systems Physical Integration Visual Integration Functional Integration
Site and Structure Bearing and retaining Sight lines; ground-fgure
massing as cave, slab,
terraced or elevated
Solar orientation,
aerodynamic form,
setbacks
Site and envelope Earth-sheltered
or underground
construction
View in, out, of, and from
building; elevations;
landscaping
Green roofs
Site and services Cooling towers, utility
entry, maintenance
facilities, access
Screens, landscape
buffers, pond as storm
water retention feature
Cooling ponds
Site and interior Entry, pedestrian routes,
hardscape
Relation to landscape,
visual contact with
outdoors
Glare, contrast, shading
Structure and envelope Hung cladding, in-flled
frame or monolithic form
Detailing connections,
expressing structure
Load-bearing walls,
waterproofng
Structure and services Interstitial spaces,
interference, service
layers in foor/ceiling
Exposed or fnished over
together
Thermal mass, cavity as
air duct or conduit
Structure and interior Fire protection of
structure
Modular order in bay size
units, visual expression
of structure
Load bearing walls,
columns, pilasters
Envelope and services Perimeter services High Tech, serviceability
meets constructability as
a path to meaning
Passive heating and
cooling
Envelope and interior The window as interface Proportion, fenestration,
enclosure, security,
privacy
Daylighting, noise
control, and mean
radiant temperature
Services and interior Lighting and plumbing
fxtures, registers, vents,
controls
Deployment and
treatment of fxtures
Comfort, control, and
economy
Incorporating Engineered Systems into the Building Design
As a project progresses through design development and construction documentation, coordination of
the engineered systems shifts from selection and general alignment to refnement, sizing, specifcation,
deployment, and commissioning. At later stages in project delivery, the architect works more closely with
manufacturers and contractors to select and specify equipment and materials, then to assure that they are
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Bachman, Leonard R. Integrated
Buildings: The Systems Basis of
Architecture. Hoboken, NJ: John
Wiley & Sons, 2003.
properly installed and, in the case of operating equipment, correctly started
up. Advances in post occupancy evaluation (POE) and total building
commissioning (TBC) techniques are extending opportunities for architects
to be involved in the coordination of building systems. POE studies
are beginning to create case study data that both verify how satisfed
occupants are with the constructed building and validates that the design
intention was on target.
TBC has grown out of the increasing realization that complex buildings
seldom operate as intended right out of the box. Commissioning, which
formerly entailed little more than balancing air fow and aiming light
fxtures, now has a comprehensive goal: the assurance of a good match
between how the building is actually used to the way is it performs.
For example, when the frst generation of energy-effcient buildings
realized only half their predicted savings, further analysis revealed
faulty equipment, poor controls, and a host of other problems. After
corrections were made, most of the potential savings began to be realized.
Commissioning practices are growing in sophistication and scope and
include everything from pre-commissioning in the programming phase to
periodic commissioning throughout the life of the building. It is no accident
that LEED standards (Leadership in Energy and Environmental Design)
require consideration of commissioning from start to fnish, design through
occupancy.
Written by Leonard R. Bachman
Leonard Bachman is an architect and associate professor at the Gerald D. Hines College
of Architecture at the University of Houston. He is the author of two books: Spreadsheets
for Architects (with David Thaddeus) and Integrated Buildings: The Systems Basis of
Architecture.
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notes
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Technical Criteria Characteristic of Different Building Types
Performance specifcations, rules of thumb, and other numerical ratings were discussed in the Engineered
Systems Coordination narrative as quantitative and qualitative guides for developing and integrating building
systems. Technical criteria characteristic of different building types, required by the context of a project, and
created by the architectural design agenda were also addressed. All three types of technical criteria affect
the architects design and should be embodied in the programming stage of a project and refned as work
progresses.
Using a project from your frm or your mentors frm that is completed through construction documentation,
prepare a list of numerical standards that could have infuenced the design team. Consult Architectural
Graphic Standards and other references. Use sources such as Allen and Ianos Studio Companion as a
quick reference for occupancy, fre protection, egress, and mechanical equipment. See Fuller Moores
Understanding Structures or other references for depth to span guidelines and Mechanical and Electrical
Equipment for Buildings for electrical, mechanical, acoustical, and illumination standards. Consult any
publications that deal specifcally with the building type. Look for things such as foot candle levels,
electrical power allowances (perhaps including an allowance for expansion), cooling ratios, dead loads
and live loads, masking RC sound levels, recommended STC separations, along with other design
considerations you can put numbers to.
The goal of this activity is to identify as many limitations and requirements as possible. Collect all of
the planning standards you can for the project and construct a large data table to organize them. A
spreadsheet would simplify this task. Apply the ratios and guidelines to the size and specifcs of the
completed project, multiplying recommended square foot ratios by the actual areas in your project and
adjusting all the recommendations to ft the particulars. Finally, compare your projected sizes and ratings
to the actual building systems and enter these as-built fgures in a separate column.
Once you have compiled all your data, use it to answer the following questions in a narrative:
How well do the values you projected match up with the as-built numbers? Can you explain or
account for any major differences between the two sets of data?
As design determinants, do you feel the set of initial guidelines youve identifed promotes or
inhibits design creativity? Explain both sides of the issue.
What were some of the most important technical standards related to characteristics of the building
type, project context, and design intention? How do your preliminary and the as-built numerical
ratings refect these priorities?
Use sketches to create your version of the projected sizes and compare it to the fnal product, how
are they different?
version as a PDF.
Activity - Core
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Impact of Other Disciplines on Schematic Design
This activity illustrates the importance of other design disciplines in the development of the schematic
design. An architect must take a leadership role by learning the engineers technical language and basic
concepts of systems design. From these concepts come options which will begin to integrate with the other
systems accepted into the project and inform the design early in the process.
Please review the following source:
The Architects Studio Companion - Technical Guidelines for Preliminary Design; Edward Allen. Chapters Designing the
Structure and Designing Spaces for Mechanical and Electrical Services `
Select a project that your frm or your mentors frm has designed. It may be a completed project or a
current building in the offce. It must have completed the Schematic Design Phase and have licensed
engineers that are available to consult with.
With your IDP supervisor or mentor, arrange to meet with the structural and mechanical/electrical
engineering consultants on the selected project. Discuss the process and criteria these consultants use to
consider and incorporate their preliminary design ideas and systems into the project.
In sketch form, review and record the schematic design decisions that were signifcantly infuenced by the
choice of structural system. For example, if bearing walls were used instead of a structural steel framing
system, what were the implications? Did the foor-to-foor height change? Did the proportions of the
openings in the exterior walls or interior partitions change? How did the choice of mechanical/electrical
systems affect the structure? Analyze how the building could have evolved differently if an alternative
structural system had been selected.
Repeat this exercise with the mechanical/electrical system. What mechanical system elements had to be
accommodated on the exteriors (e.g., louvers, rooftop equipment, etc.)? How was the rooftop equipment
screened? Did the choice of mechanical system affect the foor-to-foor height? How was the size and
location of the mechanical/electrical room(s) determined? How did the structural system affect the choice
of mechanical/electrical systems?
version as a PDF.
Activity - Core
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Value Analysis
In this scenario, your frm has been retained to design a 10-story vision and spandrel glass curtain wall offce
building in the Chicago suburbs. It will be the new corporate headquarters of Life Insurance. This building
has been identifed in the long range plan to serve Life for 30 to 50 years. The company is also interested
in sustainable practices and would like to see any practices incorporated into the project only if it can be
included in the budget provided. Life also wants the building to have a strong corporate and green image.
Life has hired a construction manager to work with the design team. The construction manager, your frm,
and the engineers agree on the major systems: The structural system will be steel columns with steel
girders and beams framing a 30 x 30 foot bay spacing; heating and air conditioning will be a variable air
volume induction system serving 1500 square feet of foor area; and the offce areas will be lit with fxtures
that provides indirect lighting suspended from a hung ceiling. The ceiling height must be a minimum of 9 feet
above fnish foor.
The construction manager has just completed an update of the initial budget and reports the project is over
budget. He makes a number of value analysis suggestions to bring the project within budget. Among the
suggestions is a reduction in the foor-to-foor height from 13 feet to 12 feet. Over the 10 foors, this will save
10 feet of exterior skin, steel columns, plumbing risers, sheetrock, and many other materials.
Your team views this recommendation with concern. On several recent projects, this kind of reduction led to
serious problems in coordinating engineered systems in the ceiling and caused problems for maintenance
and effciency of these systems when the building was in use. However, the construction manager estimates
the change will save $400,000, and the client representative has directed you to make the change in the
schematic design.
Is there enough space to ft the structure and engineered systems into the ceiling space provided and
perform effciently? How will this proposed revision affect the architectural design of the buildings skin? How
will the eventual operation of the building be affected? What issues of sustainability come into play? What
other design and/or material changes should be considered to bring the project into budget?
Please review the following source:
The Architects Studio Companion -Technical Guidelines for Preliminary Design; Edward Allen. Review the requirements
of preliminary design for structural and engineered systems.
Using the source above, in sketch format:
1. Draw a building section sketch at a minimum scale of = 1-0 through a typical foor illustrating
how a reduction in foor-to-foor height would affect placement and effciency of the necessary
engineered systems.
2. Using the sketch analysis as an illustration, write a memo to the client representative and the
construction manager explaining why this change is or is not a good idea.
3. If it is not a good idea, explain any options you have considered to bring the project into budget
that would be more suitable to meet the program and budget requirements.
version as a PDF.
Activity - Core
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Reconciling Conicting Client Demands
In this scenario, your client group on a recent small medical clinic has been a dream to work with. From
the frst day they had every intention of investing in quality and expect high standards of environmental
stewardship embodied in their new building. They repeatedly express their belief that energy effciency will
pay back the increased initial investment required to incorporate green standards in the project.
Reality sets in and halfway through design development and the project is estimated to be running far
beyond the expected budget. Your frm has invested a great deal of research and design work in sorting
through products and technologies the clients requested as part of their basic ethical approach to the
project. Now they want to retain as many of the energy and green features as possible, but not at the kinds
of construction costs current estimates suggest. By now they have also identifed several aesthetic features
of the design they are unwilling to relinquish, features that are basically optional to the project but will cost
enough to prohibit inclusion of several sustainable design and energy conservation measures.
The client insists that your frm rework the design to reconcile all of the issues above. A meeting has been
called to discuss the implications of their demands.
In preparation for the client meeting, using small project under construction in your area as the project,
assume you have been asked to create a presentation considering the following terms and prepare to
discuss them with the client and the design team. Describe how you would handle this situation in a
narrative and include the following:
What implications will cost cutting have on the coordination of engineered systems at this point?
Create a map to show how the engineered systems are all interconnected and the effect changing
one has on the other. Could the change in systems affect the overall design of the building?
Who should be responsible for the time and resources needed to redesign and re-integrate the
technical aspects of the project?
In the long term, what ways would sustainable design and energy conservation save the client
money? How could the engineered systems be made more sustainable to save money in the
future?
How do cost control strategies in design practice work to balance initial construction costs, ongoing
operational costs, and future costs for upgrading and replacing parts of the building that become
worn out or obsolete?
version as a PDF.
Activity - Core
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Client Preference for Methane HVAC
In this scenario, your frms residential client from Seattle met a consultant at a party who told him about a
high-tech heating and ventilation system that pays for itself in three years and runs on methane. You and the
principal in charge are sure this elaborate system is overkill for the climate conditions in Seattle and may not
be possible, but you are willing to review the system and other similar systems on the market while working
on the design of the home.
Prepare an analysis that compares the Seattle climate with passive and active heating and ventilation
systems. Illustrate which system is more appropriate for Seattle. If the client insists on the less effcient of
the two, how can you acquiesce and still protect the frm from exposure to liability in the future?
If passive design were used, draw the ideal site plan for maximum effciency. Then draw the ideal site plan
using active heating plan for maximum effciency.
Write a report explaining to the client which design is more effcient for the region.
version as a PDF.
Activity - Elective
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Solutions for Water Collection and Distribution
Using a project recently completed in your offce or your mentors offce, create plan and section drawings to
show the changes necessary in order to store enough rainwater to provide potable water to all the users of
the building (use 200 gallons/person/day for sizing storage).
In addition to the plan and section drawings, write a narrative to describing the following:
Distribution of water throughout the building.
Additional uses for this new water source.
Possible amenities developed from the need to store water.
A way to provide a failsafe in your design in the event of a regional drought.
version as a PDF.
Activity - Elective
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Coordinating Engineering Services
Use the activity below to document the responsibilities of key individuals at your frm or your mentors frm
who regularly interact with engineering consultants.
Review a project your frm or your mentors frm has completed and write a narrative on the engineering
services coordination using the documents provided.
Start by sitting down with experienced individuals who routinely handle project coordination with
engineering consultants. Prepare a good list of questions and discussion topics to make the most of your
time together.
Attitudes and inclinations. Are there any notable differences in background experience or personal
inclination that makes an architect more comfortable and confdent in dealing with engineering
consultants? Can these attitudes and inclinations be adopted willingly or are they learned skills?
Time allocation. How much time is typically invested in coordinating the work of engineering
consultants in each phase of the project from conception to completion? How is this time spent,
and how is it dispersed among the various tasks involved?
Milieu. How is this coordination effort similar to and different from the role of designer?
Caught between. What special considerations or challenges arise in communicating the work,
thought, and language of the architects team to the engineers team and vice versa? Does the
coordinator get both barrels from both sides when things go amiss?
Scope. In building system coordination, which tasks are engineering consultants most positive
about and which are they indifferent or opposed to assuming? How is the task of systems
integration shared?
Time and money. How are the production of drawings, specifcations, submittals, and other
instruments of service for engineering coordination kept in line with the project schedule and
budget, as well as with the frms project management objectives?
IPD. How could integrated project delivery be used in this project?
Use the answers from your interview and the information provided in the construction documents to write
your narrative. Address all of the questions above.
version as a PDF.
Activity - Elective
Engineering Systems
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Who Makes the Decisions and How?
A concept map will let you delineate the paths and nodes of relevant decision making. Architects frequently
use this technique to construct adjacency or bubble diagrams to illustrate the relationship of plan elements.
You can choose from a variety of formats for creating this map: fowcharts, Gantt charts, fshbone charts,
Venn diagrams, and so forth.
These methods are used for brainstorming and process documentation in a variety of professions. Try using
shapes and colors to differentiate the items on your map in some meaningful way. Shapes usually represent
entities (ideas, decisions, questions), while lines usually represent fow or connections between the entities.
See the resource section on mind mapping at the end of this chapter for examples and more ideas.
Concept maps can present complex relationships in graphics that communicate information quickly and
intuitively. The maps are also easy to work on collaboratively in brainstorming exercises such as design
charrettes. A mapping technique for the early organizational stage is to use sticky notes to position and
reposition entities on a larger notepad, drawing page, or whiteboard. As your map evolves, however, try
formalizing it in increasingly sophisticated ways that capture and communicate what occurred in the project
you are documenting.
Select a project in your frm or your mentors frm and interview someone who worked on it about the
sequence, logic, and interconnected decisions regarding selection of engineering systems. Create a map/
diagram of the project using the notes from your interview.
version as a PDF.
Activity - Elective
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Passive or Active HVAC? Consultants Disagree
In this scenario, your frm has considerable expertise in earth-cooled structures, utilizing ground temperature
in concert with passive solar design. Your analysis of the clients site in Santa Fe, New Mexico, shows high
potential for using site energies to heat and cool the house. The clients brother-in-law is a mechanical
engineer in Florida. He has told your client she should not use passive methods and that ground
temperature is inconsistent. The only way to go is electric HVAC, he says. Your client wants to do what
works. She is open-minded but does not want to offend her brother-in-law.
Illustrate in a geologic/watershed/airshed drawing how the regional New Mexico climatic systems work
and how, through passive design, the home will be comfortable at low cost.
Write a cover letter to the client, describing your drawing and outlining why electric HVAC is unnecessary.
Explain that in south Florida her brother-in-law may be correct, and use a side-by-side analysis of climatic
conditions and comfort levels to illustrate your point. (Review and use Victor Olgyays comfort charts or
information from the chapter on Energy and Environmental Design in Architectural Graphic Standards.)
The client decides to use electric HVAC, even though you have proved the passive approach will work and
is cheaper. Write a narrative where you explain to the client the environmental benefts of passive HVAC
and why or why not you will accept this job.
version as a PDF.
Activity - Elective
Engineering Systems
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2B
Differences Between Two Heating/Cooling Systems: Design Impact on Space
In The Building Systems Integration Handbook, Richard Rush, AIA, describes a design engine in which
aesthetics, function, and cost are arranged as a wheel with a circle of arrows connecting them. This method
of diagramming is meant to imply that a change in any factor will cause a change in the others.
Ask a mechanical engineer that your company has worked with to specify two different heating/cooling
systems for a high school auditorium that seats 1,000 people.
Write a narrative detailing the differences between the two systems and describe the design impact on
the space that each system would have. Include the recommendations of the engineer and a minimum of
three sketches of the space that would support your recommendation to the client.
version as a PDF.
Activity - Elective
Engineering Systems
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2C
Construction Costs
activities - core*
introduction
179
180
181
182
183
176
177
178
176
160
Reconciling Estimates
Life-Cycle Costing for a Project
Conduct a Value Analysis Workshop
narrative 161
Gather Historical Project Costs
Assessing the Current Status of a Budget
Time and Materials Estimate
Working with a Schedule of Values
Storm Windows and LEED Points
exhibits 184
184
185
186
Exhibit 2C-1
Exhibit 2C-2
Exhibit 2C-3
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Introduction
of the offce activities involved in construction cost estimating. The
Construction Cost
Minimum Construction Cost Experience: 120 Hours
Defnition: Involves estimating the probable construction cost of a project.
Tasks
Perform value engineering of selected building elements
Perform life cycle cost analysis of selected building elements
Cost estimating
information)
Life cycle analysis
Value engineering

Internships.aspx.
2008.
Chapter 13.5 -
Construction Cost
Management

2001.
Chapter 14.4 -
Construction Cost
Management
2009.
Chapter 9.4 -
Construction Cost
Management
notes
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Narrative
Managing building costs is a challenging task for the design team as well as for construction managers,
contractors, and consultants. Owners demand that their design and construction teams respect the owners
fnancial and economic objectives and that they control costs during project delivery. This expectation is
found in both the public and the private sectors in all client industries, locations, and fnancial situations.
Owners expect that a budget prepared early in a project will be accurate and that the project will be
completed to the required scope, quality, and performance within that budget. Owners invariably place a
high priority on cost issues, regardless of the quality or other attributes of the project. They may even judge
success or failure exclusively in terms of cost.
During the past decade, professional organizations, educational institutions, government and private entities
have supported the development of building cost analysis methodologies and provided seminars and other
educational programs on this subject. The success of these efforts has varied, but one issue has become
clear: Achieving high-quality design and implementing effective cost analysis and management are not
contradictory objectives.
Nearly every decision an architect makes during design and construction affects project costs. Some
decisions are straight forward because they affect building quality or performance. Others are more subtle,
affecting ease of construction, complexity of building elements, or availability of materials. Some decisions
can profoundly affect other disciplines, such as plenum depths that may confne mechanical/electrical
services or a building module that infuences a structural grid.
Why is it so diffcult to control building costs? Quite simply, the design decision-making process is subject to
constant upward pressure on scope, quality, and performance and, therefore, on cost. Unless decisions are
managed and expectations kept in check, costs may rise beyond budget limits.
Building cost analysis encompasses economics, cost estimating, and cost management, discussed below
under the following heads:
Understanding building economics
Identifying factors that infuence building costs
Using standard formats
Applying cost-estimating methods
Dealing with escalation and contingencies
Understanding value analysis
Understanding life-cycle costing
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Understanding Building Economics
What determines how much buildings cost? We all understand the cost of buying a suit, an automobile, or
even a house. By experience, we develop a sense for what something should cost. However, unless we
fabricate an item from its basic parts, we may not develop a sense of what makes it cost a specifc amount.
Construction projects are complicated entities. To be able to estimate and manage building cost, an architect
must frst understand what costs are involved.
Capital Cost Components
Capital costs are normally subdivided into three major categoriessite costs, hard costs, and soft costs.
The accompanying diagram summarizes each of these categories.
Site Costs
Site costs normally cover the owners initial land acquisition and development costs for the project.
Soft Costs
Soft costs include a variety of costs incurred by the owner to move the project forward. Design fees,
management fees, legal fees, taxes, insurance, owners administration costs, and a variety of fnancing
costs fall into this category. Moving costs and other tenant-related costs may be placed in the soft cost
category.
Hard Costs
Hard costs are those most directly affected by decisions of the architect. These include core and shell
features, interior enclosures, basic building services, and ft-out costs for fnishes and mechanical and
electrical services. Major components of hard costs that are usually not incurred under the construction
contract include furniture, fxtures, and equipment (FF&E) and specialized mechanical and electrical
services. These costs are often incurred directly by the owner.
The breakdown of costs can vary widely according to building type. For instance, a standard offce
building is typically built for between $80 per square foot and $150 per square foot, depending on quality
and performance requirements. A laboratory building, on the other hand, may cost from $150 per square
foot to more than $400 per square foot, again depending on quality and performance requirements. The
disparity between costs for these two building types is caused largely by laboratory mechanical costs, which
alone can exceed $150 per square foot, especially when extreme requirements of control, fltration, and
cleanliness are required. To control mechanical costs when they are expected to represent 40 to 50 percent
of overall project cost, more attention must be given to initial budgeting and ongoing cost management
activities for mechanical elements.
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Construction Costs
Construction costs are the portion of hard costs normally associated with the construction contract, including
the cost of materials and the labor and equipment costs necessary to put those materials in place. Added to
this are overhead costs, which include both job site management and the contractors standard cost of doing
business (offce, staff, insurance, etc.).
Material Costs
Material costs cover purchase of materials, including local and regional taxes, and shipping and handling
costs, which include transportation, warehousing, and in some cases security. In very remote areas or in
overseas locations, shipping, handling and other overheads may exceed the cost of the material.
Installation Costs
Installation costs include the price of labor and equipment to put materials in place. Labor costs consists
of base wages, taxes, insurance, and benefts, as well as premiums for overtime or for working in remote
locations. Equipment costs include the direct cost of the equipment (whether it is a purchase amortization or
a rental) and the cost of an equipment operator, which sometimes includes support staff.
Overhead costs associated with construction are usually referred to as general conditions. These costs
include those for feld supervisory staff, additional professional services staff, engineering consultants, as
well as temporary facilities and utilities, small tools, and a variety of safety and security equipment. Also
included in this category are bonds, permits, and insurance costs allocated to the project. Contractors and
subcontractors also incur general conditions costs.
Additional overhead costs associated with the main offce of each contractor include salaries of home offce
staff, certain insurance costs, various home offce overhead costs (job procurement, marketing, advertising,
etc.) and proft. Proft is a function of market and risk and may include a contingency for unknown or
uncontrollable aspects of the work.
What makes construction costs vary?
The purchase price of building materials is directly affected by their availability and the demand for them in
the marketplace. The timing of events on a project can signifcantly affect cost, especially if short lead times
for products and materials challenge availability. Shipping and handling costs, particularly in remote areas,
can be expensive. Procurement limitations such as the Buy American Act can substantially drive up cost
by limiting competition. Sales taxes, import/export duties, and other special fees indirectly affect the cost of
materials.
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Installation costs are driven by geographic variations in labor costs and
productivity. Certain trades, such as demolition, universally carry very
high insurance premiums because of the risks associated with the work.
The safety record of the contractor further affects insurance premiums.
Conditions of the work, particularly for renovation projects, dramatically
affect productivity because access, egress, laydown area, staging area,
and general space available to conduct business may be restricted.
The nature of a project site, such as a remote location or site with poor
access to utility services, also affects general conditions costs. Security for
the construction site can be another cost factor. Owner requirements and
limitations on site access may indirectly affect cost.
Other potential markups that contribute to a buildings cost are a function of
market competition and project risk. Risk or the perception of risk is always
a signifcant factor. In times of high competition, allocations for overhead
and proft tend to be reduced to increase a frms competitive edge. When
competition is poor, these costs tend to increase. Owner policies intended to
reduce the owners risk can also increase cost. For example, some owners
believe that employing extremely onerous bonding and default requirements
protect them, but they may be unaware of the cost of such measures.
Identifying Factors That Inuence Building Cost
Building costs can only be controlled through effective control of the factors
that infuence them:
Scope of work
Geographic and site factors
Programmatic factors
Design factors
Qualitative and performance factors
Delivery process, legal, and administrative factors
Market, competition, and economic infuences
Risk factors
Scope of Work
This is the most basic factor driving building cost. If the scope increases,
costs will almost invariably increase accordingly, thus scope management
is an important part of cost management. Under extreme circumstances, it
may be necessary to program a facility over again rather than rely on the
design process to correct a scope problem.
Geographic and Site Factors
Site location (e.g., urban vs. rural) affects labor rates, material costs, and
a variety of other cost issues. Local climate has a major infuence on
selection of building materials and even on basic approaches to developing
the building. The building site also determines access, egress, and utility
provisions. In some instances, particularly large sites such as campuses
and military bases, utility lines may need to be extended great distances to
reach the building site, possibly resulting in costs that exceed those of the
rest of the project.
DellIsola, Michael D. Architects
Essentials of Cost Management.
New York: John Wiley, 2002.
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Factors Affecting the Cost of Building Elements
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Site conditions include basic topography, which dictates the amount
of earth that must be moved to allow for development and provision of
utilities. Environmental factors can affect costs directly if they require a
response and indirectly if their mitigation requires adjustment in the project
schedule. For example, wetlands mitigation can have major impact on cost
and on how much of the site is available for use. The presence of rock or
other diffcult soils also directly affect site development costs as well as
eventual choices for building foundations.
Programmatic Factors
Typical cost drivers related to a building program include space effciency,
security requirements, circulation requirements, ADA requirements, blocking
and stacking, adjacency requirements, and the functional mix of spaces.
By far the most signifcant of these factors is the mix of space types
required in a building. For example, laboratory space may cost $400 per
square foot, while standard administrative or offce space may cost $100-
150 per square foot. An exact 50-50 program mix in this example would
yield a building cost of $200-220 per square foot. If the same building
comprised 70 percent laboratories and 30 percent offce space, the
building cost would exceed $300 per square foot.
Space effciency is also an important cost driver. Achieving the levels of
space effciency defned in the program can be a design challenge. To
ensure these effciencies are achieved, care must be taken to establish
realistic targets based on experience in comparable buildings.
Design Factors
The building geometry and degree of articulation in the basic plan
affect building cost. For example, from a cost perspective, a perfectly
square footprint is the simplest to build and theoretically less expensive.
Nonetheless, this geometry may be unacceptable and overly simplistic for
most projects.
Plan geometry and exterior articulation are issues that require proper
budgeting and oversight during the design process. Shadow lines, notches,
and projections all may beneft the building form aesthetically, but their
complexity represents additional costs for labor and possibly for materials.
This relationship is especially true for buildings with high-quality envelope
systems.
Building height and overall scale also infuence building cost. For example,
the cost of the structural system is likely to increase along with the building
height.
Qualitative and Performance Factors
The owners quality and performance requirements need to be carefully
considered in both budgeting and cost management. Owners generally set
requirements with a bottom threshold in anticipation that delivered quality
will at least meet stated minimums. Designers will almost certainly meet
these minimums and often exceed the minimum because of their desire to
provide better quality and performance.
Construction Specifcations
Manual: The CSI Manual of
Practice. New York: McGraw-
Hill, 2005.
Learn more about Construction
Cost Estimating Best Practices
via the Architects Knowledge
Resource (AKR): www.aia.org/
aiaucmp/groups/ek_members/
documents/pdf/aiap016637.pdf
notes
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Legal and Administrative Factors
The delivery method chosen by the owner can affect the cost of a project in many ways. Whether the
delivery method is design-bid-build, design-build, construction management at risk, or a variety of other
construction management approaches, the initial budgeting process and the cost management process
should refect the delivery method chosen and account for any premiums or discounts anticipated, especially
as they relate to the schedule.
The timing of a construction contract award is an extremely important consideration. A construction contract
can be awarded at almost any point in the procurement process. However, if the contract is negotiated
and awarded before the documents are complete, the owner and contractor often agree on a guaranteed
maximum price (GMP). A GMP usually includes allowance for work not defned, and the degree and nature
of these allowances requires scrutiny on the part of the owner and the architect.
The owners approach to cost management and cost management policies have a subtle but signifcant
effect on the cost of a building. Brian Bowen, former president of Hanscomb Inc., observed, Buildings
cost what theyre allowed to cost. If the owners attitude toward cost management is lax, it is reasonable
to assume costs will increase over time. Conversely, if the owner demonstrates concern for cost then cost
tends to be contained over time.
Market and Economic Infuences
Market and economic conditions may overwhelm other cost factors. Market conditions tend to follow the
overall economy, and in turbulent economic times the market has been known to affect building costs by 10
to 20 percent or more. In times of recession or slow economy, prices tend to drop because demand is down.
Conversely, in times of economic boom, prices tend to rise because demand is up.
Competition also affects prices. As the number of bidders increases, the price goes down; when the number
of bidders is reduced, the price goes up. Market factors are volatile, and great care must be taken when
projecting the effects of competition and infation. The delivery method chosen may also affect competition,
directly through the number of prime contractors who are bidding the project and indirectly through the
number of subcontractors included in the bids of the primes.
Risk Factors
Projects with more risk are likely to cost more, thus formalized risk-estimating methods may be appropriate
in certain circumstances. Preparation of a risk-based cost estimate places more attention on major cost
components when risk is a signifcant issue and variances in these components can be consequential. In
some circumstances, it may be appropriate to consider alternate design choices that may have the beneft
of minimizing some aspect of risk on a project. For example, a facility could be relocated to a different area
of the site to minimize the chance of disturbing contaminated soils, or materials could be selected that are
known to be readily available rather than materials that are in short supply.
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For more discussion of using
MasterFormat and UNIFORMAT
as a structure for cost-
estimating review topic 13.5
Construction Cost Management
in The Architects Handbook
of Professional Practice, 14th
Edition.
Using Standard Formats
Use of a standard framework for classifying and managing information is
essential for accurate building cost analysis. The most common framework
in the construction industry today is the 16-division MasterFormat
developed and managed by the Construction Specifcations Institute (CSI).
MasterFormat is extensively used throughout the industry as a format
for project manuals, specifcations, and other project data. Since the
MasterFormat structure resembles the basic way projects are procured
(subtrades and contract packages), it is often used as a framework for cost
control, scheduling, and estimating.
UNIFORMAT is a classifcation system based on physical building
elements, originally developed by the American Institute of Architects
(AIA) and the U.S. General Services Administration (GSA) in the 1970s.
The most recent version, UNIFORMAT II, refnes certain aspects of the
original system and has been designated ASTM Standard E1557-96
UNIFORMAT is best applied to conceptual and schematic estimating, while
MasterFormat is more effectively used for detailed estimating and bidding.
It is not diffcult to cross reference the two systems.
Applying Cost-Estimating Methods
Any cost-estimating method used should be consistent with the level of
information available and the time available to prepare the estimate. Cost
estimating methods tend to fall into four major categories:
1. Single-unit Rate Methods (SUR)
2. Parametric/Cost Modeling
3. System/Elemental Cost Analysis
4. Quantity Survey
The fgure on the opposite page shows when these estimating methods
generally can be applied to overall delivery of a project.
Single-unit rate methods tend to be appropriate in the planning and
programming phases of a project. Parametric and cost model estimates
are generally used during schematic design and early design development.
Systems and elemental estimates are best during design development and
early construction documentation. Estimates based on a quantity survey
can be used almost any time but are generally most appropriate when
documents are reasonably detailed, such as during design development,
construction documentation, and bidding and construction. At any time,
these techniques may be used to cross-check overall costs.
1. Single-Unit Rate (SUR) Estimating Methods
Single-unit rate estimating methods are subdivided into four major
categories:
Accommodation method
Cubic foot method
Square foot method
Functional area method
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Accommodation Method
For this method, an estimate of overall construction cost is calculated using the cost of selected units of
the facility as a baseline. For example, parking garages can be measured per parking stall. Apartment
buildings might be measured on cost per apartment. Performing arts facilities and auditoriums can be
measured on cost per seat. Hospitals may be measured on cost per bed. The accommodation method is
often used to provide very preliminary estimates or to provide a quick check and assessment of a current
project estimate.

Cubic Foot Method
This method of analysis is not generally used in the United States except for volume-dependent facilities
such as warehouses. Although it can be effective, the cubic foot method tends to be awkward for use in
most facility types. Nonetheless, certain European countries, especially Germany, routinely use cubic
measures as a means of budgeting facilities.

Square Foot Method
This is the most commonly used initial budgeting mechanism in the United States. It can be effective,
but care must be taken to ensure the programmatic basis of each is comparable when costs of
different facilities are considered. In addition, the method of measuring must be consistent for project
comparisons to be valid. A number of published sources provide square foot costs. A commonly
referenced one is the R. S. Means Companys Building Construction Cost Data.

Functional Area Method
This approach to estimating is based on functional space types. A functional space type is defned as
an area in a building that has a distinct functional purpose, for example, classrooms, a cafeteria, or a
gymnasium in a school. The advantage of determining cost by functional area rather than pure square
footage is that variations in space types and program can be considered in the basic estimate. Using the
school example, classrooms might cost $100 per square foot to build, while the gymnasium might cost
$200 per square foot. Overall proportions in a typical program of classrooms and gymnasium can be
accommodated. The functional area method allows for sensitivity to program elements.

The functional area method can be applied in two ways, either by pure space type or by core and shell
plus the functional space build-out. The frst option assumes equal sharing of the core and shell costs
among space types. The second derives the core and shell costs separately and then assesses the build
out costs of each space type.
2. Parametric/Cost Modeling Method
These cost estimating methods use predetermined models based on statistical analyses used to predict
facility costs. The process is most effective for repetitive facilities that have consistent programs, such
as those with industrial applications. Statistics are gathered from in-place construction and can be used
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to predict costs, especially for complicated systems that involve piping,
manufacturing, and processing components. These approaches have
less application in building construction.

Cost models can be prepared with computer models that project the
form, shape, and composition of building types. In the last several
years, computer based systems have been developed to help
designers model form and shape and determine building size. These
systems can also be used as a front-end device for cost modeling.
3. Systems/Elemental Cost Analysis
This approach to cost estimating provides a bridge between the
conceptual estimating methods described above and estimates
based on full, detailed quantity surveys, which are described below.
The concept behind this approach is subdivision of a facility into its
elemental components, generally using UNIFORMAT as a basis. The
level of detail included is a function of the amount of design detail
available when the cost estimate is prepared.

When very limited design information is available, a set of assumptions
must be made from which to estimate costs. It is possible to base these
estimates on historical information from similar facilities or historical
information about building components and elements. At an early stage
of design, before details have been defned, it may be desirable to
develop what are generally referred to as assemblies composite
systems usually drawn from standard design details. These assemblies
can be accurately priced and are especially useful for comparative
purposes. Historical cost is an appropriate basis for estimates when
facility types and programmatic components are similar. Adjustments to
the historical cost information can be made if necessary.

Published sources of information can be used to prepare estimates
and to cross-check estimates prepared using other methods. The R.
S. Means Company produces a publication that contains cost models
of various building types, including selections of walls, fnishes,
mechanical systems, etc.

A potentially more accurate estimate is one produced using an
elemental format that represents specifc conditions of the developing
design. This approach requires a combination of pricing mechanisms,
which could include historical costs, costs of systems and assemblies,
and detail cost analysis for selected items.
4. Quantity Surveys
The quantity survey method of cost estimating is usually employed
when detailed design information is available on the entire project or
at least major components thereof. The actual pricing approach may
include only total unit prices or labor, materials, and equipment. The
level of detail in the estimate is intended to refect individual units of
work in the way it will be carried out.
your Activities.
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Dealing With Escalation and Contingencies
Escalation and contingencies are cost factors that have not yet been identifed when an estimate is
prepared. All estimates, as estimates, potentially include escalation and contingency. These terms can be
defned as follows:
Escalation is the infationary cost growth anticipated between the time an estimate is prepared and the
project bid is accepted. Pricing represents known costs at the time the estimate is prepared, and escalation
is added to move the cost forward in time. This can be done in three ways:
1. Escalation that occurs during construction: For simplicity, 50 percent of the work is assumed to
take place before the midpoint of construction and 50 percent after. Therefore, the cost estimate for
construction is escalated to the midpoint to show what a potential bid might be. This is called a bid
estimate.
2. Escalation that occurs from the time the estimate is calculated to a projected bid date: In order for
an estimate to refect a future bid date, the bid estimate would be escalated for the amount of time
between the date of the bid estimate and the bid date.
3. Escalation calculated by the contractor and presented in a bid: Subcontractors preparing bids to
submit to general contractors usually include escalation in their numbers and guarantee the numbers
for a limited time. A contractor preparing a bid to present to the owner does the same.
Contingency is an allowance for work that is not completely defned when the construction estimate is made
but is anticipated to be part of the project scope. Contingencies tend to be added as a single factor made up
of several components:
Design contingencies depend on the degree of completeness of the design when estimates are
prepared and the degree of confdence the estimator has that the design will not change signifcantly.
Estimating contingencies refect the estimators confdence in the estimate. They can depend on the
extent of design development at the time the estimate is prepared, but other factors may also affect
the estimate, such as availability of materials, issues of site access/egress, and conditions of the
work. The design and estimating contingencies are usually included together and generally approach
zero as the documents are completed.
Construction contingencies are intended to refect cost increases that will occur after the construction
contract has been awarded. These contingencies are meant to cover unknown site conditions,
weather, and uncontrollable delays, as well as change orders due to inconsistencies/incompleteness
in the construction documents.
Owners contingencies are intended to cover the construction contingency but include an allowance
for scope increases and owner-elected changes.

What are reasonable allowances for contingencies? There are no absolute standards, but experience
teaches what fgures are sensible. For example, a major architecture/engineering frm advocates using the
following design/estimating contingencies:
Program estimates: 10-15%
Schematic cost estimates: 7.5-12.5%
Design development estimates: 5-10%
Construction documents estimates: 2-5%
Pre-bid estimates: 0%
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Understanding Value Analysis/Value Engineering
Value analysis (VA) is a cost optimization process that has been applied in
numerous ways in the construction industry for more than 30 years, mostly
under the term value engineering. The concept is also a problem-solving
process, and when applied correctly to a problem can have excellent
results. It is this aspect of the process that has led to use of the term value
analysis rather than value engineering. Unfortunately, VA has often been
employed instead as a last minute cost reduction process, resulting in
signifcantly reduced value for the owner.
The application of VA is not diffcult but does require patience,
concentration, and a certain amount of discipline. For best results, all
parties involved must agree on the objectives and be willing to work toward
common goals. When properly used, VA can be a useful tool for general
problem-solving, cost optimization, and value enhancement.
Understanding Life-Cycle Costing
Life-cycle costing (LCC) is an economic assessment expressed in terms
of equivalent costs. It is used to evaluate the signifcant costs of ownership
over the life of a product, assembly, system, or facility and to compare the
costs of various options.
Life-Cycle Costing Principles
In LCC analyses, both present and future costs need to be taken into
account and related to one another. Todays dollar is not equal to
tomorrows dollar. Money invested in any form earns, or has the capacity
to earn, interest. For example, $100 invested at 10 percent annual interest,
compounded annually, will grow to $673 in 20 years. In other words, it can
be said that $100 today is equivalent to $673 in 20 years time, providing
the money is invested at the rate of 10 percent per year
The terms interest rate and discount rate are generally used
synonymously, and refer to the annual growth rate for the time value of
money. The discount rate can be derived from the minimum acceptable
rate of return for the client for investment purposes or from the current
prime borrowing rate of interest.
Infation also affects an economic analysis because its ability to reduce
purchasing power over time must be factored in. This effect, more correctly
termed defation, means that more currency in the future will be required
to purchase the same goods. Some costs may exceed infation. For
example, energy costs have tended to increase at a rate 1-2 percent
above infation over the last 10 years. Thus, future energy costs need to be
infated differentially (above the general infation rate) by 1-2 percent. This
is referred to in life-cycle cost analyses as escalation.
Life-Cycle Cost Analysis Period
The period used in comparing design alternatives is an important
consideration. Generally, 25 to 40 years is long enough to predict future
costs for economic purposes and to capture most signifcant costs, since
90 percent of the total equivalent cost is consumed in the frst 25 years
More information about value
analysis can be found in
topic 12.11 Value Analysis in
Edition.
DellIsola, Alphonse J., and
Stephen J. Kirk. Life Cycle
Costing for Facilities: Economic
Analysis for Owners and
Professionals in Planning,
Programming, and Real Estate
Development : Designing,
Specifying, and Construction,
Maintenance, Operations, and
Procurement. Kingston, MA:
Reed Construction Data, 2003.
notes
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(at a 10 percent discount rate). Consideration of periods longer than 40 years generally add no signifcant
beneft to the analysis.
A time frame must also be assigned to each system under analysis. The useful life of each system,
component, or item under study may be its physical, technological, or economic life. The useful life of any
item depends on such things as the frequency with which it is used, its age when acquired, the policy for
repairs and replacements, and the climate in which it is used. Component replacement may be scheduled
several times in an overall facility cycle.
Categories of Cost
Typical facility costs for the owner over the life of a building can be subdivided as follows:
1. Initial costs
Construction
Fees
Other initial costs
2. Future facility one-time costs
Replacements
Alterations
Salvage
Other one-time costs
3. Future facility annual costs
Operations
Maintenance
Financing
Taxes
Insurance
Security
Other annual costs
4. Functional use costs
Staffng
Materials
Denial of use
Other functional use costs
Life-Cycle Costing Methods
Life-cycle costing requires adjustment of costs to a common point of time. Generally, one of two economic
methods can be used. Costs may be converted into todays cost by the present worth method, or they may
be converted to an annual series of payments by the annualized method. Either approach will allow accurate
comparison of construction alternatives.
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Present Worth Method
The present worth method requires conversion of all present and future
expenditures to a baseline of todays cost. Initial (present) costs are
already expressed in present worth. Future costs are converted to present
value by applying the factors presented previously.
Annualized Method
The annualized method converts initial, recurring, and nonrecurring costs
to an annual series of payments and may be used to express all life-
cycle costs as an annual expenditure. Home mortgage payments are
an example of this procedure; that is, a buyer opts to purchase a home
for $1,050 a month (360 equal monthly payments at 10 percent yearly
interest) rather than paying $150,000 all at once.
Other Economic Analysis Methods
Other methods of economic analysis can be used in a life-cycle study,
depending on the clients requirements and special needs. With additional
rules and mechanics, it is possible to perform a sensitivity analysis,
determine the payback period, establish a break-even point between
alternatives, determine the rate of return and extra-investment and rate-of-
return alternatives, perform a cash fow analysis, and review the benefts
and costs of using different products, materials, and assemblies.
All life-cycle costing methods, correctly applied, will yield results pointing to
the same conclusion selection of the alternative with superior economic
performance. Since the construction industry is capital cost intensive,
however, the present worth method is recommended. In addition, this
method tends to be easier to use and to produce easily understood results.
Integrating Building Cost Analysis Into The Design Process
Detailed cost estimating, value analysis, and life-cycle costing are all
useful tools and are all services beyond the basic requirements specifed
in AIA Document B101. Building cost analysis is the application of these
tools within the overall design process. The objective of building cost
analysis is to maintain balance and alignment between scope, user/owner
expectations, and budget, both from the outset and over time in a way that
makes clear the cost consequences of decisions.
The building cost analysis process has several key steps:
1. Prepare a realistic budget. Prepare a budget that properly
refects scope and expectations. This is the frst and perhaps most
important step in the process. The budget can be prepared using
an estimating technique appropriate to the information available
but, at the least, it should have budgets for each discipline. In this
way, the budget becomes a cost model for the facility. Adequate
reserves for escalation, contingencies, and risk must also be
included.
2. Subject decision-making to ongoing cost input. Design
decisions should be reviewed for cost implications as decisions are
made. This requires provision of cost input on an ongoing basis.
Fatzinger, James A. S. Basic
Estimating for Construction.
Upper Saddle River, NJ:
Civitello, Andrew M., William
D. Locher, and Andrew M.
Civitello. Contractors Guide
to Change Orders: [how to
Resolve Disputes and Get Paid].
[Anaheim, Calif.]: BNI Pub.,
2002.
notes
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3. Prepare comprehensive milestone estimates. Periodic cost estimates, at a minimum, should
be prepared at the conclusion of each major phase of the project and reviewed by all disciplines
to ensure completeness and proper consideration of competition and market costs. Historical cost
analysis and benchmarking can provide an additional measure of justifcation for the estimates.
4. Focus on cost drivers. Details are important, but focus on the key cost drivers associated with each
discipline. The effort involves a balancing process and the recognition that to achieve overall cost
targets trade-offs and adjustments between disciplines will be necessary.
5. Revise design/objectives as necessary to maintain budget. If the estimate, as well as a
reasoned analysis of it, indicates budget problems, it will be necessary to revise the design itself and
possibly the design objectives to maintain the budget. After any necessary adjustments have been
made, the cost model should be revised to refect redistribution and reassessment of the budget
assigned to each discipline along with revised contingencies. This process continues to the next
milestone and becomes progressively more detailed in each phase of design.
6. Use value analysis as a cost management tool. VA can be used as an optimization tool and a
means of balancing competing design issues without compromising critical aspects of the design. VA
focus should narrow as the design develops, adjusting from conceptual issues to details, materials,
and systems.
7. Maintain sensitivity to life-cycle costs and sustainability. Life-cycle costing is a recognized
method for objectively comparing alternatives during design development and is an important
component of ongoing cost advice. Issues of energy effciency, sustainability, and reliability require
an organized approach and a proper economics-based analysis tool that can inform project decision-
making.
8. Learn from the process. Last but not least, learn from the process. Gather and maintain information
from past projects to use as input for current projects, and learn from the experience of others.
Written by Michael D. DellIsola, PE, CVS, FRICS
Michael D. DellIsola is a senior vice president of the Orlando, Florida, offce of Faithful+Gould. He has 30 years of experience in
cost control, value engineering, technical facilitation and partnering, life-cycle costing, and project management.

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Reconciling Estimates
In this scenario, the estimator consultant on your project, a 35,000 SF medical clinic has prepared an
estimate at design development that indicates you are approximately 1 percent under budget. The client, a
group of doctors, has indicated that their funding is fnite and the project must remain within budget or it will
not be fnancially viable. The doctors have also made it clear that several other projects will follow if this one
is successful.
Activity - Core
As an added precaution your frm commissions an additional independent estimate by another frm. The
second estimate comes in at 12 percent over budget (a difference of 13% between estimates). You review
both estimates and note the following signifcant differences:
The frst estimator has a contingency of 5%, while the second estimate has a contingency of 10%.
General contractor overhead and proft (OH&P) is 15% for the frst estimator and 18% for the
second
Both estimators are using a projected bid date about one year from the estimate date and a
construction time at 12 months. This means the mid-point of construction is 18 months out.
However, the frst estimator is adding 6% escalation and the second 8%.
Mechanical/Electrical costs are about 15% higher in the second estimate (adding about 5% to the
total cost)
Other differences are not individually signifcant
Both frms have excellent reputations.
Based on the estimates outlined above, prepare a client report advising that your initial estimate is
reasonable, or suggesting adjustments to the project contingency, schedule or escalation.
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Life-Cycle Costing for a Project
With advice from your supervisor or mentor, fnd a project underway in your community for which you can
access detailed project information. Choosing a project in your frm will be simpler, but if your frm has no
ongoing local project you can use a project from another frm.
Begin by reviewing the information in the narrative on life-cycle costing. Meet with the client and building
manager (if available) to determine their parameters for the economic success of the building.
Specifcally, work with the client to understand and learn:
Their initial cost budget
Projected building life (25, 30 or 40 years)
Their discount (interest) rate to establish a time value for money (at least 6% and as much as 15%)
Expectations for energy performance
Expectations for maintainability
Expectations for system/component life
Special feature of the building that contributes to the owners product or service
Select a building system and compare two construction alternatives for that system and project. Prepare a
life cycle cost analysis using the present worth approach comparing the two alternatives.
Address the following life-cycle costing questions:
Determine the useful life of the materials specifed in each alternative. Consider factors such as the
frequency with which the material is used, the climate, and maintenance requirements.
Prepare a spreadsheet with each of the following categories of cost, flling in information as you
fnd it in your research: Initial costs, Future facility one-time costs (replacement and alteration),
Future facility annual costs (energy, maintenance, and other applicable costs), Functional use
costs (if appropriate)
Consider non-economic impacts of the two alternatives that could affect a fnal choice.
Prepare a client report, outlining your conclusions and explaining recommended alternatives. Review
fndings with your supervisor. If possible, share the report with the client. Catalog research of each
material alternative in the reports appendix.
version as a PDF.
Activity - Core
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Conduct a Value Analysis Workshop
In this activity, you will conduct a mini value analysis (VA) workshop on a project active in your offce. The
mini workshop will be a condensed form of a full VA workshop.
Activity - Core
Select an active project in your offce or mentors offce, preferably one recently completed schematic
design or in early design development, with a cost estimate available. The objective is to assemble a team
and conduct an independent VA workshop on the project to identify potential changes in the design that
could improve value. Value can be improved by maintaining function and reducing cost or by spending
more but with a proportionally larger improvement in function.
Preliminary efforts (two to three calendar days):
Sit down with the current design team to review the program, design documents and cost estimate
and discuss what they consider key objectives, issues and limitations.
Select a multi-discipline team of your colleagues not associated with the design to be the peer
review VA team. The team should be 3-5 people.
Prepare a brief (one page or less) summary of the project and an agenda for the workshop,
following the steps below.
Distribute the agenda and report to your team. Make available a copy of the project documentation
to your team to review ahead of time.
VA Workshop (1/2 Day):
Schedule a meeting for your team to spend day in the workshop. Secure a meeting space.
Invite the project principal or manger provide a brief project overview (20 minutes) and, if possible,
participate as an observer for the session.
Conduct the workshop.
Spend 30 minutes discussing the objectives of the workshop and identifying two or three key
functional study areas. Because of the time limit, it is important to focus on a limited number of
opportunities.
Spend 45 minutes brainstorming changes to improve value through reduced cost or improved
function. Record the ideas.
After brainstorming, spend about 45 minutes evaluating ideas and consider the most promising for
further review. Select 5-7 ideas and assign ideas to team members to complete an analysis.
Spend the balance of the time developing the ideas assigned to each team member including
advantages/disadvantages, a cost assessment and a recommended approach.
Allow team members one or two days to complete their work and submit to team leader.
Prepare a report that summarizes the impacts, benefts and overall economic consequences of the ideas.
Each idea developed should be captured as an exhibit. Review your recommendations with the design
team and record their feedback.
Ask to observe upcoming project meetings. You can help by taking notes or the meeting minutes.
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Gather Historical Project Costs
In this activity, you will gather and examine historical construction cost information on completed projects. To
do this, request access to fles and have conversations with the projects manager. If possible, talk with the
cost consultant who prepared the estimate and the building contractor.
Review two completed projects to determine the history of cost estimates prepared during the project and
the fnal actual bid/offer price for the project. Examine the accuracy and completeness of the estimates
and develop a rationale for any signifcant difference from the bid/offer. Interview at least one project
manager and one cost consultant.
Locate project fles and obtain copies (digital preferred) of estimates prepared at project
milestones.
Examine format, content and level of detail. Was the date of the estimate and the schedule for the
project clearly stated? Were infation/escalation, markups and overhead and proft assumptions
documented? Document the history of the estimates. Did any changes to project scope or quality
result?
Examine bid/offer information. If not available, follow-up with the project manager, cost consultant
and/or construction contractor may be necessary. Once obtained, compare the bid/offer with the
fnal estimate. What was the general result?
Obtain a Schedule of Values (SV) for the project. This may also require follow-up if not available
in the fles. Compare the SV with the bid/offer and the fnal estimate. Can you determine where in
building components or trades variations occurred?
Write a brief 2-3 page report documenting your observations and conclusions.
version as a PDF.
Activity - Elective
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Assessing the Current Status of a Budget
In this activity, you will review a current project active in your offce and review and assess its status.
In consultation with your IDP supervisor or mentor, select an active project in your offce or a mentors.
Carry out the following steps:
1. Verify the budget for the project and assess its current statuswithin budget or over budget.
2. Gather information, if available, on a current cost estimate being prepared and review previous
estimates prepared for the project. Review previous actions taken to keep the project in budget.
3. Whether the project is over or under budget, prepare a summary based on the following
parameters:
Areas of the project that have exceeded, met, and come in under the clients budget
Decisions that added costs to the project and who made them
Other external factors that may be adding costs to the project
Steps that can bring the project back within budget
Present your fndings to your supervisor/mentor and the project manager for this project. Discuss what
lessons can be learned to ensure that the project remains within budget and future projects can stay within
their budget.
version as a PDF.
Activity - Elective
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Time and Materials Estimate
Prepare an estimate of the cost of laying 6 x 6 x quarry tile fooring and a 6 covered base in the room
illustrated below.
Research the unit and labor costs listed in Exhibit 2C-1 by consulting RSMeans or by calling a local
supplier. Once all costs are known, prepare your cost estimate by using the accompanying form, Exhibit
2C-2.
Find:
Total cost
Total cost per square foot (based on the tile area).
Consider alternate tile sizes or types that come under total cost of the original.
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Activity - Elective
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Working with a Schedule of Values
Exhibit 2C-3 is an excerpt of a Schedule of Values from a high school. The excerpt includes MasterFormat
Divisions 3 - Concrete, 4 - Masonry and 7 - Thermal and Moisture Protection.
Your task is to extract the cost of those items associated with Exterior Closure. In the column provided in
Exhibit 2C-3, indicate which items apply to Exterior Closure. If a partial amount is appropriate indicate why
in the comments. Calculate a total cost for all three divisions.

version as a PDF.
Activity - Elective
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Storm Windows and LEED Points
In this scenario, your frm is designing a renovation to a historic building on a college campus nearby in
Northern New York State. Part of the expectations for the project involves attaining a LEED Silver rating and
doing so is proving diffcult, especially in conjunction with maintaining the historic character of the building.
Your area of responsibility is the buildings exterior closure including the original windows that have been
deemed historic. Currently the building is extremely energy intensive due in part to extensive infltration
of outside air through the windows. The owner wants to retain the windows if possible and replacing the
windows is prohibitively expensive. You propose adding exterior storm windows designed in such a way as
to not obscure the historic windows. You are also applying for LEED points based on energy savings.
Your client favors the approach and wants to reduce the energy consumption in the building but is
concerned about initial cost. He has asked you to help justify the added cost of the storm windows.
The following provides cost/economic information on the project:
Added cost of Storm Windows $227,000
Mechanical Equipment Saved $156,500
Annual Energy Savings $12,570
Discount Rate = 8%
Life Cycle = 30 Years
Present value of annual cost factor = 15.631
Calculate the simple payback period for the added initial investment. Calculate the net present value of the
savings in energy. Compare the savings to the added initial investment.
Are these results desirable to the owner and if so, how would you convince the owner to proceed with your
recommended design? What would you present to a local Architecture Review Board or Historic District
Review Board?
version as a PDF.
Activity - Elective
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Exhibit 2C-1
Back to Time and Materials Estimate
Construction Costs
185
2C
Exhibit 2C-2
Back to Time and Materials Estimate
Construction Costs
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2C
Exhibit 2C-3
Back to Working with a Schedule of Values
Construction Costs
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notes
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2D
Codes & Regulations
activities - core*
introduction
214
215
216
217
218
219
220
208
209
210
211
212
213
208
190
Egress Systems for Safely Exiting a Building
During an Emergency
ADA Compliance in an Existing Building
ADA Design Compliance
Code Check
Fire-Rated Wall Systems
Drawing to Understand Codes
narrative 191
Space Without Sprinklers
Last Minute Code Problem
Change in Code
Compare and Contrast
Specication Alteration
How to Change the Code
Building Permit Submittal Process
exhibits
----
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resources
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Introduction
of the activities involved with codes and regulations. The following
Codes And Regulations
Minimum Codes and Regulations Experience: 120 Hours
Defnition: Involves evaluating a specifc project in the context of relevant
local, state, and federal regulations that protect public health, safety, and
welfare.
Tasks
Perform code analyses (e.g., building, energy, accessibility)
Review project with code offcials
Submit documents to approval agencies and obtain approvals
Accessibility laws, codes, and guidelines
Building codes, zoning codes, and ordinances
Confict resolution
information)
design review)
Life safety
Problem solving
Specialty codes and regulations (e.g., seismic, life safety, fair
housing, historic preservation, energy)

Internships.aspx.
2008.

2001.
Chapter 17.5 - Zoning
Process Assistance
2009.
notes
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2D
Narrative
The practice of architecture, the rules of conduct of our professional societies, and the licensing laws of
states and other jurisdictions all require protection of the public health, safety, and welfare. The AIA Code
of Ethics and Professional Conduct Canon 1: General Obligations, Rule 1.101 states that, In practicing
architecture, members shall demonstrate a consistent pattern of reasonable care and competence, and
shall apply the technical knowledge and skill which is ordinarily applied by architects of good standing
practicing in the same locality. In addition, under Canon III: Obligations to the Client, Rule 3.101 states
the following: In performing professional services, members shall take into account applicable laws and
regulations. Members may rely on the advice of other qualifed persons as to the intent and meaning of such
regulations.
Similarly, the NCARB Ethics and Professional Rules of Conduct state: In designing a project, an architect
shall take into account all applicable state and municipal building laws and regulations. While an architect
may rely on the advice of other professionals (e.g., attorneys, engineers and other qualifed persons) as
to the intent and meaning of such regulations, once having obtained such advice, an architect shall not
knowingly design a project in violation of such laws and regulations.
Most, if not all, state licensing laws have rules prefaced with language such as, In order to safeguard life,
health, property and the public welfare... As well, the International Code Councils International Building
Code begins, The purpose of this code is to establish minimum requirements to safeguard the public
health, safety and general welfare...
The frst step in complying with the charge to protect the public health, safety, and welfare is to gain a
clear understanding of the intent and use of the building codes and other regulations applicable to the
work of architects. This chapter of the Emerging Professionals Companion offers readers a foundation for
understanding and applying the codes and standards that infuence a conventional architectural design.
Codes and Standards Differ
A building code is a set of regulations adopted by a jurisdiction to defne the design, construction, and
materials that may be used to construct buildings and facilities with the goal of protecting the health,
safety, and welfare of the public. Codes generally are developed by nonproft organizations through a
process that brings interested and affected parties from the entire building community together in a public
forum to determine the provisions of the code. In order to apply to construction in a particular location, the
code must be adopted for that area by the pertinent legislative body (state legislature, city council, etc.).
Compliance with the code is administered by the authority having jurisdiction (AHJ) in the area, which may
vary according to building type. For instance, plans for hospitals often must be approved by the state health
department, while plans for a residence are approved by the local planning and zoning department.
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While codes regulate what, where, and how buildings may be constructed,
the standards referenced in them are intended to ensure that materials,
engineering systems, and construction techniques meet safety
requirements. A building code may refer to a variety of standards. For
example, engineering standards relate to the design of a product and
testing standards relate to methods of determining the performance of
materials or assemblies. Standards cannot be applied to a project unless
they have been adopted, usually by reference in the building code, by the
jurisdiction where the project is located. Otherwise, standards are strictly
advisory in nature.
When designing a project, it is important to remember that the contents of
the building code are the minimum standards the project must comply with.
Designing to these minimum standards is not only the ethical thing to do,
it is required by law. Every member of the project team, from designer to
project manager to drafter, must understand these minimum standards in
order to meet the architecture professions licensing obligation to protect
the public health, safety, and welfare.
Most architectural projects can be ft into one or more of the uses defned in
the building code, typically the International Building Code (IBC). However, a
client may ask for a building design that simply does not ft the parameters of
the code. This situation arises because the IBC and other building codes are
prescriptive in nature. In other words, they prescribe what must be done for
a building to be safely occupied for its intended purpose.
It may be diffcult to make an unusual project (e.g., a casino building in Las
Vegas) comply with the prescriptive measures of the IBC. In such a case, a
performance code approach may better address relevant issues. To begin
to address such situations, the IBC contains a section (104.11) that permits
a designer to use alternate materials, design, and methods of construction
and equipment. According to the International Building Code Commentary,
the code is not intended to inhibit innovative ideas or technological
advances unless the resulting design will be inherently unsafe. The
writers of a comprehensive regulatory document such as a building code,
the IBC Commentary continues, cannot envision and then address all
future innovations in the industry. As a result, a performance code must be
applicable to and provide a basis for the approval of an increasing number
of newly developed, innovative materials, systems, and methods for which
no code text or referenced standards yet exists. Section 104.11 of the IBC
was taken and fully expanded into the International Performance Code.
The difference between a prescriptive code and a performance code
is easily explained by using an ordinary automobile as an example.
A prescriptive code would tell you that in order to stop an automobile
traveling at 30 miles per hour on dry concrete pavement within 100 feet,
you must install disc brakes with non-asbestos pads that are connected
to all four wheels and simultaneously operate when you touch the brake
pedal. A performance code simply identifes the task of stopping the
same automobile, with all of the same parameters, in the same 100-foot
distance, no matter what technological methods or procedures are used.
AIA Code of Ethics and
Professional Conduct
Canon I: General
Obligations
Canon III: Obligations to
the Client
Download a copy of the NCARB
Ethics and Professional Rules
of Conduct: Distinction and
Clarifcation at
www.ncarb.org/Publications/
Mini-Monographs/Ethics-and-
Professional-Rules-of-Conduct.
aspx.
Learn more about the
International Building Code
(IBC) and the International Code
Council (ICC) via the following
website: www.iccsafe.org
notes
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2D
In the United States at this time, a performance code is viewed as a relatively new approach to protecting
public safety. Therefore, some architects and authorities having jurisdiction (AHJs) are less comfortable
designing to a performance standard. However, from a common sense point of view, the performance
concept makes more sense than a prescriptive code.
Design Begins With Code Analysis
A code analysis is a systematic review and compilation of the specifc provisions of the locally adopted
building code that will affect the design and construction of a building or facility. It is one of the most
important tasks during the course of any architectural project. An incomplete analysis can have serious
implications on the degree to which a project meets the obligation to protect the public at the same time it
achieves the architects design intent.
Codes are divided into many chapters defning minimum requirements for the design and construction of
a building. The International Building Code (IBC) begins with a chapter devoted to the administrative and
operational procedures adopted by jurisdictions to enforce the code.
In chapter 2 of the IBC, the majority of terms used in the code are defned. Defnitions that are missing
may be found in the chapters that pertain to the subjects you are researching. For example, the defnition of
exit access is not found in chapter 2 but in section 1002.1 of chapter 10, Means of Egress. The remaining
chapters deal with subjects that are the technical meat of any codethe provisions that will govern the
components or features of a design.
There are prescribed steps to follow in analyzing a code, but before we address those we will review some
general rules every architect should keep in mind when working with building codes. Rule #1 requires your
complete attention; it is the most important rule and may be the only one you need to remember. However, it
is best to apply all of these rules to every project you design. In this chapter you will soon see that I caution
you more than once about prudent use of building codes. Not only is this chapter intended to coach you in
the use of codes; it is also intended to explain the pitfalls of applying codes halfheartedly.
Rule #1: Do not memorize the code.
The worst thing you can do is memorize what the codes say. Why? Because codes change. This is a good
thing because codes are usually changed to refect progress and technological advancement in the building
industry.
The danger of committing codes to memory is the possibility that you will design to a code provision that
has been changed, requiring costly re-design that risks budget, schedule, and client trust. Such errors,
although unlikely, often are not discovered until bidding. The worst-case scenario is discovery during
construction, when it is too late to alter the design.
You may become convinced you know what the code says, but dont let that prevent you from reading the
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2D
code book every time you begin a new design. In addition, be sure to test
your current design against your original code analysis as construction
documents are being fnalized. Relying upon your memory alone may
mean missing something that was changed in the last code revision cycle
or remembering a detail incorrectly.
The real danger is that a code error will affect your design in a way that
is detrimental to both your in-house budget and the clients construction
budget. Your in-house budget may be exhausted, resulting in the redesign
being done at a fnancial loss to your frm. Or, the cost of redesign to
bring the project into code compliance may exceed the project budget,
causing the project to be delayed or even cancelled. Either effect can be
devastating.
As an example, the following is a true story involving the height of
guardrails. Guardrails had been in the codes at the same height for years.
The architect of a large two-story covered mall based the building design
on a code that was no longer applicable. All of the guardrails that lined
the second level of the open mall were of a custom design, rather than
something taken from a manufacturers catalog. After the railing system
had been installed, the building inspector issued a stop work order to
halt construction of the building because the guardrails were too low. The
AHJ refused to remove the stop work order, or red tag, jeopardizing the
widely publicized grand opening of the project. Because the railing system
was a custom design, retroftting the installed railing did not appeal to
the architects. They asked the owner to grant them time to redesign the
guardrail system, which would delay the opening. With different priorities,
the owner ordered the system retroftted with anything that would ensure
compliance with the height requirement and not endanger the opening
date. For the architect, the result was a visual nightmare, but the project
opened and was successful in the owners eye. The owner ultimately had
the retroftted system removed and replaced with a conventional system
and sued the architect to recover the costs. All of that could have been
avoided if the architect had checked the code provisions before creating
the design and committing an inadequate design to the construction
documents.
At this point you may ask why this was a problem for the architect. Why
did the AHJ not identify the problem during the plan check ? After all, the
jurisdiction issued a building permit and surely that means the project,
in its entirety, complies with the building code. WRONG! Codes contain
a provision whereby the AHJ is immune from prosecution and another
that says that nothing will forgive a violation of the code. The architect
is the frst interpreter of the building code, and some AHJs rely upon the
architects seal to ensure a project complies with the code. After all, the
architect is the person who sets the parameters of the design. Owners
expect architects to design projects that will satisfy their program needs,
and rely upon architects to produce projects that meet those needs,
including compliance with all applicable rules, regulations, and standards.
The AHJ is responsible for checking if the completed work of architects
and builders complies with the rules and regulations the jurisdiction has
adopted. Although AHJs review construction documents and inspect
Steiner, Frederick R., Kent
S. Butler, and the American
Planning Association. Planning
and Urban Design Standards.
Hoboken, NJ: J. Wiley, 2007.
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projects under construction, such reviews and inspections do not ensure a project complies with codes in
every instance. Section 109.1 of the IBC states, Approval as a result of an inspection shall not be construed
to be an approval of a violation of the provisions of this code or of other ordinances of the jurisdiction.
Rule #2: Verify what codes will be applied to your design.
It is vital for architects to understand code implications before design work begins because the
consequences of not designing to code are severe. Code compliance for each project is different, as it is
based on building type and what has been adopted and enforced in the jurisdiction where the project will
be constructed. Therefore, designers must make an exhaustive investigation of what codes, rules, and
regulations will be applied to the design and construction of every project.
Do not just call the offce of building inspection; rather, visit a responsible building offcial who can answer
your questions. Before visiting the AHJ offce, or even calling to make an appointment, prepare a list of
questions that need to be answered before you begin the design process. Ask which building, mechanical,
plumbing, fre, and electrical codes are being enforced by the jurisdiction, and ask whether any other codes
or guidelines will be used to assess your project. In particular, fnd out which edition of each code the AHJ
uses and whether there are any plans to switch to another code or edition; this information is critical, as
signifcant changes can occur from one edition of a code to the next. Also ask whether the codes or other
applicable documents have been modifed in any way for local use or if they are enforced as they were
published. This is important! Local offcials may assume you know more about how they do business than
you actually do; be sure to ask lots of questions.
Prudent designers not only ask the right building code questions, they also inquire as to any implications for
their projects of other regulations, such as zoning ordinances, historic district ordinances, deed restrictions,
or federal requirements, such as requirements of the Occupational Safety and Health Act, Environmental
Protection Agency, Department of Energy, or Americans with Disabilities Act.
Rule #3: Review your design with the AHJ before you commit.
The person, or entity, that reviews your project documents for compliance with the applicable codes and
standards has many namesthe building offcial, the code offcial, the fre offcial, etc. No matter what their
title, these offcials are the authority having jurisdiction over your work, so we will generically refer to them as
AHJs.
Before construction on your project can begin, the AHJ must issue a building permit. The issuance of a
permit means your construction documents have been found in general conformance with the codes
and standards enforced by the jurisdiction. In most locations, getting a building permit requires a very
lengthy, labor-intensive process. To help move things along, a second visit to the AHJ (after the frst visit
discussed in Rule #2 above) is recommended to review the fnalized schematic design. At that point, your
code compliance investigation should be complete so you can explain to the AHJ how the codes will be
applied in your design as illustrated in your construction documents. Make certain the AHJ understands your
interpretation of the codes and agrees with it and how you will apply that interpretation.
One thing most architects do not understand is their role as the frst, and often primary, interpreter of the
codes. It is not the AHJs job to tell you how to apply the code. It is their job to confrm that your interpretation
is correct and that you have correctly applied your interpretation to your construction documents. In view
of the architects role, it is vital that you visit the AHJ when you have both an understanding of your design
and of how the codes will affect it. Leave a copy of your code analysis with the AHJ and follow up with a
letter that confrms your meeting, what was discussed, and any agreements or acknowledgments regarding
interpretations of the code as applied to your project made by the AHJ.
It is prudent to visit the AHJ a third time when construction documents are near completion, just prior to
submittal for permit review. Take a copy of the code analysis initially reviewed with the AHJ and the letter
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confrming your prior meeting and its conclusions. Make certain the AHJ
understands how you applied your analysis to the construction documents
and how you have addressed each code issue. At this meeting you may
ask how long it will take to get the building permit. Make certain the
AHJ understands that these documents, when completed, will be the
documents submitted for the building permit.
When is a Code Analysis Performed?
As mentioned above, it is a good idea to engage in more than one code
analysis and review during the course of a project. The frst is done before
the design leaves the sketch paper and becomes an idea to be developed.
At this point, some basic determinations have been made, such as general
size, a general idea of materials, and proposed location on the site. The
suitability of a site for a given use, building size, or location can quickly be
determined through a preliminary code analysis. Since the feasibility of the
basic project concept affects the overall cost of a project, it must be one of
the frst considerations.
As a project design develops beyond the sketch paper stage, a more
detailed understanding of the code is required to ensure protection of those
who occupy the building. The design team often develops a code analysis
to be used at the transition between phases of a project and in discussions
with building offcials. Through a continual reference to this code analysis,
unexpected surprises for the project design can be avoided.
What Does a Typical Code Analysis Encompass?
The code book itself can guide you through the steps recommended for
completing a code analysis for your project; see the page titled Effective
Use of the Building Code. Entire books are dedicated to this process and
a copy of one of them may assist you.
The process recommended by each author will take you through issues
regarding the use and size of a proposed project. Following are brief
discussions of the issues that are most signifcant as you begin the design
process.
Occupancy Classifcation
Select the category in chapter 3 of the International Building Code that
describes the use or uses intended for the building you are designing. Most
of the occupancy classifcations are self-explanatory; for example, theaters
are Assembly Occupancies (A). Select the appropriate occupancy
based upon the features of your theater. If you are designing a multifamily
dwelling, the occupancy classifcation will be found in the residential
(R) classifcations. However, and dont let this confuse you, if you are
designing a single-family dwelling you will not fnd your project in the IBC.
Instead, if the local jurisdiction has adopted it you are likely to be using the
International Residential Code, which also covers townhouses that do not
exceed three stories in height. This is an instance in which Rule #2 is vital;
confrm which code applies to single-family houses in the jurisdiction where
the structure will be built.
Building Codes Illustrated: A
Guide to Understanding the
2012 International Building
Code, 4th Edition. Francis D. K.
Ching, Steven R. Winkel
Edition, topic 15.2, Building
Codes and Standards
notes
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Some projects will have more than one use and be classifed as mixed use occupancy. This usually
(not always) means the project will require the use of separation walls to divide the building into one or
more separate buildings as defned by the code. The IBC, for example, reads, Structures or portions
of structures shall be classifed with respect to occupancy in one or more of the groups listed. Where a
structure is proposed for a purpose which is not specifcally provided for in the code, such structure shall be
classifed in the group which the occupancy most nearly resembles, according to the fre safety and relative
hazard involved. In other words, the hazards contemplated by the occupancy groupings are broadly
divided into those related to people and those related to contents. People-related hazards include number
and density of occupants, their age or mobility, and their awareness of surrounding conditions. Content-
related hazards include storage and use of hazardous materials, as well as the presence of large quantities
of combustible materials.
Analysis of the occupancy classifcation, construction type, and height and area limitations must be carried
out simultaneously. These three factors together make up the basic code compliance package, as well as
the basic parameters of a project design. If they are not resolved in the early design stages of a project, they
will have serious implications for the success of your project.
Construction Type
Your design may depend in some ways on a construction type, such as steel-frame, wood-frame, brick, or
masonry construction. However, the code may limit the use of some building materials, possibly making it
diffcult to accomplish your design. Requirements for building height, area, and fre ratings depend on the
type of construction chosen for a project. Construction type also infuences construction costs, as costs rise
in tandem with fre resistance and structural performance.
Height and Area Limitations
Buildings are permitted to be a certain height or area based on the materials used to build them.
Determining height and area limitations for a project is one of the most important parts of a code analysis,
and may be confusing if not carefully considered. See the accompanying information, Applying the Height
and Area Table of the International Building Code, for more details about this topic.
Location on the Property
Determining where a project can be located on the site is another vital part of the code analysis. The
location of the building relative to the property lines, which is determined by zoning regulations, will
dictate much about the design of a buildings exterior walls. Placement of window or other wall openings,
projections, and fre ratings of exterior walls are all defned by codes.
Fire Suppression Requirements
To determine whether your project must be ftted with a fre suppression system, carefully read the relevant
portion of the applicable building code (chapter 9 in the IBC). You may choose to install an automatic fre
sprinkler system required because of the buildings occupancy class or other code requirements to gain
more height or area for your building.
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Applying the Height and Area Table of the International Building Code
Table 503 of the 2003 edition of the International Building Code (IBC) the height and area table is
used to establish the fre risk of a building. The fre-hazard level of different use groups (determined by
fre load and/or occupant load) is weighed against the fre load and fre-resistive protections of a building
construction type. The IBC makes certain assumptions regarding these two factors to determine the
heights and areas shown in the table.
In addition to the type of construction, two other factors increase or decrease the fre hazard of a building:
The proximity of adjoining structures and the fre suppression systems used. Equation 5-1 in the IBC is
used to calculate increases in the allowable areas shown in table 503 due to these additional factors and
to determine the largest single-foor area for a particular building. (See section 502 for the defnition of
building area to determine how to apply this fgure.)
Equation 5-1:
where:
A
a
= allowable area per foor (sq. ft.)
A
t
= tabular area per foor in accordance with table 503 (sq. ft.)
I
f
= area increase permitted due to frontage (%) as calculated in accordance with section 506.2
I
s
= area increase permitted due to sprinkler protection (%) as calculated in accordance with section 506.3
Before you can use equation 5-1, the frontage or open space allowance must be calculated using
equation 5-2. An increase in the tabular area of a building is permitted when more than 25 percent of
the total building perimeter is open to a public way (street), or when other open space on the same
lot or equivalent open space is dedicated for public use with access to a street or approved fre lane.
This access must provide fre service access to the structure, provide safety for evacuees, and reduce
exposure of the new structure to and from adjacent buildings. Any space other than a public way must be
at least 20 feet wide to qualify as open frontage. Note that the maximum value of I
f
is 75 percent.
Equation 5-2:
where:
I
f
= area increase permitted due to frontage (%)
F = building perimeter that fronts on a public way or open space having 20 ft. open minimum width
P = perimeter of entire building
W = minimum width of public way or open space
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Several conditions apply to the use of equation 5-2:
1. W is the minimum width of a public way or open space around a building for purposes of this
equation. Therefore, the minimum value for W is 20. If the space is less than 20 feet in width, that
portion of the perimeter does not qualify as open perimeter in determining the value of F.
2. Section 506.2.1 limits the value of W/30 to 1, making the practicable maximum value of W 30
regardless of the actual width available. The exception for unlimited-area buildings does not apply
here because this equation is used to determine maximum areas permitted. The equation does
apply to unlimited-area buildings when it is used elsewhere to determine the fre-resistive-rating
requirement of an exterior wall.
3. In determining the value of P, the perimeter of any interior court must be included.
4. The value of F cannot include the perimeter of an interior court because that space is not
accessible from the public way (see item 5 below).
5. Open frontage perimeter that is not accessible from a public way cannot be included in determining
the value of F. For example, an open backyard may not be included if the access is only through
side yards, neither of which is at least 20 feet in width.
None of the above is intended to require a building to have a minimum perimeter of 25 percent open to a
public way or open space. This is only the minimum required to apply area modifcation equation 5-2.
The second part of equation 5-1 is simpler to calculate. When a building is equipped throughout with an
automatic sprinkler system designed and installed in accordance with referenced standard NFPA 13 as
stipulated in section 903.3.1.1 or exceptions thereto, the area of table 503 is permitted to increase by 300
percent for single-story buildings or 200 percent for multistory buildings.
The maximum allowable area determined by using equation 5-1 is restricted in several ways. First, it is
applied to the horizontal projection of the building (see the defnition of building area in section 502)
per foor to a maximum of three stories (section 503.3). Therefore, the maximum total area of a building
is three times the maximum allowable area calculated by Equation 5-1. In buildings greater than three
stories, this area must be distributed throughout (not necessarily equally), with no foor greater than the
value calculated in equation 5-1. Note that the height modifcation provisions of section 504 do not change
the three-story limit.
The other application restriction affects basements. When a single-story basement is not above grade
(see defnitions in Section 502), the basement is not included in the calculation of the total building area.
Its area is, however, limited to the maximum allowable area for a single story as determined by equation
5-1. This permits a single-story basement that has a larger area than the stories above, particularly if the
building exceeds three stories.
If there are multiple basement stories, only one is exempt from the total building area calculation, and the
exempted basement area is still limited as noted above. The other basement stories are included in the
total building area.
Written by Jerry R. Tepe, FAIA
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In addition to checking the code, it is very important to check with the
authority having jurisdiction to determine if a sprinkler ordinance has
been enacted locally. Many jurisdictions have such ordinances, which are
generally more restrictive (e.g., requiring installation of sprinklers when not
otherwise indicated) than the provisions of the International Building Code
or the International Fire Code. Because sprinkler protection is becoming
a more widespread requirement, it is best to design a project as though
a sprinkler system is required until you fnd out otherwise. Integrating
sprinklers from the outset of design, using the standards that regulate their
placement, can prevent interference with your design intent if sprinklers
have to be added later.
Means of Egress
Because of its direct effect on public safety, the means of egress from a
buildingboth everyday use and panic modedemands careful review of
the applicable building code. The occupant load for a building or portion(s)
of a building is specifed in the building code to determine the size and type
of egress system required. These requirements have a great effect on the
building design, making a careful check of the code doubly important.
The frst step in designing an exiting system is to determine the occupant
load of the building. This calculation specifes the maximum number of
persons who may, according to the code, occupy a building, or a portion
of it, at any one time. Certain occupancy classifcations have special
exit system requirements. The minimum number of occupants any exit
must accommodate is established by the largest number of occupants
calculated for a room or building foor. (The relevant portion of the IBC is
sections 1003.2.2.1 through 1003.2.2.3.) The width of corridors, exit doors,
and exit stairs is derived using formulas in the code after the occupant load
has been determined for each room and foor in the building.
Accessibility
Accessibility has been a design consideration since 1958, when President
Dwight D. Eisenhower created the Presidents Committee for the Physically
Handicapped. At that time, the American Standards Association (now
NSI) was asked to develop accessibility specifcations that would set
the basis for designing buildings and facilities for access by the disabled.
The resulting document has evolved into todays standard for providing
access to all sites and structures and the Americans with Disabilities Act
Accessibility Guidelines.
Today, accessibility is mandated by federal, state, and local laws. Basically,
everything you design is required to be accessible to disabled individuals.
There are some exceptions, but they are limited. You must do careful code
research if you feel a project is not required to follow accessible guidelines.
Coordinating the Work of Others
Architects often employ consultants to assist in designing a project.
Architects do not perform the technical work of their consultants; rather,
they coordinate that work with their architectural work. Look at it this way:
The buildings you design are like a human being. Each building has a skin
and bones (the structural system) and a brain (the M/E/P systems) that
Ching, Frank, and Steven
R. Winkel. Building Codes
Illustrated: A Guide to
Understanding the 2012
International Building Code.
Sons, 2012.
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2000 IBC Handbook, Fire- and Life-Safety Provisions
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go inside the skin. If the internal parts do not ft within the skin, then the design and the designer have failed
the client. Therefore, while the architect may not be required to actually perform a code analysis for their
consultants, they must coordinate and make certain the consultants work has been performed so nothing
about their work will adversely affect the project.
As an example of the importance of coordinating engineered systems designs with the architects design,
consider this: If the corridor walls and ceilings require a certain fre resistance rating, all of the ductwork that
penetrates the walls and ceilings can be required to have fre dampers installed. Leaving these dampers
out of a set of bid documents can add signifcant cost to a project in the form of a change order.
Accessibility Upfront
Accessibility standards for buildings and facilities are mandated by several laws, including the Americans
with Disabilities Act (ADA), the Architectural Barriers Act (ABA), HUD and the Fair Housing Act, and,
often, by one or more state or local building codes. Any one, or all, of these may be applicable to a
single project. Today these requirements more than ever before affect a great many building features,
components, and fxtures. They can also affect fundamental aspects of building design, including size and
confguration of rooms, location of doors, and systems for vertical movement.
Accessibility standards and guidelines include, among others, the ADA Accessibility Guidelines (ADAAG),
the Fair Housing Act Accessibility Guidelines (FHAG), the Uniform Federal Accessibility Standards
(UFAS), ANSI A117.1, and the ICC International Building Code (IBC). In addition, many states have
accessibility laws, some with their own unique provisions. Although much effort goes into making federal
guidelines and model codes technically consistent, and many states and local jurisdictions adopt the
model standards, differences remain. The U.S. Access Board has developed federal accessibility
guidelines for childrens facilities and for recreation facilities such as fshing piers, boating facilities,
miniature and full-size golf courses, exercise facilities, swimming pools, and playground surfaces and
play equipment. While these guidelines have not yet been incorporated into federal law, they have
been published and are readily available so they may be considered to serve as a standard of care for
architectural design. The Access Board is also working on guidelines for public rights-of-way, passenger
vessels, and outdoor developed areas.
Careful investigation of applicable codes, standards, and guidelines early in the design process is
essential to minimize exposure to litigation and prevent the inconvenience and additional time and
expense of redesigning and revising plans and specifcations for compliance. The later changes occur in
the design process, the greater the consequences. Certainly, integration of accessibility standards into
a design should be accomplished before construction documents are prepared so that changes are less
costly and take less time.
One way to ensure accessibility requirements are incorporated in every project is to adopt mainstreaming,
an approach that has emerged in the development of accessibility standards. This concept involves
incorporating accessibility compliance as an integral part of the design process, rather than an activity that
is carried out separately. For example, the minimum clear width of 32 inches the model code requires for
doors to accommodate people with disabilities would be incorporated in the chapter on means of egress,
rather than in a separate accessibility requirement. Placing a provision that accommodates the disabled in
the main text of a code is referred to as mainstreaming. Architects can similarly mainstream accessibility
considerations into their design process. There are already enough issues that can complicate a design
project; if accessibility considerations are main streamed, chances are accessibility compliance will not be
one of them.
Written by Ken Schoonover, PE
notes
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A Code Research Example
This section will guide you through the development of a building code program, also referred to as a code
analysis for a hypothetical library project.
The Scenario
The project is intended to create an underground and above ground addition to a historic library structure
at a major state university in western Pennsylvania. Additional space is needed to house the universitys
growing book collection and to meet the need for private group study spaces and conference spaces both
large and small. State-of- the-art technology for video conferencing and multimedia presentations must be
accommodated. In addition, the project includes structural repair and total renovation of the M/E/P systems
of the existing building.
The programmed intent of the client is for the addition to be a stand-alone building connected to the existing
library with a lobby or similar element in order to exempt the existing building from compliance with the new
code. Your frm would prefer to build the addition adjacent to, but not physically connected to, the existing
building. This decision has important code implications in that if the addition is a totally separate building it
must comply with all provisions of the 2000 International Building Code.
The renovation work that will be undertaken in the existing library building, on the other hand, need not fully
comply with the IBC as long as the renovation work does not cause the building to become unsafe. This
situation exists because of a practice called grandfathering, in which existing buildings are permitted to
adhere to the provisions of prior editions of the code. The code does not address grandfathering, except by
allowing an existing building to remain in its original condition if renovation work will not make it unsafe.
The premise is that you must consider an existing building was safe when it was constructed and frst
occupied. If nothing has happened to appreciably change the building, it can remain as built even though it
may not fully comply with the current edition of the building code.
Clarifying the Clients Expectations
The scenario just described is a picture near the beginning of project delivery, and a lot of questions must be
asked and answered before your frm can go forward with a design. Following are some questions you may
need the client to answer in order to understand the project.
Q. Since this is an addition to an existing facility, do you want us to use the same interior and exterior
materials in the new building? (This should not matter to the designer, but it is important to the code
reviewer and the specifcation writers because it relates to the fre ratings assigned to construction
assemblies by the code.)
A. The campus has an overall architectural style that includes the use of brick and cast stone on the
exterior of buildings throughout the campus. We would like you to use the same materials in this new
structure.
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To become a serious code
user, invest in the following ICC
publications:
2000 IBC Workbook: A
Study Companion
Architects Guide to the
2000 IBC
These books will provide
practical learning assignments
for independent study of
the International Building
Code. Some of the exercises
provided with this chapter of
the Emerging Professionals
Companion have been extracted
from these books (all with the
permission of ICC).
Q. How big should the addition be? The designers will set the size of
the foor plates and the height of the addition, and these dimensions
are based on the needs of the project as determined during
programming. Nonetheless, it is useful to know if a client has some
ideas about size when you are researching the height and area tables
and assigning construction types and assemblies to be studied during
the code analysis.
A. The building program, developed by the university, has set the
square footage required to house the book collection (allowing for
future expansion) at 250,000 square feet. This does not include the
square footage desired for meeting, study, and conference rooms, nor
that needed for the building support functions. (The actual area of the
building will not be known until the designers have completed their
work.)
Q. Will the new design allow free pedestrian movement between the
two buildings, or will there need to be a defnite fre-resistant separation
between the two? This is an important code issue.
A. This is strictly a design consideration and the architect is free
to create the connection in a manner he or she considers the least
damaging or imposing in relation to the existing historic faade.
Q. Will the new buildings mechanical and electrical systems support
the existing building or will the old systems be totally revamped as
stand-alone systems?
A. The systems in the existing building are to be removed and replaced
with services that will be housed in the new building. This arrangement
is desirable because of the water damage the old systems caused to
the historic structure.
Q. Can we use conventional fre suppression systems, or must there
be some systems that do not rely on water for fre suppression? Is
there a requirement to use both water and waterless systems?
A. The university wants to make use of both types of fre suppression
systems. As the project develops, the university staff will work with the
architects and consultants to determine which portions of the building
will have which system.
Q. To what extent are openings in the exterior envelope desired by the
university?
A. This will be both a design consideration and a function of the
buildings relationship to other existing buildings. The book stacks are
to be located on the interior of the building and arranged so that direct
notes
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sunlight does not reach the books. If the overall building design is enhanced by windows (or skylights),
the architect must consider how these openings will affect the function of the spaces they are in, how to
deal with any excessive energy losses, and what fre protection may be necessary because of the close
proximity of other buildings.
Q. What types of conveyance systems are anticipated? Will open shafts house escalators, or will the
conveyance systems be conventional elevators?
A. Again, this is a design issue and not specifed by the building program. However, the university staff
has not envisioned anything other than elevators. If the architect contemplates escalators or other
people movers, those decisions will be made in the design presentation process.
Executing a Building Code Analysis
The AIA standard forms of agreement and the conditions of the contract for construction set out the
responsibilities of all the parties involved in a project. Make certain you familiarize yourself with those
agreements and govern yourself according to what is required of the architect. Understanding your
contractual responsibilities is as important as performing an accurate code analysis.
Verifying that all aspects of your design comply with applicable building codes and guidelines is vital since
the fnished structure must comply with them. To help with this task, frms often devise their own building
code analysis forms to use as a guide. A sample code analysis form appears on the following page to
illustrate the basics of code review, but do not treat it as a complete or master form for use with every
project. Code analysis forms should be unique to each project. You will be required to think through the code
issues on all your projects as you begin the work of designing.
Even though the building program may identify certain code features, you must always verify what the code
requires. In this example, the building occupancy/use for the project was established by the program, which
states that the building will be used as a library (refer to A-3 in section 303.1 of the 2000 IBC). When you
check the tables, you will fnd that library is not listed. Remember, what you are looking for is the building
use, rather than the building type. It takes some imagination, but what you have to do is think of what
common action, or feature, will apply to people using the building.
In the case of a library, people assemble and make use of a facility that will house books. Libraries offer
spaces for people to study and gather for meetings, lectures, and other public events, functions that are
assembly uses. Offces and spaces that serve other support functions in the library are considered
auxiliary uses, so do not require the building to be classifed as mixed use.
The owners building program also indirectly sets the construction type for the project. The square footage
needed to accommodate the building function requires Type I construction. The code provides for exceptions
and other ways to increase the allowable square footage if a different construction type is employed. In this
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case, however, those exceptions and allowances were exhausted because the existing building is a historic
structure and over the years other buildings went up around it. Immediately to the north of the library was a
much older building that was in worse condition, so the university decided to sacrifce that structure to gain
a building pad for the new addition. Even with this space, the new building will be close enough to existing
buildings that the code will require compliance with the most restrictive fre resistance requirements.
Fire suppression systems are always required for buildings with an assembly use. Therefore, conventional
fre suppression systems will be used in most of the building, in accordance with NFPA- 13 standards,
but special fre suppression systems that do not employ water as the suppressant will be used in certain
sections of the library.
Building Code Analysis Form
Item Remarks
The Design Codes 2000 Edition International Building Code
Edition International Plumbing Code
Edition International Mechanical Code
Edition International Fire Code
Edition NFPA National Electric Code
NFPA 13
Building Occupancy Classifcation A-3 Library. Established by the Owners
Program. Refer to Section 302.1
Construction Type Type I (Required, based upon Program S.F.)
Refer to Table 503
Building Area Unlimited (Based upon Construction Type)
Refer to Table 503
Building Height Unlimited (Based upon Construction Type)
Refer to Table 503
Table 503 Analysis Refer to Height & Area Sidebar
Fire Suppression System Required by Section 903.2.1.3
Allowable Occupant Load Refer to Section 1003.2.1 & Table 1003.2.2.2
Number of Exits Required 4 - Refer to Sections 1004.2 & 1005.2.1
Corridors Construction Refer to Section 1004.3.2
Maximum Allowable Travel Distance 250 Feet, Refer to Table 1004.2.4
Exit Locations Refer to Section 1004.3.2.2
Exit and Corridor Width Refer to Section 1004.2.2.2

Narrative Written by Jim. W. Sealy, FAIA
Jimmy Sealy, an architect and consultant in Dallas, Texas, has participated in writing building codes and standards since the
early 1970s. He most recently served as a member of the International Code Council drafting committees for the International
Performance and International Residential codes. Sealy serves on building codes and standards committees for Underwriters
Laboratories, the National Institute of Building Sciences, the National Institute of Science and Technology, the Applied Technology
Council, and the American Institute of Architects.
Activities Written by Terry L. Patterson, NCARB
Terry Patterson is the W. Edwin Bryan, Jr., Professor of Architecture at the University of Oklahoma College of Architecture where he
has taught architectural technology and design for 24 years. He is the author of Illustrated 2003 Building Code Handbook and other
publications on building materials and technology.

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Egress Systems for Safely Exiting a Building During an Emergency
A central requirement of all model building codes is that egress systems must be designed to enable users
to safely exit a building during an emergency. These requirements are generally based on the specifc
type and use of the building or space. Architects must take emergency egress into account in all projects
they design. No other aspect of a design produced by an architect has a more direct effect on the health,
safety, and welfare of the public than egress, or exiting, systems. Examples of tragic incidents that involved
emergency exit design are the fre at the MGM Grand Hotel and Casino in Las Vegas, Nevada, in 1980; the
DuPont Plaza Hotel and Casino fre in San Juan, Puerto Rico, in 1986; and the attack on the World Trade
Center in New York in 2001.
In this scenario, your frm has been commissioned to design a mixed use complex that will include:
A large hotel with ballrooms on the lower level and a fve-star restaurant on the top foor overlooking
the city
An offce building adjacent to the hotel, designed to be connected by a retail concourse
A large parking garage serving the hotel, offce building, and retail facilities
This project has many components, all of which lend complexity to the design of egress systems. As a
member of the project team, you are assigned to create a guideline and checklist for monitoring compliance
of egress system designs with building code requirements for the project.
Activity - Core
Using the instructions below, create a tool to help an architect design to the egress requirements of the
building code:
Study the egress requirements of the 2000 or 2003 International Building Code. (If you practice
where the IBC has not been adopted, check with your local building offcial to determine when or if
it will be adopted. If it will not be adopted in your area, use the current building code for this study.)
Create an outline of the major egress issues that will affect the architectural designs and
drawings. Include requirements for location and width of egress, doorways, stairs, and other major
components and design issues related to egress issues.
Prepare a checklist of the major egress requirements. Prepare vignette drawings and sketches
that explain confguration and dimension requirements to augment your checklist. Where
appropriate, place copies of tables and charts from the building code in your checklist.
Prepare a well-organized checklist to serve as both a design aid and a tool for checking project
documents.
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ADA Compliance in an Existing Building
In this scenario, you are the project architect for an addition to a performing arts center, and your work
includes minor renovations to the existing building. The design for the addition is in full compliance with
the Americans with Disabilities Act (ADA), but there is very little money in the budget to bring the existing
building into compliance. The ambiguity of the act regarding compliance for existing buildings means
you need an interpretation of what is required from the local authority having jurisdiction (AHJ). You were
unable to meet with the offcial during schematic design, so full compliance for the existing building was not
addressed.
Schematic design for the project has been approved, and the job is in design development. You have begun
meeting with the local AHJ so that ADA issues can be resolved before construction documentation. At your
frst meeting, you learn the AHJ wants the entire building to comply with the ADA.
Prepare a letter to the authority having jurisdiction to request this reinterpretation of the ADA. Cite sections
in the act that support your position.
Identify at least two alternatives to your schematic design approach that might satisfy the AHJ and still
be affordable for your client. Prepare a memo to your client explaining these new options, and make a
recommendation.
Look for examples in your city or in other parts of the country that might support your letter to the
AHJ.
Check to see if your offce has some relevant projects you could refer to.
Explain cost associated with change at this stage of development.
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Activity - Core
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ADA Design Compliance
Architects have been guided by code requirements for many years. But the Americans with Disabilities
Act of 1990 (ADA) set a national standard for building accessibility and caused this aspect of design to be
unilaterally enforced by all relevant governing agencies. Congress passed the ADA to place a clear and
comprehensive prohibition on discrimination on the basis of disability. Today, ADA-related design mistakes,
when discovered after the construction is complete, are typically the architects responsibility because they
result in impact costs rather than betterment to the project.
In this scenario, you are providing services as a construction administrator on a small offce building,
handling both offce responsibilities and site visits. Construction is well underway and the owner has just
informed you of their desire to add another toilet room to the building. The room must be ADA compliant.
The design includes four water closets and two lavatories in the womens toilet room and two water closets,
two urinals, and two lavatories in the mens toilet room. Each room is to have a vestibule with doors.
Activity - Core
ADA Accessibility Guidelines for Buildings and Facilities
Your state accessibility requirements
View and download the following sample document for reference:
AIA G709, Work Changes Proposal Request
Familiarize yourself with national standards for ADA compliance, as well as those of your state. Determine
the appropriate space requirements and handicap accommodations. Pay close attention to specifed
clearances and mounting heights.
Draw up a generic plan that accommodates the scope described above. Follow ADA requirements
for clearances and accessibility. Indicate critical dimensions, and select appropriate toilet fxtures and
hardware.
When developing your design, answer the following questions:
What is the minimum required foor area?
Where are the handrails to be located?
Which direction will the doors swing?
What are the required fxture mounting heights?
What are the required hardware mounting heights?
What is the minimum size of the vestibules?
Using someone knowledgeable in MEP as the consultant, prepare a narrative to explain the changes to
your MEP consultant and request appropriate revisions to the mechanical and electrical drawings. Ask
them to determine the overall impact to the mechanical and electrical systems in the event additional work
is needed to support the added toilet. Then create a communication fow chart and time line showing all
contacts, for what reasons, and in which order.
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Code Check
In this scenario, your frm has designed a fve-story classroom building for a college campus. It has 76,000
square feet, evenly divided among the foors. The building is intended to be Type III B construction. Its
structural frame and exterior bearing walls have no fre resistance rating, and the building is not sprinklered.
There will be 750 occupants, divided evenly among the foors. The building has two exits, each a single
36-inch-wide door.
The project manager believes that the design and detailing contain code violations. Before completion of the
design development phase, you are assigned to check several aspects of the drawings for compliance with
the 2000 International Building Code. Others are checking other aspects.
Respond to the following questions:
1. What is the occupancy group of this building?
Identify the code section that covers this buildings occupancy group.
2. Does the building meet the requirements of Type III B construction?
Identify the code table that can be used to verify that the building has the fre resistance ratings
required by Type III B construction.
Cite the required fre-resistance ratings for the structural frame and exterior bearing walls and
determine whether these two building elements in your frms design comply with the code.
3. Does the building meet code limitations for height and area?
Identify the code table that can be used to verify that the building meets height and area
limitations.
Cite the limitations for this building and determine whether the design is in compliance. If it is
not in compliance, create a new code plan.
4. Are the number and width of exits in compliance with the code?
Identify the code table that lists the minimum number of exits based on occupant load.
Cite the number and determine whether the design is in compliance.
Identify the code table that provides data with which to calculate the required exit width.
Calculate the required width of exits for this building and determine whether the exits are in
compliance with the code.
5. Where the building design fails to meet code requirements, write recommendations to bring it into
compliance.
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Activity - Core
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Fire-Rated Wall Systems
In this scenario, your frm has designed a multistory offce building of Type I B construction. The building
has masonry exterior bearing walls, interior wide-fange columns, wide-fange steel beams, open web steel
joists, and steel stud partitions.
You are assigned to detail selected fre-resistance rated components for the building.
Activity - Core
Using the prescriptive fre-resistance-rated elements in the 2000 International Building Code, draw the
following details in a convenient scale and format (e.g., freehand on grid paper, or by computer). Meet
the fre-resistance rating required by the construction type. Identify all materials, sizes, thicknesses, and
dimensions.
A section through the exterior wall.
A section in plan of the steel column freproofng system. Use a steel column that is about 8 inches
in each dimension.
A section of the steel beam freproofng system. Use a steel beam that has fanges of about 8
inches and a depth of about 12 inches.
A section of the open web steel joist freproofng system. Use a steel joist that is about 16 inches
deep.
A section of the steel stud interior partitions.
Provide the following information for each drawing:
The code table in which the required fre resistance ratings are listed.
The code table and item number that describe the selected freproofng detail. The required fre-
resistance rating for each component.
Provide a written summary for your choice of material, size, thickness, and dimension.
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Drawing to Understand Codes
Simply reading a building code does not always lead to understanding it. A good way to make sure you
understand the code is to draw an illustration of each code requirement. This method of study will show you
quickly whether you understand the section you are illustrating. It will also help you measure your progress
toward understanding the entire code.
Prepare illustrations to approximate scale (freehand on grid paper is recommended) of the 2000
International Building Code sections listed below:
1003.2.3 Egress width
1003.2.3.1 Door encroachment
1003.2.4 Ceiling height
1003.2.5 Protruding objects
1003.2.5.1 Head room
1003.2.5.2 Freestanding objects
1003.2.5.3 Horizontal projections
1003.2.5.4 Clear width
1003.2.6 Floor surface
1003.2.7 Elevation change
Place each illustration on a separate 8-1/2 x 11 sheet. Although sections with dimensions are fairly easy
to understand and illustrate, sections without dimensional requirements can be illustrated with a little
thought and creative effort. If you do not have access to the 2000 IBC, choose a series of ten sections in
another code that address similar subjects. (Note that these sections are sequential, with none omitted
between the frst and last.) Restrict your illustrations to a single occupancy, such as business, education,
or mercantile. Do not include the exceptions. Use orthographic and/or pictorial views. If two sections can
be illustrated by the same drawing, photocopy the drawing and enter the different section requirements on
each copy. Enter your name, the name of the code, and the section number at the top of the sheet.
Write a narrative of how the drawings are IBC compliant how they are interpreted within your jurisdiction.
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Activity - Core
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Space Without Sprinklers
As buildings have become increasingly complex, meeting life safety requirements has become more
specialized. Life safety plans have a number of components, usually shown through diagrams,
specifcations, and schedules, and often coordinated with mechanical, electrical, and plumbing (M/E/P)
consultants. Depending on the scope and character of a project, this aspect of building design and
documentation may require special consultants.
Most components of life safety plans are enumerated in the International Building Code and NFPA 101.
Although the issues may vary from project to project, the primary concern is building egress.
In this scenario, your offce has essentially completed the design of a new, 30,000-square-foot school, and
the owner has approved it. Your frm reviewed the design for compliance with building and life safety codes
during design development. Now, at the start of the construction documents phase, you are assigned to
create a life safety plan for the building and to review it with the local code offcial.
To begin your work, you verify the occupancy classifcation, building and construction type, and egress
requirements as determined in the schematic and design development phases. You check the approved
drawings for compliance with all relevant codes. You fnd that, in principle, the project complies with all the
elements of a sound life safety plan. However, you discover that, since the life safety check completed
during design development, the dimensions of the building have changed enough that some aspects of the
project no longer meet code.
In its present confguration, the project fails to meet the required travel distance maximums for space without
sprinklers. However, neither the construction budget nor the construction documents budget includes design
and installation of a fre sprinkler system. The CD schedule is tight, and it is late in the game to redesign the
building.
You voice your concerns to your supervisor, who tells you to suggest alternative solutions to the problem
and make a drawing of each to review with the project manager. One of your solutions (or some variation
of one) will ultimately be selected for implementation. You will document the solution and review it with the
building code offcial.
Analyze the above scenario, writing a narrative to address the following:
Ignoring codes is not an alternative, and retroftting a building that is not yet built seems counter
intuitive. Assess the possibilities and consequences available to the architect at this juncture.
Describe each possibility, accompanied with sketches, in your narrative.
Verifcation and coordination throughout each stage of project development and delivery might
have avoided this problem. What was the optimal point in the process to address this issue?
Explain your reasoning in the narrative.
After completing your narrative, prepare a cover letter addressed to the building code offcial to
accompany drawings solutions. In your letter, outline the issues and the changes that must be made.
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Activity - Elective
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Last Minute Code Problem
In this scenario, a conference center building designed by your frm is scheduled to receive a certifcate
of occupancy in two weeks. The owner, who has existing motel facilities on the site, has scheduled the
conference center for use in 30 days. About 200 motel rooms have been booked by conference attendees,
who will use all the large multipurpose conference rooms in the center. Once the conference center is put
into use, it will be continuously occupied, with only a day or two break between conferences. Bookings are
scheduled more than a year in advance.
You have just discovered that the steel roof trusses that span the width of the large conference rooms were
designed for a defection of L/240, according to table 1604.3 of the 2000 International Building Code. The
engineers understood that the ceilings were to be acoustical board, which qualifes for the defection limit
used. The ceilings actually installed were plaster, which requires a defection limit of L/360. Until now, this
mismatch of defection to ceiling material has been overlooked by the building department, the structural
engineers, and your frm.
The owner originally wanted plaster ceilings, as shown in the construction documents. The bids were
high, so the ceiling material was changed to acoustical board, which brought down the cost. The structural
engineer redesigned the trusses for the greater defection permitted (saving more money), and they were
fabricated. Before construction began, the owner came up with the extra money required for plaster ceilings
and requested that they be installed as originally planned. They were added back into the project, but the
trusses were not changed.
Two problems must be addressed. First, a code violation exists that could affect the occupancy permit if
the building department gets involved. Second, although no cracks are apparent in the plaster ceilings
now, it is probable that they will eventually appear, and plaster might crack or fall. You are charged with
recommending appropriate action.
Prepare recommended actions to the questions below. You have a 30-day window before disruption of
occupancy for repairs will cause a fnancial hardship to the owner.
What paperwork should you examine to identify the party responsible for any error that might have
occurred? What are the paperwork scenarios that would place fault, if any, with the architect or with
the engineer?
Do you have any local or state regulations that have an effect on this scenario?
What should be done with regard to the building department? (It can refuse to issue a certifcate of
occupancy, so a good faith notifcation might be wise.)
What is your remedy? Most likely, if corrective action is not taken, cracks will appear and plaster will fall
from the ceilings after the rooms are occupied? Will your recommendation vary depending on who is
responsible for the oversight? If so, why?
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Activity - Elective
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Change in Code
Search for a design that was built under a previous model code by your frm. Compare a building element
(e.g., exit, stair, etc.) that was designed according to the previous code and investigate how the building
element could be upgraded to the current IBC guidelines.
Prepare sketches to scale (freehand on grid paper is recommended) illustrating how the building element
would be designed under current IBC guidelines. Take notes of the differences between the two designs.
Write a summary of the advantages and disadvantages of the code change in terms of safety, function,
and aesthetics. Also make note of any possible advantages in sustainability.
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Activity - Elective
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Compare and Contrast
Select a code change from one of two editions of the IBC or a model code that replaced it.
Write a summary that explains the change in code; be sure to illustrate this code change with diagrams.
Remember to keep in mind:
What is the reason for this particular change in code?
How does this affect the rest of the building?
What advantages does the change in code bring?
What disadvantages are presented from this change?
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Activity - Elective
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Specication Alteration
Interview a specifcation writer to identify a code change that affected the specifcations for a building.
Using the above example, perform the following:
Compare a material, detail, or process in the building that was specifed using the older code.
Summarize the advantages of the code change.
In the new material, detail, or process lends itself to illustration, prepare two sketches.
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Activity - Elective
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How to Change the Code
Every three years, a new edition of the International Building Code is issued. The International Code Council
(ICC) provides opportunities during each three-year period for any interested party to submit changes to
be considered and voted on. Proponents and opponents can challenge or defend the proposed changes
at public hearings. Most changes are proposed by manufacturers of building materials and products,
usually through code consultants, but changes also are proposed by professional organizations such as the
American Institute of Architects and others who represent those concerned about the safety of buildings,
such as fre service engineers, interior designers, and code offcials.
For this activity, keep in mind that the ICC website and categories occasionally change format. Be
resourceful.
Prepare a proposal for a change to the International Building Code using the following procedure:
1. Interview several people in your frm to collect opinions on how a specifc section of the building
code could be improved. Select the strongest idea for further development.
2. Download (from the ICC website) previous proposals for changes in the code category of your
choice. Review several change proposals submitted in the past to learn the nature and style of the
proposals.
3. Prepare a code change proposal on the idea you selected from your interviews, using the style on
the Web site. Solicit comments on your proposal from those who gave you code change ideas, and
refne the draft.
4. Download from the ICC Web site the fle titled Code Development Process and study it, paying
particular attention to the section titled Submittal of Code Change Proposals.
5. Download the Public Proposal Form. Fill out the form, using the narrative you completed in step 3
above and following the guidelines in the Submittal of Code Change Proposals.
6. Ask your supervisor or mentor for feedback on your completed Public Proposal Form and make
any recommended changes. If your supervisor approves, submit your change proposal to the ICC.
7. Using a project you are working on write a narrative detailing how your change would affect the
project. Make any necessary alterations to drawings and plans.
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Activity - Elective
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Building Permit Submittal Process
Drawings that require building permits must be reviewed by local building offcials. This review will reveal
how carefully your frm has checked the project documents with respect to code requirements. To learn
more about this process, you can interview a project manager at your frm.
Interview a project manager/project team in your frm or a mentors frm who has had experience
submitting projects for building permits. Consider the following questions:
What is the permitting submittal process in your jurisdiction? Obtain copies of building permit
application forms and instructions and study them before attending the meeting. These may be
available online.
What kind and size of projects require a formal building permit review, as opposed to an over
the-counter building permit? (For example, in some jurisdictions small projects such as swimming
pools, fences, or even residences may require a fee and minimal documentation, which is
reviewed while the applicant waits.)
What time frame should be anticipated for building permit review? Does the size of the project
fgure into the time required?
What construction documents and specifcations should be included with the building permit
submittal? Is there a formal list? Does the building code address documentation requirements?
Has the project manager observed problems when architectural drawings are submitted for permit
review?
Are the drawings frequently judged to be incomplete?
Do they adequately address building code issues?
Is the project manager generally concerned about any issues relative to review of architectural and
engineering drawings by the building offcial?
Prepare a written report describing the building permit submittal process. Address any problems or
concerns raised by the project manager. Include in your report a checklist designed to guide an architect
through the building permit submittal process in your city, including items that address the issues you have
identifed.
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Activity - Elective
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notes
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2E
Design Development
activities - core*
introduction
248
249
250
242
243
244
245
246
247
242
224
Energy Code Compliance
Lessons Learned in Check Sets
Observing the Work of Others
Value Engineering the Exterior Wall
Research a Multi-Disciplinary Design Issue
Change-of-Use Dilemma
narrative 226
Understanding Building System Selection
Buildable Entities
Errors in Survey of Existing Building
exhibits
----
Design Development
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resources
2E
Internships.aspx.
2008.
Phases

2001.
2009.
Phases
Introduction
of the activities involved in design development. The following information
is taken from the NCARB IDP Guidelines:
Design Development
Minimum Design Development Experience: 320 Hours
Defnition: During design development, a projects schematic design is
refned, including designing details and selecting materials. This step
occurs after the owner/client has approved the schematic design.
Tasks
Prepare design development documents
Investigate and select building systems and materials
Meet with client to refne design and obtain approvals
Conduct or respond to a constructability review
3-D modeling
Applied mathematics (e.g., algebra, geometry, trigonometry)
Building design
Building envelope
Confict resolution
Constructability
Construction details
information)
Design principles
Furnishings, fxtures, and equipment
Indoor air quality
Interior materials and fnishes
notes
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Life safety
Managing quality through best practices
Manual drafting
Natural and electric lighting (e.g., daylight, solar control, energy consumption)
Problem solving
Project scheduling (e.g., construction document setup, storyboarding, staffng projections)
Site design
Space planning
Specifcations
Sustainable design
Universal design (environments usable by everyone regardless of limitations)
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resources
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Learn more about design
development and contracts via
AIA Contract Documents:
www.aia.org/contractdocs
Narrative
The beginning of design development (DD) is a logical extension of
schematic design. DD tasks build on the approved schematic design
to reach a level of completeness that demonstrates the project can be
built. The schematic design is overlaid with more detailed information
obtained from an array of multidisciplinary consultants and team members.
Throughout DD, it is important to evaluate how systems, material selection,
and detailing refect the schematic design concept. The design team works
out detailed coordination issues, while enhancing the project, so that major
revisions are not needed during construction documentation or, worse,
during construction.
Depiction of all aspects of the design, including architectural, structural,
HVAC, electrical, plumbing, and fre protection systems are essential.
Depending on the building type, acoustic and vibration considerations,
lighting concepts, landscaping design, and other specialized factors also
need to be integrated into the design. Design development may rely
on extensive three-dimensional representations (models, perspectives,
animations, full-size mockups, etc.) to communicate both the overall design
and details to the design team, the client, and the construction team.
Historically, schematic design, design development, and construction
documentation were distinct phases of project delivery. In a continuous
process of evolution, refnement, and integration, digital developments
have blurred these phases. Add to this the emergence of project delivery
methods beyond traditional design-bid build to methods emphasizing
multiple packages and sequential issuance of design information, and the
crisp lines between traditional project delivery phases are often gone.
Design development documents are often similar to those in schematic
design, but contain more detail in the drawings and specifcations and
maydepending on the contractbe accompanied by an updated cost
estimate. The client reviews these documents and, upon the clients written
approval, construction documentation begins. In some project delivery
methods, the issuance of production information and even commencement
of construction overlap the design development phase. In these instances,
the architect must focus sooner on systems that affect early stages in the
work.
Architects must be profcient in preparing design development documents
that detail project scope, quality, and cost, providing details about materials,
systems, and compliance with life safety requirements. Meetings during this
phase are critical to an understanding of why design decisions are made.
Ideally, interns seeking licensure should participate in discussions with
the client regarding scope, quality, and cost and in technical coordination
meetings with the engineering disciplines. Identifying conficts between
building systems, collaborating with design team consultants to resolve
these problems, and ensuring that specifcations and drawings conform to
applicable codes are important activities during design development.
notes
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The Design Development Process
Design development in the architecture profession is continually evolving, responding to changes in
technology, project delivery methods, and computer-aided design (CAD) systems. As a result of changes
in computer technology over the past several decades, the distinction between schematic design (SD),
design development, and construction document (CD) phases has blurred. When DD documents are hand-
drawn, SD drawings are often discarded and larger scale plans and sections begun. Commencement of the
CD phase also included creation of new drawings. Creating drawings in CAD is a different process. As the
project delivery process moves ahead, information is continuously added to the drawings, allowing them to
be viewed in multiple scales, and more recently, explored in multiple viewpoints with three dimensional CAD.
Another cause of this blurring of phases stems from the adoption of project delivery methods that seek
to build faster and with more input from contractors and manufacturers. Some contracts actually delete
design development, going from concept design to construction documents. Others require creation of bid
packages for foundations and structural frames in the middle of design development. Despite these changes
in technology and delivery, the tasks that make up the DD phase are still necessary for a successful project,
even if they are performed in different phases or out of sequence.
Design Development Tasks
The main task that must be accomplished in design development is preparation of drawings and documents
for your client that detail project scope, quality, and design. Specifcations and details of selected materials
and systems are part of the DD package, with more technical detail provided by consultants. The DD
products make possible a more refned cost estimate and a better understanding of how different building
systems are integrated and how the building is likely to perform. Ultimately, the DD documents allow a client
to make an informed decision whether to continue a project into the CD phase and construction itself.
The skills needed to accomplish DD tasks vary.
Architects must have the technical skills to take the approved schematic design and incorporate appropriate
levels of detail in drawings and specifcations, coordinate and integrate the systems, and comply with code
requirements. Necessary management skills include the ability to participate actively in meetings with clients
and consultants and to keep a project moving forward. Problem-solving skills are needed throughout the
DD phase, as architects resolve conficts between systems or consultants, reinforce and support the initial
design intent with selection of materials and details, and explore important portions of the building at a larger
scale.
Design Development Team
The project team gets bigger during design development. The core design team of architects and engineers
is augmented with a number of consultants in specialties such as geotechnical issues, wind tunnel testing,
security, sustainability, acoustics, lighting, vertical transportation, landscape design, and so on. While some
of these consultants may have been brought into the project during SD, all of them have more work to do
in DD. Today construction managers and cost estimators are included earlier in the design process, so they
often participate in DD meetings. The cost control team works closely with the architecture/engineering team
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during so everyone understands the cost implications of design decisions. (For more information about cost
issues, see Chapter 1C - Project Cost and Feasibility.) Subcontractors and suppliers are also brought in
early for their valuable input into construction feasibility and construction and materials cost. While many
architecture frms do it all in-house, many other frms specialize in technical aspects of architecture. The
latter offer services in specifcations writing, code and life safety issues, exterior wall design, theaters,
sport venues, laboratories and hospitals, and physical model building as well as new virtual model building.
Depending on the scale and complexity of a building, many of these consultants are assembled for design
development.
Effects of New Technologies
The traditional role of design development is as a step in a continuously increasing effort that leads to
construction documentation, which is the climax of the design effort. A by-product of the new technologies
used in architecture practice is the alteration of this process, as described above. In response to this
change, Patrick MacLeamy, FAIA, CEO of HOK, proposed an alternate effort chart that makes DD the
peak effort in the design process (see the accompanying diagram below). This view of design development
coincides with its position on the design effort curve in MacLeamys graph, which shows the design teams
ability to affect cost and quality diminishing over the life of a project.
When DD is seen as the peak effort in the design process, more fnal work occurs during this phase,
requiring more effort. For example, construction of 3-D building information models (BIMs) and other means
of achieving interdisciplinary coordination during design development require greater effort than traditional
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2-D drawings. However, expending this effort during DD reduces the effort required during construction
documentation. The Construction Users Roundtable (CURT) is presently considering this approach to DD as
a way to increase A/E productivity, while improving the quality of construction documents.
Architects and their consultants use a variety of techniques to explore the design of a building throughout
the DD phase. These techniques range from traditional hand sketching and physical model building to
computer modeling and animation borrowed from the aerospace and entertainment industries. New
technologies make it possible to take information from physical models of buildings and mockups of portions
of a design and enter them into computer programs for use in design development.
The expansion of CAD into the third dimension has increased the number of tools available to explore
design issues. In addition to placing 2-D design information into 3-D computer programs, it is now possible
to export 3-D information. Rapid prototyping machines print 3-D model buildings and mockups. Even the
physical models used in wind tunnel analysis often begin with 3-D models of the building and surroundings
created by computer numerical control (CNC) machines. Other ways of assessing building performance
during design by using 3-D models exported to other programs include computational fuid dynamic (CFD)
analysis, lighting studies, timed exit analysis, and energy analysis.
Using the technology available today gives architects quantities of information to help them analyze designs
in ways that were not affordable or even possible a few years ago. Examples of how several well-known
frms are making use of this new technology are shown at the end of the narrative.
DD Deliverables and Products
Refnement of the schematic design approved by the owner, including design of details and selection of
materials, is the primary goal of design development. However, drawing content varies according to project
size, type, location, and local practice, making it impossible to develop a single list of DD deliverables
appropriate for every project. Following is a list of items frequently considered for inclusion in DD
documents, along with some particulars that might be included in each:
Site plan: Zoning and site development requirements, property lines, elevations, pavement and
sidewalks, walls and curbs, landscaping, utilities, typical site details
Floor plans: Rooms, corridors, and other spaces; windows and doors; fre ratings and
compartments; expansion joints; refected ceilings; structural grid; major dimensions
Building elevations: Materials and features, major dimensions and elevations, typical windows and
doors
Building sections: Materials, fre ratings and compartments, expansion joints, major dimensions
and elevations, outline specifcations
Typical wall sections: Partition types, fre-rated assemblies
Integrated sections/plans: Architectural, structural, mechanical, electrical, and plumbing systems
depicted on the same drawings to show how they ft together
Schedules: Room fnishes, doors, windows, vertical transportation
Structural: Foundation plan, foor framing, roof framing, typical notes and details, outline specifcations
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Learn more about the United
States National CAD Standard

by visiting their website:
www.nationalcadstandard.org
Download the General Services
Administrations CAD standards
via their website: www.gsa.gov/
portal/content/104697
Mechanical: Equipment rooms and distribution zones, riser
diagrams, equipment rooms, outline specifcations
Electrical: Equipment rooms and distribution zones, riser
diagrams, equipment schedule, outline specifcations
Plumbing: Equipment rooms and distribution zones, riser
diagrams, equipment rooms, outline specifcations
Outline specifcations: Brief description of the project,
architectural materials and systems, engineering specifcations
Visualization: Models, mockups, material samples, renderings,
computer models, animations, sketches, lighting studies
Other material: Code and zoning analysis, foor area summaries,
LEED rating summary
Approvals
The architect submits DD drawings and specifcations to the client
for review and comment. Some architects (or clients) prefer a design
development presentation, with plans and sections put up on the wall
or projected from a computer. Some clients prefer to study the drawings
and specifcations carefully while a cost estimate is prepared, and then
have a meeting to discuss comments. If a project budget is not on target,
the architect and client discuss ways to achieve the clients objectives.
Sometimes, the DD documents need to be revised before the client
will approve them. In any event, the architect should not commence
construction documentation before written approval has been received. In
fast-track delivery, however, work often begins on the CDs during the client
review period. The owner-architect contract should address the approval
process for a particular project.
Standards for Drawings and Computerized Design
Standards for the graphics that depict building plans and details have
evolved along with the transition from drawings created with pen and pencil
on paper to those created using CAD. In the past, individual architecture
frms often developed their own standards, leading to many variations on
the commonly agreed plans and sections that make up a DD set. Today
paper standards have given way to CAD standards because the CAD fles
themselves have become deliverables.
CAD standards to be used for a project are commonly identifed in the
owner-architect agreement. The Construction Specifcation Institute (CSI),
the National Institute of Building Sciences (NIBS), and the American
Institute of Architects (AIA) have joined their efforts to publish and
promulgate the National CAD Standard. In addition to this standard, some
architecture frms have established their own standards, which are often
a variation of the national standard altered to ft the way the frm works.
Clients can be another source of standards, such as the General Services
Administration (GSA), which has the GSA CAD standard available as a
PDF on its website. See Resources side bar for more information.
New ways to deliver architecture products are on the horizon. An example
is building information models (BIM), which store information in 3-D
graphic databases. Organizations such as the International Alliance for
Interoperability (IAI) are working on standards for building construction
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objects in these databases to improve effciency and productivity in the design and construction industry.
The BIM standards are beginning to evolve in a way similar to the development of CAD standards. The
promise of these standards for building products and their use in BIMs is that the development of software
applications will dramatically improve productivity in building design and construction. The automobile and
aerospace industries have shown this is possible, without sacrifcing design and performance.
Multidisciplinary Design Issues
Many issues in building design require coordination and collaboration among team members from different
disciplines. Attention to these interdisciplinary efforts begins during schematic design, but responses to such
concerns are refned during design development. In particular, the revived emphasis on energy conscious
design and the emergence of sustainable design objectives have introduced increased intersections in the
work of architects, engineers, and specialty consultants.
Attention is given to the following multidisciplinary design areas at many points in the project delivery
process. By necessity, none can be considered independently by practitioners of just one discipline. As
mentioned above, detailed coordination may wait until construction documentation; however, an integrated
approach to addressing these issues during design development yields better results.
Energy-Conscious Design
Decisions about building systems, the exterior envelope, daylighting, and the indoor environment all
infuence the design and affect the energy use of a building. During DD, refning the enclosure strategies
established in schematic design includes evaluating window size and location, shading, and glass type with
the goal of minimizing heating, cooling, and lighting loads. The heating and cooling systems chosen for a
building are an important part of energy-conscious design, but these systems also infuence the structural
systems and service spaces of a building. M/E/P engineers, lighting designers, exterior wall consultants, and
structural engineers are all needed to study these aspects of the design.
Sustainable Design
During design development, sustainable strategies can be introduced to refne energy-conscious designs
and to infuence product selection. For example, lighting and HVAC systems can respond to passive
energy and ventilation strategies, and dimming ballasts and photo-sensor lighting controls can be used
to dim electric lights when daylighting is available. Other building materials can also be selected for their
environmental characteristics. Structural engineers, geotechnical engineers, and mechanical engineers are
often involved in developing these strategies.
Achieving a LEED rating is sometimes a project goal. To accomplish this, the architect must pursue the
rating throughout the design process, using measures to verify performance. The process involved in
achieving sustainable design goals is illustrated in the sidebar.
Acoustic Design
Architects working on acoustically sensitive buildings often hire specialized consultants to determine the
characteristics of sound quality and sound isolation appropriate to the project. Criteria are established that
affect door, window, and enclosure design, as well as structural and HVAC design. In addition, interior
design of critical spaces may be affected by the need for absorptive or refective materials. Acoustic and
vibration consultants lead the effort to evaluate design options and make recommendations. However,
the architect must coordinate a number of interdisciplinary issues, including those introduced by M/E/P
and structural engineers and exterior wall consultants. A number of ways are available to simulate sound
qualities in buildings, including specialized consultants who build and test physical and computer models
that help the architect evaluate alternatives.
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Acronyms to Remember
DD - Design development
IAQ - Indoor air quality
BIM - Building information
modeling
M/E/P - Mechanical,
Electrical, Plumbing
CFD - Computational fuid
dynamic
VOCs - Volatile organic
compounds
CNC - Computer
numerical control
Lighting Design
Good lighting design can enhance the physical form and structure of
a building. In addition to the technical aspects of lighting levels and
functionality, design decisions about lighting systems can reinforce ideas
imbedded in the schematic design. Lighting consultants work with the
architectural design team and the electrical engineer on computational fuid
dynamic (CFD) analysis, lighting studies, timed exit analysis, and energy
analysis to establish design concepts for various project conditions. For
example, lighting simulations can be run in 3-D CAD, giving the architect
an unprecedented ability to study lighting during design development.
Sophisticated modeling programs are now a standard part of rendering
programs available to architects.
Envelope Design
Designs that incorporate large glass walls, curtainwall systems, and
skylights often require the expertise of specialists, who work with the
architectural design team during design development. In particular,
decisions about the building envelope affect structural and mechanical
systems. Information about window washing and skylight maintenance/
cleaning should also be considered during design development.
Site Design and Geotechnical Issues
For many projects, a site investigation and geotechnical recommendations
are needed. Evaluation of foundation options, suggestions for controlling
groundwater, and recommended designs for basements and other earth
retention structures will provide information helpful for refning a foundation
design. For large site development schemes, recommendations are
needed for the design of pavements and retaining walls, as well as for
dealing with utility and transportation issues. Architects lead the effort in
advancing site issues during design development, with the help of civil,
geotechnical and structural engineers.
Life Safety Design
Life safety and other code specialists are commonly hired to assist on
large, complex projects. Fire ratings and separations affect mechanical
and structural engineering systems and must be coordinated among the
disciplines. A building code analysis will reveal many of the issues related
to egress, fre separations, and structural protection, which generally have
prescriptive code requirements.
Performance-based design concepts developed in Europe and Australia
are coming into use in the United States. Techniques such as timed-exit
analysis, computational fuid dynamics (CFD) analysis, and structural
analysis with fre design load cases require specialized consulting services.
Design development is the time to explore these options, particularly if a
project falls outside the typical building types addressed in building codes.
Indoor Environment
Many buildings, including hospitals, schools, libraries, laboratories, and
residential buildings, have critical indoor environment requirements. Indoor
air quality (IAQ) issues, including release of volatile organic compounds
(VOCs) and effects of hazardous materials, affect the choice of interior
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fnishes and engineering systems. Indoor air quality consultants help architects in these areas, especially in
evaluating existing buildings, and mechanical engineers play an important role in addressing any concerns
raised.
Seismic Design
In many parts of the country, designs must accommodate the level of seismic force expected in that region.
While the structural engineer takes the lead in design to resist earthquakes, the seismic design process
includes consideration of the design of nonstructural elements and mechanical systems, as well. State-of-
the-art earthquake resistant systems may include active and passive damping systems and base isolation
systems. All of these have an impact on detailing of expansion joints and access requirements as well as
mechanical systems.
Integration of Systems
The often-conficting requirements and restrictions of technical building systems require engineering
systems coordination during design development. The more complex the project, the larger the design team
is likely to be, making collaboration skills key to successful project development and completion.
Structural Systems
Structural engineering aspects of building design can have a signifcant effect on an architects overall
design concepts. For example, a wide range of system alternatives can be developed for the foundations
and superstructure of most buildings. Structural concepts also infuence the development of details such as
cladding, skylights, stairs, and guardrails, elements that may have been identifed during schematic design
but now require more in depth design.
Architects explore foundation and basement alternatives with structural and geotechnical engineers.
Geotechnical site investigations and analysis are used to determine how to protect basements from
groundwater and earth pressure. Usually, a foundation system is selected during design development to
meet performance, cost, and construction requirements.
Tall buildings and long-span buildings, as well as complex urban environments, may be effectively modeled
in wind tunnels to assess a number of critical design considerations. The structural engineer often takes
the lead in working with the wind tunnel consultant; however, a number of other disciplines receive
valuable information from the wind tunnel tests. Wind pressures on cladding and at the pedestrian level are
estimated. The effectiveness of exhaust and air intake locations may be assessed, and snow drifting and
sliding and ice buildup may be estimated. The primary reason for wind tunnel testing, however, is to assess
the aerodynamic properties of the building, that is, the probable movement of the building in wind.
Wind tunnel testing often occurs just before or during design development as it is essential for the building
form to be determined before testing. The exception to this are buildings, such as super-tall towers, where
the building form contributes to the buildings aerodynamic performance. For these projects, early testing
assists with the evaluation of optimal schemes. Although uncommon, when wind tunnel testing reveals
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Grondzik, Walter T., Alison G.
Kwok, John S. Reynolds, and
Benjamin Stein. Mechanical
and Electrical Equipment
for Buildings. Wiley & Sons
Canada, Limited, John, 2009.
Print.
the need for supplemental damping systems, as in seismic design, these
systems are designed during the DD phase. In addition to the cost of such
systems, the building program must be stretched to accommodate them.
Design to resist seismic forces is becoming more common in the United
States. The primary concern of earthquake-resistant design is stability and
safety, making the structural system of particular concern. Nonetheless,
signifcant secondary concerns include life safety, mechanical/electrical
system design, and choice of cladding systems, particularly in essential
facilities such as hospitals, police and fre stations, and emergency
response facilities intended to be operational after extreme events.
Building codes defne additional requirements for these facilities.
Mechanical/Electrical/Plumbing (M/E/P) Systems
The evaluation of alternative systems for mechanical, electrical, and
plumbing aspects of a building is a critical activity in design development.
By the end of DD, the optimal systems should be selected and
incorporated into the building design and the documents. Alternate
systems often have different space requirements, quality, costs (initial and
life cycle), and implications on the structural systems, and their selection is
often a design issue. Design decisions about sustainability, lighting, energy
use, and indoor environment all affect selection of these systems.
While it is true that much detailed engineering coordination occurs during
construction documentation, it is important for overall engineered system
concepts to be achieved during design development. Mechanical rooms,
exhaust shafts, ventilation louvers, and penthouses may support or confict
with the architectural design. When these elements appear late in the
design, it can be diffcult to insert them unobtrusively into the design.
Sitework and Landscaping
The scope of civil engineering varies widely from project to project, from
tight urban sites to wide open rural settings. Where utilities enter a building
affects the location of mechanical and electrical rooms. Grading and
drainage for a project affects the ground foor elevations. Again, detailed
coordination is not necessary at this stage; however, overall concepts
for utilities, site drainage, earth retention, and water retention should be
resolved by the end of design development.
Although the approved schematic design often incorporates landscape
concepts, more detailed studies are needed in design development. The
goal is to integrate the landscape design with civil, structural, and plumbing
design. With more and more buildings incorporating atria, and green
roofs, landscape decisions affect engineering coordination as well as
sustainability and energy conscious design.
Security Design
Acts of terror perpetrated in the United States have instigated new analysis
and design requirements for many public facilities. Public buildings owned
by the General Services Administration (GSA) and other government
agencies require compliance with federal security guidelines, including
those set by the GSA, the State Department, and the Department of
Defense. Corporate and institutional owners are also evaluating security
risks. Integrating solutions to security requirements into an architectural
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design can be a challenge, with a number of conficting issues. One of the biggest challenges in the design
of public buildings is balancing the desire for openness and transparency with requirements for security and
blast resistance.
Security consultants have a wide range of specialties, and very often owners employ them directly. While
they may have provided initial concepts during schematic design, a more detailed analysis is performed
during design development. If design for blast loading is a requirement, a specialist in blast analysis
is needed to defne the structural design criteria for the project, including loading requirements, which
structural engineer project then incorporates into the analysis and design. Security consultants may also be
asked to analyze security requirements for access to a building.
Preliminary Regulatory Review
The DD phase is an excellent time to schedule a preliminary review with regulatory agencies such as the
local building department, fre marshal, health department, education agency, planning and zoning offce,
and/or design review board. Often an in-progress set of drawings is used to present the building to the
offcials. A zoning and building code analysis should be performed (or updated from schematic design), as
well as an energy code analysis, as required. Although consultants can be hired to address code issues,
architects often perform the zoning and code review and M/E/P engineers the energy code analysis.
Again, an early meeting with offcials is helpful, especially for designs with issues open to interpretation or
requirements for variances.
The Evolution of Design Development
Design development is a central part of the design process, and it continues to evolve. It is more complex
today than ever before, yet a number of new computer tools and consultants are available to help architects
evaluate these complexities. For each project, what must not be lost during DD are the important concepts
imbedded in the schematic design. Design development should enhance these features, while fnding ways
to weave in the technical demands outlined in this chapter.
Written by Joseph G. Burns, FAIA, RIBA, PE, CEng
Joseph Burns is a managing principal of Thornton- Tomasetti Group in Chicago. He is an advocate for the deeper integration of
architecture and engineering, which he promotes through technical innovations in the design of structural systems, collaboration in
practice, and participation in building science education.
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your Activities.
Sample DD Applications of Computer Technology
A sample of the range of tools used in design development today is
illustrated in the brief descriptions that accompany the sample drawings on
the following pages. Each paragraph outlines how an architecture frm
small, medium, or largepractices design development today.
This is by no means an exhaustive list of examples; rather, it shows how
broad choices are today, as the building industry continues to develop
new technology and to adapt technology from other industries for use in
architectural design.
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DD Example #1
Garofalo Architects
Location: Chicago
Garofalo Architects uses a wide range of computer software to study buildings throughout the design
process. They mix physical models and computer models and make use of animation software. In particular,
they use Maya, computer animation software borrowed from the entertainment industry, which allows for
assembly of 3-D objects and rapid exploration of space and time. In design development, assemblies of
structural systems and other building systems can be coordinated in three dimensions. MicroStation is also
used for 3-D modeling and for plan and section construction. Visit www.garofaloarchitects.com for more
information about Garofalo Architects.
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DD Example #2
Gehry Partners
Location: Los Angeles, California
Gehry Partners employs a mix of physical models
at various scales and sophisticated 3-D software to
model complex surfaces. Spatial digitizers are used
to input complex surfaces from the physical models,
and rapid prototyping equipment is used to reverse
the process and verify the contents of the computer
models. Architects and engineers use 3-D object
programs to model systems and their integration. Two-
dimensional plan and section information is exported
from the 3-D software for traditional documentation.
Gehry Techologies is a separate company that conducts
research on building practice and develops software
products for the building industry.
An important part of the frms success in realizing its
projects has been to use building systems that can
accommodate substantial geometric variations while
minimizing engineering and shop drawing effort for
individual pieces. Recent advances in parametric
modeling allow the frm to effciently reuse material
developed for systematic design, engineering, and
modeling strategies across the project. Information such
as geometry, materials, system assembles, and so on
are available to everyone on the project team.
In the project illustrated here, a glazed atrium roof
system makes it possible to construct certain types of
curved surface forms using fat, quadrilateral sheets
of glass. Gehry Partners has developed a parametric
description of the geometry required to support this
construction. A set of curves initially defnes the object in
the parametric modeling program, allowing designers to
modify the surface shape while preserving construction
requirements. For instance, construction details such as
mullions and connection geometry, created as parametric
objects, respond automatically to changes in the overall
form of the glazing system.
A physical model
A parametric model of glazing systems
A parametric model of mullions and connections
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DD Example #3
Wheeler Kearns Architects
Location: Chicago, Illinois
Wheeler Kearns employs a range of sketches,
perspectives, models, renderings, plans, and sections
throughout design development. A high degree of
coordination between the architectural design and
building technology is sought through integrated
section and plan details. AutoCAD is used to create
plans and sections. Visit www.wkarch.com for more
information about Wheeler Kearns Architects.
Illustrated here is the design development study of a
bookcase in a private residence.
Schematic design sketch of bookcases in room
Design development sketch rendering of the
bookcase from under the balcony
Design development sketch details of the bookcase
Design development
computer rendering
of the bookcase from
under the balcony
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DD Example #4
Populous
Location: Kansas City, Missouri
Populous, formerly HOK Sport +
Venue + Event, uses the full three-
dimensional capabilities of AutoCad
Architectural Desktop (ADT)
throughout the design process. In
design development, a building is
constructed in three dimensions,
as is the consulting engineers
work, easing integration and
technical coordination of engineered
systems and the building design.
Specialized software is used for
interference (clash) checks. See the
accompanying sidebar for examples
of these documents. For more
information about Populous, visit
www.populous.com.

3-D renderings made during design development, from which
plans and sections can be extracted
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notes
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Energy Code Compliance
In this scenario, you are the project architect remodeling an older offce building in the design development
phase. Your mechanical consultant has just issued a report indicating the project will not meet the city-
mandated energy code. Among other problems, the type of glass selected for the project and the size of
openings shown on the approved schematic design drawings, the energy uses are too great.
You have reviewed the options with the principal in charge of design in your offce. If possible, the project
architect does not want to make changes/revisions to the size, location, or glass type of the windows.
Activity - Core
You are tasked with creating alternative solutions. Using an older offce building project in your area
that no longer meets current energy codes as an example, write a report for the principal detailing what
changes you suggest.
Research the energy codes for your state and see what has to be done to the project in order to
bring it up to code.
Since you are not allowed to make revisions to the size, locations, or glass type of the windows,
what else are you able to change? What changes would you make?
Be sure to include a cost analysis for any proposed changes.
How does your regional environment complicate this project? How can you environment be used
to your advantage?
How does the project being in the design development phase affect your decision making?
Explain.
version as a PDF.
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Lessons Learned in Check Sets
In this scenario, you are the project architect for a new downtown retail and offce building that includes a
parking garage in the basement. You are reviewing the design development drawings, specifcations, and
other project records to check compliance with the code analysis performed by your team. During your
review, you have discovered several omissions.
One omission is the absence of four-hour rated construction separating the parking area in the basement
from the retail space on the frst foor. This separation is not shown on design development drawings,
and the structural engineering drawings indicate steel foor framing with a metal deck concrete slab,
which appears to provide a two-hour separation. Although both steel and concrete structural frames were
evaluated in schematic design, steel was selected for cost and speed of construction.
You discover another omission in one of the exterior walls, where four-hour rated construction is required
along a property line. Your design shows several windows in this wall; closing them will require revising the
schematic design for some of the spaces. In addition, it appears to you that only a two-hour separation is
provided at this location on the design development drawings.
The design team is happy to receive your comments before they have completed design development. They
have asked you for ideas on how to revise the construction to comply with the code.
Research and describe various options for resolving these two omissions. Write your fndings in narrative
form and include illustrations. Discuss with your supervisor or mentor. Then, outline the lessons learned
from this experience that would inform your approach to future projects.
Consider these questions:
Do any of the identifed solutions involve requests for a variance from the local building authority?
Are there any trade-offs in the design that would make it possible to use the assemblies as
intended in the DD drawings?
Should the decision to select a steel frame be revisited? How would the project team evaluate this
option? What is the best way to approach the client with this option?
Are there any options for the wall openings that include alternate window types or fre suppression
systems?
Be sure to include any change to building systems and components. Detail how these solutions
would affect the schematic design, time and cost of the project.
version as a PDF.
Activity - Core
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Observing the Work of Others
Observing projects you are not working on is a key component of learning for architects. Choose a project
at your frm or your mentors frm and perform a brief design and/or technical review of the drawings and
specifcations near the end of design development. If your offce has a checklist for project reviews, utilize it
in your evaluation.
Activity - Core
Follow these steps in preparing your evaluation:
Compare the design development documents with the approved schematic design. Is it consistent
or have there been some major revisions? If so, why? Point out the reason for the change and the
positives and negatives.
Look at the documents prepared by the engineering disciplines. Are they consistent with the
architectural documents? If not, how could this be rectifed?
Review the specifcations prepared for the project. How do these sections support the design
concepts?
Perform your own evaluation of the code analysis and accessibility report. Does the building
comply with these requirements? Make note of any place it does not and explain why.
In what ways could integrated project delivery help this project?
Review the DD deliverables and make note of which are applicable to this project.
Write a summary of your review.
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Value Engineering the Exterior Wall
Value Engineering (VE), also referred to as Value Analysis (VA) is an area of practice where architects are
frequently pushed around, and which can be the source of trouble on a project. All participants must realize
that value engineering is an often necessary though extremely disruptive process that usually subverts
coordination and leads to measurable errors in drawings and specifcations. VE can also lead to quality
reductions that were not within the realm of the owners expectations.
A less commonly discussed problem is that VE changes to drawings take time, and usually occur during the
beginning of the construction phase when coordination oversights and drawing mistakes are more costly.
Architects can participate to some extent in the VE process, but are usually under the control of the owners
or contractors desire to reduce costs.
The Architects Handbook of Professional Practice, 14th ed. Chapters 12.5, 12.11 and 14.2
EIFS Industry Members Association (EIMA), Guide To Exterior Insulation & Finish System Construction (PDF)
Other EIFS information such as; Dryvit Systems, Inc., Sto Corp., Teifs
The Portland Cement Association
Gimme Shelter, February 2006, AIArchitect article by Grant A. Simspon, FAIA and James B. Atkins, FAIA.
Managing Project Risk, James B. Atkins & Grant A. Simpson, John Wiley & Sons, 2008.
In an effort to understand what an architect is faced with when building systems and materials change,
you will research two different materials and make note of the differences. The objective will be to create a
list of pros and cons to discuss with the owner. Answer the following questions:
Is it really any of your business if the owner and/or contractor choose to change the design of the
building?
If the owner or the contractor changes the design of the building, arent they going to be
responsible for the design?
Do you have any responsibility to explain the advantages and disadvantages of decisions they
have made about the building design?
EIFS (Exterior Insulation and Finish Systems): Your owner has elected to change a large portion of
the exterior wall of the building youve designed from brick masonry veneer on metal studs to EIFS on
sheathing on metal studs. Youve heard stories that concern you about the quality of the EIFS product.
You start your research and discover there are several grades of EIFS, including drainable systems and
barrier systems. Answer the following questions:
What are the advantages of brick masonry veneer on metal studs?
What are the advantages of EIFS cladding systems?
Is cement plaster stucco a viable alternative to EIFS that you might propose to the owner?
Prepare a report that compares the advantages and disadvantages of brick masonry, drainable EIFS,
Barrier EIFS and cement plaster stucco. Consider the following:
Remember that the EIFS manufacturer website present information on the comparison of EIFS
with other materials.
As does the Portland Cement Plaster Website.
Be neutral toward each system until you are convinced that one or more are better systems.
Activity - Core
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Research a Multi-Disciplinary Design Issue
Choose one or more of the multidisciplinary design issues listed in the narrative, and prepare a detailed
evaluation of one that interests you. Research alternative solutions to the issue you have chosen, and
evaluate some of the reasons (cost, aesthetics, technical) for choosing among them. Choose challenging
design issue(s) on a familiar project you are familiar with, one you have read about in a magazine, or one
you are interested in learning about.
Activity - Core
Prepare a memo to a client explaining at least two alternatives you have explored that are appropriate to
work during DD, and explain your recommendation for one of them. Be sure to include the following:
A few sketches to illustrate the alternatives.
The approximate cost of each alternative based on the use specifc materials.
How the alternatives affect the rest of the design.
In researching the issue(s) you have chosen, consider these points:
What disciplines are needed to address the issue? Speak with a consultant from each area of
expertise to understand the issue from different perspectives. These could be with experts within
your frm, consultants who regularly work with your frm, or an expert you have read about and are
willing to approach.
Research precedents that have solved these issues. If you fnd any less than successful
examples, explain why they were not successful.
What are alternative ways to consider this issue?
Prepare a summary memo for your client and include illustrations or reference materials if
needed to explain the issue.
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Change-of-Use Dilemma
In this scenario, you are the project architect for the conversion of an existing four-story offce building
into an arts center. No drawings of the existing building are available. Your structural engineer told you
the change of use will result in an increase in live loading, and he recommended a structural survey to
determine the size and strength of the beams and columns in the building. Because the building is currently
occupied, the client did not want to disturb the tenants so did not approve a structural survey. As a result,
you completed schematic design without the structural information for existing building.
The project is now in design development, and you have convinced the client to proceed with a limited
survey. At selected locations, the engineer was able to access the ceiling areas and measure some beams.
Assuming some reasonable material strength, your structural engineer evaluates portions of the building
and concludes insuffcient structural capacity for public assembly is likely on all but the ground foor. As you
had positioned the most heavily loaded gallery spaces on the second foor during schematic design, this is a
problem.
List the questions to explore with your structural engineer in evaluating options for increasing the capacity
of the other foors. What other steps could be taken to confrm what the engineer suspects about existing
building conditions?
Write a narrative to your client explaining the results of the limited structural survey and what suggestions
you have for dealing with the situation.
Make your recommendation and include sketches illustrating your ideas.
Ideas for approaching this assignment follow:
What will you need to document existing conditions in order to obtain a building permit from your
local building department?
How would this affect the time, cost, and quality of the project?
What changes to materials or components would you make?
Speak with a structural engineer that is working on one of your projects, and ask his/her opinion
about how to approach this problem.
Should schematic design be revisited? Would this be an additional service under a standard AIA
owner-architect agreement? If so, should you mention it to the client if reworking the SD drawings
is one of your options for moving forward?
version as a PDF.
Activity - Core
Design Development
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Understanding Building System Selection
During design development, major building systems are selected. For this assignment you will study a
building system on a recent project in your offce or a mentors offce. Choose a structural, mechanical,
enclosure, lighting, or other building system.
Address the following in a narrative:
Speak with a representative of the technical discipline involved with this building system to
understand the design issues from their perspective.
Review the schematic design documents, and compare them with the design development set.
Does the system selected support or weaken the design concepts?
What are the major design considerations for this building system? Did the design team take all of
them into account?
What other disciplines have an impact on your case study system? Were these considered in the
selection of the building system you are studying?
Are there any design alterations that you would recommend for these systems? Incorporate
specifc changes in materials, components, and possible cost.
Are there any multi-disciplinary design issues you must consider?
Prepare a presentation explaining the research results and your suggestions. Explain why the selected
system was chosen and any changes proposed.
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Activity - Elective
Design Development
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Buildable Entities
The design development phase when architects begin to turn single line sketches into buildable entities. If
you are not careful you may mislead the client by under or over estimating moulding profles, window mullion
or muntin size, or eave profles.
Using schematic design sketches showing windows, research a popular window manufacturers details for
head, jamb, sill, mullion, and muntin size. Redraw the sketch with appropriately sized members. Write a
narrative describing the differences. If the difference is signifcant, what other options do you recommend
to be explored in order to achieve the original design intent?
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Activity - Elective
Design Development
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Errors in Survey of Existing Building
In this scenario, your architecture frm has been hired to design an industrial building with offces in an old
manufacturing district of your city. The client wants to demolish much of an existing building on the site, but
she wants you to reuse its foundations for the new facility. The footprint of the existing building is very large,
400 ft. x 600 ft., and the existing column grid is typically 40 ft. x 40 ft.
Because no drawings of the existing building could be found, your frm surveyed and documented it. The
work was needed to accurately represent the existing column grid because the client intends to build a new
superstructure on the existing foundation. The survey of existing conditions was performed during schematic
design, and all the team members for the development of engineering systems and architectural design
have used the results.
This is a fast-track project, and the contractor must order steel midway through design development to
meet the project schedule. Your frm is nearly fnished with design development, and the contractor has
discovered a number of inaccuracies in the existing conditions survey. It turns out that one of the exterior
bays is skewed and follows a rail siding; it varies in width from 38 ft to 42 ft. The structural engineer will have
to revise the drawings before the steel can be ordered.
Compose a draft letter on behalf of the partner in charge of the project to the client, who has blamed your
frm for the delays. Explain how to address the needed changes without further delaying the project. Use
the Design Effort Curve, defned in the narrative, to explain the benefts of catching the setback now.
Include effects on cost, functional capabilities, and effort. In addition, explain how this will affect building
components, systems, and overall design.
Review your responses for this assignment with one of the following: (1) an insurance agent or broker
who specializes in professional liability insurance for architects, (2) an attorney who practices primarily in
the feld of construction law, or (3) legal counsel or the claims staff representative from one of the major
insurance companies for design frms.
version as a PDF.
Activity - Elective
Design Development
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notes
Design Development
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2F
Construction
Documents
activities - core*
introduction
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280
281
282
283
284
285
286
287

288

289
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276

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254
Mock-Ups
Window Installation
Comparison of Documents
Compliance with ADA
Feedback on the Usefulness, or Quality, of
Drawings from Contractors/Subcontractors Who
Build Architects Design
Checking & Coordinating Documents
Construction Document Coordination
narrative 256
LEED Checklist
Attending an In-Ofce Product Presentation
Developing a LEED-Certied Project,
Incorporating Sustainable Design Concepts
Changes Required In Order to Meet Code
Creation of CAD Standard
Prepare a Consultant Coordination Plan
Preparation of Traditional Redlined Check Set
Preparation of Green-Light Check Set
Development of a Tool for Preventive Document
Checking and Coordination
Critical Review of Checking and Coordination
Procedures
Preparation of a Check Set Error Analysis
exhibits
----
Construction Documents
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resources
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Internships.aspx.
2008.
Chapter 12.3 -
Construction
Documentation

2001.
Chapter 18.5 -
Construction
Documentation -
Drawings
Chapter 18.6 -
Construction
Documentation -
Specifcations
2009.
Chapter 8.3 -
Construction
Documentation
Introduction
of the activities involved in developing construction documents. The
Minimum Construction Documents Experience: 1,200 Hours
Defnition: Includes the written and graphic instructions used for
construction of the project. These documents must be accurate, consistent,
complete, and understandable.
Tasks
Prepare construction documents
Coordinate construction documents (e.g., architectural, structural,
mechanical, civil, electrical)
Conduct quality control review of project documents
3-D modeling
Building design
Building envelope
Confict resolution
Constructability
information)
Design principles
Indoor air quality
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Life safety
Manual drafting
Natural and electric lighting (e.g., daylight, solar control, energy consumption)
Problem solving
Site design
Space planning
Specifcations
Sustainable design
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What Constitutes CD
Construction documents
typically include the following
types of information:
Legal and contractual
information
Contractor bidding
requirements (invitation
to bid or advertisement;
information and
instructions to bidders; bid
forms; and bid bonds)
Contract forms (form
of agreement between
owner and contractor;
forms for payment bonds
and certifcates)
Contract modifcations
(e.g., additions or
changes after the contract
is signed, such as orders
for minor changes in the
work, construction change
directives, and change
orders)
Information available to
bidders (e.g., surveys,
borings, drawings of
existing conditions)
Procedural & Administrative info:
Contract conditions
(general conditions of the
contract for construction,
which outline the rights,
responsibilities, and
duties of owner, architect,
and contractor, as well
as others involved in the
construction process, and
supplementary conditions
particular to the project)
Architectural and
construction information
Drawings (includes
architectural, structural/
mechanical/electrical/civil
engineering, landscape
design, interior design,
graphics, and other
specialty and shop
drawings)
Narrative
First and foremost, construction documents (CDs) are a vital, creative,
even exquisite instrument of communication: Following the defnition of
the overall design in the design development phase and its approval by
the owner, construction documentation is a natural continuation of the
design process one that sets the parameters for the building process.
Comprising legal, procedural, and construction information, CDs outline
the key interrelationships, rights, responsibilities, and dynamics that bring a
building into being.
In a combination of written and graphic formats, construction documents
translate the design of a project from the realm of ideas to physical form.
CDs are at once descriptive and prescriptive: They describe, in detail, the
components of a project that need to be fabricated and assembled in order
for it to be built. To that end, the contributions of myriad consultants are
assembled into a coherent, artful whole.
It is essential for clarity, specifcity, and completeness of construction
documents. Accordingly, they demand thought, time, research,
coordination, organization, clear communication and, above all, infnite
care: The health, safety and welfare of the public is bound up in the
successful completion of this phase of a project.
Context
Long before they come to occupy physical space, buildings are built
many times over. The act of producing CDs is itself an act of construction.
The unique combination of words and drawings that are construction
documents is the last iteration of the virtual buildingand the frst that
most nearly approximates its fnal shape.
The heart of any project resides in its construction drawings and
specifcations. This is the place where the building succeeds or fails:
In the construction drawings, it is possible to express the possibilities
of materials, the lyricism of their assembly, and the potential of each
to articulate and support the ideas of the larger whole. At their best,
construction document drawings balance the architects instinct for
innovation with the tempering voice of experience.
The Big Picture
Construction document drawings present distinct design challenges, as
well as unique potential. The architect is tasked with developing CDs
that interpret the client-approved project concept and present it so the
building that results is one we safely inhabit and remember. Although many
elements of the building are partially defned in the phases that precede
construction documentation, it is in the CDs that these take their fnal form.
Construction documents are prepared at a more focused, detailed scale
than either the schematic design or design development phases of a
project, yet they are the clear next step in that design continuum. In the
CDs, every aspect of the larger building is subjected to careful scrutiny:
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It is tested, explored, and depicted to ensure it will be constructed correctly on the site. Construction
documents describe the products, systems, quantities, confguration, and performance specifcations that
deliver the overall design intent of the project. It is important to keep in mind, however, that the CDs are not
a set of instructions for building. Construction means and methods, coordination among construction trades,
construction sequencing, and site safety compliance are the responsibilities of the contractor in charge of
building the project.
Among the benefts of working on the construction documents phase of a project is the opportunity for close
collaboration with consultants in a broad range of professions and disciplinesincluding architects who may
be employed by outside frms associated with the project.
The Task at Hand
While a series of contractual agreements and project specifcations are also considered part of
construction documentation, this chapter focuses on the production of construction document drawings and
specifcations. That said, it is important to understand that once a contract between owner and contractor
has been executed, the construction drawings acquire the status of legal documents: They are instruments
of the contract, as well as the focal point of the construction process.
Every project has distinctive characteristics that demand unique expression. Nonetheless, each requires
its project manager and/or project architect to revisit the industry-wide standards for assembling CDs at the
start of construction documentation: Their professional assessment, based on their thorough familiarity with
every aspect of the project, will establish the best means for planning and describing the work at hand.
With some exceptions, the architect takes the lead in overseeing and coordinating the work of the full
project team during the construction document phase of project delivery. Consultant teams that collaborate
to assemble CDs are sometimes large, with members in scattered locations and with different areas of
expertise as diverse as landscape architecture; civil, structural, mechanical, electrical, and environmental
engineering; acoustics; lighting; interior design; and so on. To guide this complex process successfully, the
architect must have a clear understanding of the full project scope, as well as of the responsibilities and
contributions of each team member. A thoroughly organized approach to the work, aided by an effective
system of communication among project participants, is imperative.
In large and small frms alike, clear standards and procedures for collaboration and communication among
team members are vital. These vary depending on the size of the frm and the number of participants, and
they also will change from project to project, according to the individual characteristics and requirements of
each. For large frms, some sample procedures could include the following:
Compile project-specifc organizational charts with contact information for key participants
Keep accurate minutes for meetings and conference calls and distribute them in a timely manner
Collaborate via a project extranet or web based project management system to ease the exchange
of project information. (This provides a central clearinghouse in which all up-to-date project data
resides, and indicates who did what and when.)
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What Constitutes CD
Specifcations (outlines
the levels of quality and
the standards to be met
in construction of the
project)
Addenda (additions or
changes to any of these
documents issued by
the architect during the
bidding or negotiation
processes)
For smaller frms (and smaller projects), the process is, in effect, the same:
Here, too, the identifcation of key project personnel and their regular
inclusion in all relevant communications (and, as appropriate, meetings)
are essential. Mechanisms that enable excellent communications are vital
if the project team is to achieve an excellent end-product: a thoroughly
documented, meticulously coordinated set of construction drawings and
specifcations that clearly and faithfully communicate the project design
while enabling construction to proceed within budget and on schedule.
Construction Drawings
Just as your studies in architecture school prepared you to engage in
schematic design and design development, much of what you learned
as a student will apply toward your internship experiences in developing,
managing and producing construction drawings. As explained by the
authors of Construction Documents Production in The Architects
Handbook of Professional Practice, construction drawings show,
in graphic and quantitative form, the extent, confguration, location,
relationships, and dimensions of the work to be done. They generally
contain site and building plans, elevations, sections, details, diagrams, and
schedules. In addition to drawn information, they may include photographs,
other imported graphics, and printed schedules. Thus, the profciency you
have acquired in describing projects graphically at a range of scales
from context and site plans to detailed foor plans, sections, elevations,
perspectives, axonometrics and digital modelsall apply directly to the
skills required to generate construction drawings.
However, as an intern working toward professional license, it is important
to keep in mind that construction drawings are more than a series of
graphics and schedules that describe a project. Termed instruments
of service, CDs are legal documents that become part of the contract
between the owner and the contractor. Errors, conficting information, or
omissions in these legal documents can result in costly change orders and
should be avoided if at all possible.
Elements of Construction Drawings
Most two-dimensional construction drawings contain elements with which
you are very familiar:
Plan, section, elevation, and detail drawings produced at different
scales
Dimensions
Symbols and targets (or keys)
Drawing annotations and abbreviations
They may also contain:
Schedules
Information available to bidders, including site or contextual
photographs and reference drawings (documentation of existing
structures, site surveys)
Although the specifcs of proper project documentation may vary from
project to project, building type to building type, and offce to offce, the
fundamentals remain largely the same. Principal elements are the scale at
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which the drawing appears on the sheet; the method in which the drawing is dimensioned; and the targets,
or keys, that reference drawings on other sheets. Symbols, notes, keynotes, and abbreviations also help
describe a project with the greatest accuracy, effciency, and economy.
Drawing Scale
Choose the scale that is optimal for the information you are presenting. For example, overall building foor
plans might be presented at 1/16=1-0 (1/8=1-0 in smaller projects), while enlargements of sections of
the foor plan containing a higher level of detail (such as toilet rooms with their accessories and fxtures),
might be presented at 1/4=1-0. Construction details, because they show a great deal of information about
a very small element, might be presented at 1-1/2=10 or even larger. In the CAD environment, the scale
at which the drawings will be plotted must be taken into consideration so the line weight and text size for
drawing annotations appear in the correct size on the plotted sheets.
Drawing Dimensions
Proper dimensioning is vital to achieving an accurate representation of the project in the drawings and
to avoiding discrepancies and conficts between drawings. Many professionals consider dimensioning
an art form. Architects aim to show only the dimensions required by each particular drawing and to avoid
duplication of information in a set of construction drawings.
Firms often establish an in-house set of guidelines for dimensioning drawings. One example is the following
set developed by Booth/Hansen & Associates in Chicago and adapted somewhat from how they appear in
the 13
th
edition of the The Architects Handbook of Professional Practice.
Dimension only from a fxed reference point, such as a column centerline or foundation wall.
Dimension only those things that really matter
Do not repeat dimensions, either within a drawing or on more than one drawing
In general, do not close dimension strings. In a string of dimensions, leave tolerance by omitting the
dimension for a non-critical space or assembly. When a dimension is omitted, delete the dimension
line as well. Final decision concerning the method of dimensioning resides with the project architect.
The thicknesses of tile, wood base, wainscoting, trim, and similar applied fnishes are not included in
room dimensions.
Vertical dimensioning appears on elevations or wall sections. Dimensions should be to the top of
signifcant structural elements and to window and door heads (rather than sills). They should be from
the top of the foundation, fnish foor level, or similar fxed reference. Masonry is dimensioned to the
top of the masonry unit, not to the joint centerline.
Ends of dimensions are indicated by short, bold, diagonal slashes. No dots, arrows, or crosses.
Specifc dimensions are not always the best choice. The simple notes ALIGN and 4 EQUAL
SPACES are often more appropriate if they relate clearly to information already present.
Dimensioning and checking dimensions are the responsibility of the job captain alone. The work
should not be delegated. All dimensions are to be double-checked by an architect not directly
involved with the project.
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CAD Standards Content
CAD standards usually include
information on the following:
Directory structure
Drawing set organization
Sheet organization
Schedule formatting
File naming conventions
Sheet fle size and layout
Data organization (e.g.,
data segmentation and/or
the use of CAD X-refs)
Drawing templates
Dimension styles
Text styles
Plotted line weights
Layer naming standards
and guidelines
Symbology
CAD software provides automatic dimensioning tools that can be
great time savers for the architect. Remember, however, that accurate
dimensions in the CAD environment depend on the accuracy with which
the drawing was generated. Inaccurate drawings result in inaccurate
dimension strings.
Targets
Also referred to as keys, targets are used to identify relationships
between drawings in the full construction document set. They can
interconnect building sections, enlarged foor plans, interior and exterior
elevations, wall partition types, and plan and section details.
Symbols and abbreviations. To avoid confusion, symbols and abbreviations
used on project drawings are usually defned ahead of time so they can be
used consistently throughout the documents (and across disciplines). They
save architects time and make it possible to provide more information on a
drawing in less space.
Annotations
In most cases, project specifcations provide a detailed description of a
material or system referenced on a drawing. Drawing notes can thus be
kept short and concise to convey design intent, while the specifcations
provide further information about the system or material.
Schedules
The most common schedules to appear in architectural construction
drawings are door, hardware, fnish, window, fxture, and equipment
schedules. Module 3 of the Uniform Drawing System (part of the United
States National CAD Standard) contains a section of standard formats
for the numerous schedules used in construction documents. Once
formatted, a schedule may be imported into a CAD drawing, where it may
be dynamically linked to the original word processing document so that
updates to it will be refected on the CAD drawing.
A Note on CAD and CAD Standards
Odds are that your frm will use a set of drawing standards that includes
specifc formats for different types of drawings, drawing sizes, and sheet
layouts. Firms also usually have a standard title block that should appear
on each sheet.
If construction drawings will be generated using CAD software, the entire
project team should agree to adopt a specifc drawing standard at the
outset of the project. This is especially important for projects in which
several different frms may collaborate on and exchange drawings. Many
in-house CAD standards are based on the U.S. National CAD Standard,
which has been widely adopted by much of the industry. Nonetheless,
a project may require you to adopt another CAD standard: The Chicago
Department of Aviation, for instance, has its own CAD drafting standard,
and all DOA project participants must adopt this, regardless of whether
they have a standard of their own.
Using a CAD standard ensures that all team members know how to access
project information and everyone will use the same language. Other major
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benefts of adopting and adhering to a CAD standard include improved communications and graphic quality,
reduced time required for review and reworking, and increased coordination among drawings in a set.
In short, regardless of what CAD standard is chosen or assigned, it is important for the entire team to agree
on a single standard and to enforce its use throughout the project. This saves time and energy that can then
be devoted to the real work of the construction documents phasedocumenting the project design in an
excellent set of construction drawings and specifcations. Enforcing use of a standard also makes it possible
to share CAD template fles, ensuring consistency among project drawings.
Construction Specications
The relationship between construction drawings and construction specifcations is vital, especially the need
for close coordination between them, which can enhance their descriptive potential and lessen any possible
conficts between them.
What are construction specifcations? The Architects Handbook of Professional Practice, 13
th
edition,
defnes them as presenting the written requirements for materials, equipment, and construction systems, as
well as standards for products, workmanship, and the construction services required to produce the work.
Project specifcations are usually included in the project manual, along with bidding requirements, contract
forms, and conditions of the contract.
Because of the magnitude and complexity of construction specifcationsespecially for large, intricate
projectsmany architecture frms employ one or more in-house experts. These individuals specialize in the
art and science of specifcation writing and assist the architects in outlining and developing specifcations
that best describe each project. Some frms procure the services of an outside consultant for this purpose,
while the project architect takes this task on at other frms.
Development of project specifcations typically begins during the schematic design phase, with the creation
of an outline spec for the project. As the design evolves through the design development phase, the
specifcations are revised and updated to refect changes in the project. Writing specifcations for buildings
is important and time consuming work. In them, the architect is asked to stipulate, in full detail, the range
of acceptable construction materials, manufacturers, and systems for virtually every aspect of a building
project. The project specifcations also communicate the architects requests for shop drawings and for other
submittals from the building contractor.
Specifcation Programs
How are specifcations organized? In the 1970s the Construction Specifcations Institute (CSI) developed
MasterFormat
, a specifcation program to encourage the consistent arrangement of all project

specifcations. In adopting this program, the industry took a major step toward achieving a uniform approach
to organizing information in construction project manuals. CSI revises MasterFormat
every fve to seven

years as construction methods and materials evolve.
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Learning About Products &
Systems
How does an intern familiarize
him/herself with the myriad
products and systems available
to the architect for specifcation
on a project? Many frms invite
manufacturers representatives
to visit the offce and present
their products or systems, often
during a lunch provided by the
representative. Frequently,
attendance at such presentations
can count toward satisfying
IDP requirements, fulflling
AIA continuing education
requirements, and accumulating
learning units (LUs) for the
licensed architect. Products and
systems presented range widely
and include items such as curtain
walls, commercial storefronts,
and residential glazing systems;
insulating glass; interior fnishes;
fooring systems and materials;
roofng systems; waterproofng
systems; cladding systems and
materials; masonry products;
lighting products; paving
products; site furniture products;
and so on. This is one way in
which interns can gain valuable
frsthand knowledge in an
informal setting where questions
can be asked and answered.
Interns may also learn
about systems and products
from discussions with more
experienced design and
construction professionals,
Internet research, visits to
projects both under construction
and completed, and product
catalogs in their frms library.
Journals and magazines publish
information about exemplary
and cutting edge practice. All of
these sources of information
and many othersoffer learning
experiences that contribute
to an interns professional
development.
CSIs widely used MasterFormat
has been incorporated into ARCOMs

MasterSpec, which is produced by the American Institute of Architects.
Both MasterFormat
and MasterSpec establish a master list of section

titles and numbers and a format for the organization of individual
specifcation sections.
As an example, Division 1 of MasterFormat
/MasterSpec contains the

general procedural and administrative requirements applicable to an
entire construction project. Each division is broken down into sections
identifed by fve-digit numbers that relate to specifc portions of the work
required on a project. Each of these, in turn, is organized into a three-part
format: general, products, and execution. This standard format provides
a predictable framework for the consultant, the owner, and the contractor.
This predictability allows for the easy organization of an often-complex
array of information. For more comprehensive information on project
specifcations, see Chapter 2G - Material Selection & Specifcation.
Coordinating Drawings and Specifcations
Thorough coordination between construction drawings and specifcations
is critical to ensuring a sound set of construction documents. This aspect of
document coordination consists primarily of ascertaining consistency and
clarity across the drawings and specifcations, particularly in the language
used to describe the assemblies, products, and materials of the project.
Uniformity and lack of ambiguity in drawings and specifcations facilitate
the construction process, making requests for interpretation and change
orders less frequent.
In smaller or simpler projects, it is not unusual to fnd that specifcations
are incorporated directly on the drawings. For larger or more complex
work projects in which materials and assemblies are more voluminous
or intricatethe specifcations are typically included as part of a separate
project manual. No matter where the specifcations are found, the need for
consistency between the drawn and written descriptions of the component
elements of the project remains the same.
Mechanisms for coordination vary. They can be enhanced by an architects
production techniques, as well as use of CAD and other programs for
automated drawing assembly. Among the techniques that have been
employed with great success is numerical keynoting. Here, the architect
generates a standardized, numerical drawing key that includes all
the components of a given project. These numbers take the place of
descriptive notes on all the project drawings and are cross-referenced
in the specifcations. The process ensures consistency from drawing to
drawing and facilitates coordination throughout development of the project,
making in-progress updates easier to complete: The architect need only
revise the drawing key to remain abreast of changes in a project.
Automation tools such as CAD can be used to coordinate drawings and
specifcations in other ways as well, integrating these two sources of
construction information for the contractor. For example, standard drawing
components can be modifed to include project-specifc information and
links to the specifcations document. These, in turn, can be used to check
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whether all project components are covered in the specifcations and all specifcations referenced in the
drawings. The use of these tools for document production can be used for many other tasks, such as
materials quantifcation for cost estimating.
Tools for Drawing Production
As a result of signifcant advances in the capabilities of computer drawing programs, as well as the
widespread adoption of computer drafting by the construction industry, the manual production of
construction drawings has become increasingly rare. Although the improvement in quality and productivity
introduced by CAD technology is partly offset by its own demands, the benefts provided by using it far
outweigh its drawbacks. Notwithstanding, some frms continue to produce construction drawings by hand,
primarily using ink and plastic lead on pre-cut sheets of Mylar.
CAD systems provide the architect with tools that make production of construction drawings faster, easier,
and more accuratebut also more complicated, especially if a project is not carefully planned in advance.
Typical advantages of using CAD technology include the ability to:
Copy, mirror, and array repetitive elements very quickly
Scale drawings simply
Make drawing changes and revisions quickly
Coordinate drawings more accurately by referencing or overlaying drawings from other disciplines to
check for interference
Automate area takeoffs and quantity takeoffs and create window, door, hardware, and equipment
schedules using out-of-the-box CAD tools
Easily exchange CAD fles electronically via tape/CD/DVD media or over the Internet via email, a fle
transfer protocol (FTP) site, or project extranet
Customize CAD systems with approved custom menus, toolbars, and libraries that provide
automated production tools to all CAD users in a frm to ensure compliance with CAD drafting
standards. This minimizes inconsistencies and ensures a high level of quality throughout a set of
documents.
Integrate other software applications with CAD systems via custom application program interfaces
(APIs)
Automate production of printed/plotted sets of drawings
The CAD environment has some differences from the manual one. As noted above, careful planning is
essential for managing production of CAD drawings. In addition, a CAD drafting standard and must be
adopted and a common CAD software platform agreed to at the beginning of the construction document
phase to ensure consistency among drawings and consultants throughout the project. If CAD fle translation
cannot be avoided, project participants must establish translation specifcations that can be mapped to
agreed-upon CAD standards at the outset of the project. This will allow the team to automate the translation
process, running batch translations (in many cases overnight), and ensure the highest level of document
quality.
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Features of Good Production
Management
Careful production
planning, scheduling, and
oversight
Documentation standards
A library of construction
information and technical
references
Effective coordination with
consultants and others on
the project team
Thorough review and
checking procedures
Approval of the
construction documents
by the owner (sometimes
at various stages of
production)
For todays architect, much of the work regarding CAD drafting standards,
drawing set organization, sheet organization, CAD layering and attributes,
drafting conventions, terms and abbreviations, symbols, code conventions,
and notations has been done by other organizations. The U.S. National CAD
Standard, frst published in 2001, incorporates four different documents:
Introduction and Amendments to Industry Publications, published
by the National Institute of Building Sciences
CAD Layer Guidelines, published by the American Institute of
Architects
Uniform Drawing System (UDS)Modules 1-8, published by the
Construction Specifcations Institute
Tri-Service Plotting Guidelines, published by the U.S. Coast Guard
and the U.S. Department of Defense Tri-Service CADD/GIS
Technology Center
Many architecture frms using CAD systems today have adopted a frm-
wide CAD standard based on the National CAD Standard. According to
the National Institute of Building Sciences (NIBS), major benefts to the
architect in adopting and adhering to the National CAD Standard are these:
Consistent classifcation, organization, and representation of all
CAD data for all projects, regardless of project type or client
Seamless transfer of information between architects, engineers,
and other design team members
Reduced preparation time for translation of electronic data fles
between different proprietary software fle formats and predictable
fle translation results
Reduced training time for teaching staff to use multiple offce
standards
Streamlined process for document checking drawing
Automated updating of data fles as the standard evolves
New opportunities for expanded services and revenue beyond
building design
Opportunity to market compliance with the standard as a beneft to
prospective clients

Whatever the tool selected to produce construction drawings, adoption
of a common drawing standard among all project participants is essential
to avoiding drawing rework, conficts, errors, and omissions. Consistency
across the project team will make the production process effcient and
comprehensive, and yield results of the highest quality.
Planning And Production Of Drawings
Typically, the project manager or project architect takes the lead in
developing a timeline for construction document production and delivery
and identifying staffng and other resources required to complete the
construction documents.
Production Management and Planning
The capabilities made possible by CAD technology are blurring the
distinction between design and documents production. In this environment,
most offces fnd it best to assign a single individual to coordinate production
of construction drawings for a project. This task can be assigned to
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numerous individuals, in larger frms and on larger projects, a technical architect, job captain, or other
individual may be assigned this responsibility.
As a project nears the construction documents phase, the production coordinator determines the time, staff,
and other resources needed to produce the project documents. He or she plans the needed drawings, details
what must be done to develop the outline specifcations, and lists the remaining documents to include in the
project manual. In some cases, some or all of these decisions will have been made and acted upon, at least
in a preliminary way, earlier in the project. Further information about this responsibility can be found in Chapter
3D General Project Management.
An architecture frm may use the same production approach for all of its projects or vary it according to the
needs of the project at hand. Similarly, a frm must decide how specifcations will be produced, whether
separate systems will be used for outline and fnal specifcations, and the extent to which specifcations will be
integrated with the drawings.
Regardless of the system used, it is especially important for the project manager or production coordinator
to plan the organization of the data, as well as the number of drawings, scales, sheet layouts, and so on.
Typically, for example, a frms CAD standards provide guidance on these topics, but almost every project
will present certain unique requirements. Sharing CAD data with outside consultants or the client requires
additional planning to ensure that all parties can use the data without extensive editing.
In short, many benefts accrue when a project manager thinks ahead, planning carefully from the outset to
ensure optimal use of available tools and technology. Adopting a common CAD standard and tweaking it to
your projects needs within established guidelines is a critical factor in ensuring consistency and accuracy
throughout the construction document phase.
Mockup Sets
A good mockup or cartoon set of the drawings needed for a project assists the team in visualizing the full
construction document process from the outset and to anticipate the requirements of the project. A mockup
set can be created using CAD or paper or a combination of both. The set should show all required site, plan,
section, elevation, and detail drawings, with notations of the scales required for each; pages with general
notes; schedules; and any other special drawings required to fully describe the design intent of the project.
The title sheet and table of contents can also be generated from this mock-up set. Most important, the set
provides the team with a tangible guide to the completion of the work ahead.
Exchanging Data
Before data is exchanged among different organizations, some planning must be done. Addressing the
following questions, originally published in The Architects Handbook of Professional Practice, is a good
place to start:
Which organizations are exchanging data?
What information does each organization need from the other(s)?
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CD - Construction
documentation
CAD - Computer-aided
design
FTP - fle transfer protocol
.DWG - standard flename
extension for most CAD
programs
.PDF - Portable document
format
BIM - Building information
modeling
CATIA - computer aided
three-dimensional
interactive application
What format data is required (AutoCAD native, .dxf)?
What are the project drafting and CAD standards?
What is the frequency of data exchange?
How will the data be exchanged (project website, bulletin board,
e-mail, CD)?
How much data preparation is required for each exchange and how
long does the transfer take?
Who is the person in each organization responsible for sending and
receiving data?
Who is authorized to request and release electronic data?
How will data transfers be logged?
Project Web Sites
Many owners and architects are adopting the use of project-specifc
websites where project participants may exchange electronic information
via a central clearinghouse. One of the simplest ways to do this is
to create a password-protected FTP (fle transfer protocol) site on a
server connected to the Internet. Project data, such as large CAD and
specifcation fles, can be uploaded or downloaded from an FTP site using
an Internet browser or FTP software.
Increasingly, Web-based project management systems are being
implemented on large, complex projects with many participants in many
places to facilitate communication and exchange of project data among
team members. Whether the system is custom designed or off the shelf, its
overall goal should be to provide the following:
Access (real-time access to all project data and information,
typically via the Internet)
Accountability (tools for specifying and determining who is
responsible for what and when it is due)
Auditability (tools for determining who did what and when they did it)
Document management (tools for managing data that is uploaded
and downloaded from the systemespecially CAD data)
Document viewing (viewers capable of displaying multiple fle
formats regardless of whether the user has the native application
installed on his or her computer
These robust tools can improve communication, coordination, and
productivity when available to and used by the entire team.
Milestone Coordination and Archiving
An important goal of the construction documents phase is a fully
coordinated set of documents that are internally consistent within
and across disciplines. This goal has its challenges: Plans, sections,
elevations, details, and schedules must agree with one another. Materials
shown on drawings must be specifed, mechanical and electrical systems
must ft within the chases and plenums designed for them, etc.
The coordination task is complicated by the reality that more than one
person or frm will work on the construction documents of all but the
smallest projects. Staff may be in different groups within a frm or in
consultant organizations. For CAD systems, it is necessary to develop
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protocols for who has access to what layer or drawings, the exchange of updated fles, and regular and
frequent backups of all of the work.
As you can see, it is imperative to be organized when working in any environment. Several suggestions for
accomplishing this follow:
If possible, establish a common CAD software application for the project.
Make sure the entire team conforms to CAD standards, including these:
Layering guidelines
Folder organization (and access permissions if applicable)
Symbology libraries
Drawing templates
Annotation
Establish hard deadlines for both in-house and outside team members for completion and exchange
of CAD and specifcation data prior to a milestone issue.
Especially for larger projects and frms, provide each discipline or consultant with a staging area to
which they may copy or upload their sheet fles (CAD drawings that will be plotted).
Establish the fle format in which drawings will be submitted, reproduced, and archived (e.g.,
AutoCAD .DWG, .PLT or Adobe .PDF).
No matter what the frm size, delivery mode, or project scale, it is important to communicate, communicate,
communicate! Make sure every member of the project team is aware of his or her responsibilities with
respect to quality of work and milestone deliverables.
A key aspect of production planning is recognizing potential bottlenecks that may slow down a project
and endanger the schedule. Coordination points, milestone dates when all drawings and specifcations
are brought to a common level of development for checking, are one common bottleneck. Another is the
dates marked for plotting CAD drawings and preparing, translating, and transferring CAD fles to outside
consultants.
Like all other stages of project development, construction drawings and specifcations are typically issued
for checking and coordination at major contract milestone intervals (e.g., 30 percent completion, 60 percent
completion, 90 percent completion, 100 percent completion, issued for permit, issued for bid, issued for
construction), as well as when any construction document changes are issued as addenda or bulletins.
Archiving procedures are important but frequently overlooked. Archiving is distinguished from data backup
in that it refers to the production of a complete, unalterable copy (hard or electronic and frequently both)
of the project data at a defned point in time. Deciding what and when to archive is a project management
responsibility. The archived documents provide a history of the work in a series of snapshots of the delivery
process. These can be useful to both the architect and the owner, and they acquire a certain legal standing
as the offcial record of progress in a project.
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your Activities.
An accurate electronic archive of milestone issues ensures that everyone
is literally on the same page. If a milestone issue is to be plotted for
distribution (in hard-copy or electronic format such as Adobe PDF), the
plotted drawings should be generated from the archive, not from the live
CAD environment. The archive should never be altered and should serve
as a record of the project milestone.
Drawing Review and Checking
Drawing review, coordination, and verifcationwithin and across
the various disciplines included in a project teamare of the utmost
importance during the construction documents phase of project
delivery. The complexity of projects, the number of contributors to the
development and documentation process, the disparate locations of
project consultants, as well as the signifcant time constraints under
which construction documents are often produced, are among the many
elements that combine to make review and checking a crucial aspect of the
documentation process. Thorough review by an individual who is intimately
acquainted with all aspects of the project is absolutely essential to the
production of a good set of construction documents.
As are the mechanisms developed by frms to coordinate drawings and
specifcations, checklists are both generally available and individually
generated by professional offces. In addition to supporting the necessary
procedures of meticulous review, checklists inform the process of
generating and developing project drawings. The following steps may be
included among the typical practices developed by professional offces to
ensure the quality of the documents they produce:
Full review takes place at regular intervals throughout the
construction documents phase, typically at project milestones.
Documents are checked by senior professionals not directly
connected with the project.
All important dimensions are verifed by a single individual.
Specifcations writers review the drawings, and those responsible
for drawings review the specifcations.
Coordination efforts include interdisciplinary review by project
consultants.
The owner contributes a substantive review of the work before
construction documents are issued.
Review and approval of the construction documents by the project owner is
a key part of this phase of project delivery, as it is the owner who offcially
issues construction documents and signs all construction contracts. AIA
forms of agreement mandate that the owner approve the construction
documents.
The architect is the hub around which all project activity rotates. Through
careful organization and open communication with all project participants,
the business of checking drawings and specifcations for completeness,
accuracy, and coordination among disciplines can be streamlined: Make
sure all team members understand their contractual responsibilities with
respect to milestone deliverables. Establish regular meetings for drawing
reviews prior to milestone issues. Getting everyone in one room for a face-
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to-face meeting, when possible, can save hours of back and- forth time among project participants. Keep
logs of all review comments and copies of drawing markups. Distribute these to all project participants after
meeting(s), especially if they are spread out geographically and using a project-specifc Web site or extranet
to exchange information.
The Future
The traditions and conventions of document production are revisited with each new development in the
tools we use to generate design and construction drawings. Computer programs and methodologies such
as building information modeling and computer aided three-dimensional interactive application (or CATIA)
are quickly changing the face of construction documents production. By extension, they are changing the
construction process itself.
Building Information Modeling (BIM)
Already in use is what has come to be known in the CAD software industry as building information modeling,
or BIM. BIM, which is a signifcant departure from traditional two- and three dimensional CAD drawings,
holds great promise for the architecture/engineering/construction and facility management communities. BIM
CAD applications based on parametric modeling, such as Autodesk Revit, among others, are already on the
market and available to architects and engineers. The functionality of these programs becomes more robust
with each release.
Building information modeling is not a technology but an approach to organizing and connecting data. It is
based on a technique known as parametric modeling, which allows CAD software to store and manipulate
detailed parameters of building elements, rather than simple graphic representations of them. This approach
is also sometimes called object-oriented modeling because the project information is created and defned
as a collection of objects rather than a series of lines and planes. The greatest advantages of using BIM
include these:
Ease of collaboration: All project participants collaborate on a single building information model,
which is essentially a central database that can be translated into a graphic or tabular representation
of the project.
Flexibility: Project participants may view the model in ways applicable to their responsibilities. An
architect may want to view the model as a drawing, while an estimator might want to view it as a bill
of materials in tabular format.
Better coordination: Portions of the model can be checked in and checked out by the responsible
project participants to avoid duplication of effort and creation of conficting information. Since
all project participants collaborate on a single building information model, coordination among
disciplines is easier. The entire team has access to the latest information available in the model
across all disciplines.
Increased speed of delivery: As portions of the model are updated, linked elements are updated
automatically; maintaining consistency among references and reducing the time it takes to update
them.
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Greater productivity: Since the building information model is a database, information can be
extracted from it for use in other computer applications, such as scheduling and estimating software.
All of these advantages can increase the overall effciency of the documents production process and the
comprehensiveness and quality of the work produced. BIM has the potential to revolutionize the design,
construction, and facility management industries.
CATIA
Like BIM, computer aided three-dimensional interactive application, or CATIA, is a modeling tool. Originating
in the aeronautics industry, it is a methodology that scans three-dimensional physical models and builds
numerically controlled virtual models using descriptive geometry. The methodology for generating the virtual
model translates directly to manufacturing: Through computer-controlled milling tools, complex forms can
be fabricated with an astonishing degree of accuracy and at relatively low cost directly from the model
generated by the architect. The methodology eliminates intermediary steps between designer and builder.
The primacy of the relationship between designer and manufacturer also serves to control the costs of
manufacturing; without the middle man, costs can be kept down.
CATIA is used in conjunction with conventional CAD drawings to render complex designs for which traditional
two-dimensional drawings are insuffciently agile and descriptive. It can be used to achieve repetition of
elaborate forms in a cost effective way, making daring proposals feasible. To the extent thatto echo
Marshall McLuhanthe medium is, in fact, [a large part of] the message, then tools such as these allow for
creativity, freedom, and expansiveness on the part of the architect.
Written by Marilys R. Nepomechie, AIA, NCARB
Marilys Nepomechie is associate professor of architecture at the Florida International University School of Architecture and an
architect in private practice in Coconut Grove, Florida.
Written by Michael J. Poynton, AIA
Michael Poynton, has been applying information technology to architecture, engineering, and construction management since the
mid-1990s. He is an architect and technology consultant specializing in Web-based project management system implementation for
Kristine Fallon Associates, Inc., in Chicago, Illinois
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Mock-Ups
Producing a mock-up set of the drawings that comprise the construction documents phase (i.e., cartooning)
is an excellent way to understand the full scope of a project and the level of effort required for its
documentation. A mock-up set allows the project manager to think through the full CD process at the outset
and anticipate what is needed to produce all the documents. Mock-up drawings can inform the creation and
organization of a construction drawing set.
The mock-up set should include all the drawings required for a comprehensive description of the design
intent of a project, including drawings for all the relevant disciplines and specializations. The set should also
indicate the appropriate scale for each drawing.
Activity - Core
Produce a mock-up set of the drawings that will be required to describe the project fully. For the mock-up
sets use 8 x 11 or 11 x 17 sheets in landscape orientation.
Be sure to complete the following steps:
Make a list of the drawings, details, and schedules that will be necessary. Refer to similar projects
in the offce archive, being careful to note the ways in which your project differs from them.
Determine the most appropriate scale for executing and understanding each drawing, and plan
how the drawings should be laid out on each sheet and within the set.
Speak to the project consultants to ascertain the number of sheets they will need to execute their
work, and the content and scale of each of their sheets.
Devise a preliminary table of contents (TOC) for the set of construction drawings.
Write a narrative that describes how you would explain to a client the importance of construction
documents. Be sure to include in the narrative why it is necessary to have the type and number of
drawings included in the mock up for their projects.
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Window Installation
In this scenario, a contractor calls after noticing a large pool of water on the foor after a recent storm
passes. He tells you that the pool is located near a window that he just installed. You immediately suspect
something was left out or done incorrectly during the window installation the day before.
Using a set of completed construction drawings in your offce, review the window details. Create a set of
drawings detailing the correct construction system to ensure that the windows will be waterproof.
Write a narrative (500 words minimum) explaining the step by step construction process. Meet with your
supervisor or mentor to review your drawings and explain why window details are an important part of the
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Comparison of Documents
Understanding the components that make up a set of construction documents is important for the entire
design team and the client. The potential for and severity of professional liability for errors and omissions
are often tied to when they are discovered. An error discovered during the bidding phase can be corrected
with an addendum to the construction documents. As the owner has not yet entered into a contractual
relationship with the contractor, corrections to errors at this point typically involve limited costs to the project
or its consultants. Depending on the amount of documentation affected by the error, the corrected drawing
set may be reissued in part or in full. (Less commonly, the addendum may result in an extension of the
bidding period or a redefnition of the scope of the project.) Any revisions to the documents after they are
sent out for bid could potentially mean more cost to the owner and/or design team.
Activity - Core
Using a set of design development documents from a built project, create a cartoon set of construction
documents, including drawings you feel are essential to receive from the M/E/P consultants. Be thorough
when creating the cartoon set.
Compare your cartoon set to the actual construction document set that was issued, what did you miss?
What did you include that was not in the original set of drawings? How many drawings did you include
compared to the original construction document set? Prepare a narrative that explains why you included
more construction drawings or fewer construction drawings.
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Compliance with ADA
Compliance with the Americans with Disabilities Act (ADA) is a challenge facing architects in every aspect
of architecture practice. This act, which is a civil rights law rather than a code, asserts guidelines for
assuring accessibility to building facilities for physically disabled citizens. Architects who fail to comply with
accessibility guidelines risk their reputations and their pocketbooks. If a built work is found not to be in
compliance and remedial construction is required, the owner may incur fnes. Worse yet, owners may be
found liable for monetary damages to disabled citizens. Either situation could give rise to potential claims
against the architect. Errors and omissions involved with ADA compliance can be serious for architects
because the errors tend to be discovered only after construction is complete, a time when costs for
remediation are more likely to be assessed as the architects responsibility.
In this scenario, you are part of a project team designing a large municipal building that contains city
offces, a library, and a small museum. After construction is completed and the project is occupied, a local
organization of disabled persons visits the building to ascertain accessibility and fnds several major areas in
which the building is not in compliance. The group has fled a complaint with the city, and the city is looking
to the designers for a response to the complaint, including proposed solutions.
ADA Accessibility Guidelines for Buildings and Facilities (ADAAG), Department of Justice.

Considering the scenario above, create an ADA compliance checklist that could be used to help ensure
that these important design requirements would not be overlooked during design:
Create an outline of the major issues that affect architectural drawings from the ADAAG section
entitled Accessible Elements and Spaces: Scope and Technical Requirements.
Prepare a checklist incorporating the major requirements you have identifed, differentiating
between items that affect drawings and those that affect specifcations. ADAAG contains many
drawings and sketches that explain layout and dimension requirements. Where appropriate, place
reference copies of these in your checklist.
Using an existing set of construction drawings, review the documents for the items listed on your
checklist. Prepare a memo to your supervisors outlining your fndings and attach sketches if
necessary to communicate any needed design solutions.
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Feedback on the Usefulness, or Quality, of Drawings from
Contractors/Subcontractors Who Build Architects Design
The primary users of an architects construction drawings are the contractors and subcontractors who build
the architects design. Talking to people in the feldjob superintendents and engineerscan help architects
understand the usefulness, or quality, of their drawings.
Choose a project recently completed by your frm or your mentors frm. To help you remain objective,
choose a project you didnt work on. Make an appointment with the job superintendent or one of the
engineers who worked for the contractor to meet with you and any other interested interns. This will
be a more rewarding experience if several interns join in the exercise and meet with the contractors
representative as a group.
Activity - Core
Before the interview, talk to the project architect or construction administrator who led the project for your
offce about his or her perception of how the project went during the construction phase. Make notes
about any problems that were experienced, including any thoughts the project leader(s) may have about
the source of the problems. Discuss the attitude of the owner and contractor toward the architect during
the project.
Before the meeting, you may want to provide the contractor with a copy of this assignment and of the
narrative for this chapter. At the interview, preface your discussions with several important thoughts:
You are an intern(s) who arranged the interview to learn about the profession, and you are not an
authorized spokesman for your frm.
You hope to learn from the builders information that may help you become a better architect.
Encourage the builders to be candid in communicating their thoughts about the architectural
documents so that you can learn from their opinions.
The purpose of these introductory comments, which you may wish to document in writing, is that errors in
architecture practice have become the object of confict and litigation, and many people are reluctant to
openly discuss their thoughts about problems. Your supervisor can help moderate the meeting.
Talk to the contractors about their thoughts regarding the drawings and other aspects of architectural
service. Ask questions, and take notes. Do not be defensive. Enjoy the opportunity to learn what others
think of the work provided by architects, even if the views seem harsh. Think about how you might use
what you learn to be an effective architect. Take advantage of this exercise to frankly discuss errors with
the builders.
Write a narrative on the role coordination and document checking played in this project. Be sure to answer:
Were there any communication problems from what you observed? How were they avoided or
what caused them?
What role did checklists play?
How would you have improved the coordination of this project between all parties on this project?
Review the checklists for this project and make changes to them where you think they are needed.
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Checking & Coordinating Documents
Checking and coordinating documents includes many fundamentals that are not project specifc and can be
applied repeatedly. This portion of the review process often comes last minute and quite often has items that
are quickly overlooked. For instance, did you include a north arrow on every plan that you have drawn on
the last set of construction documents you worked on? Developing tools to help with this process such as
checklists often cut down on the time it takes to review a construction drawing set.
Using an existing set of construction documents that were recently completed, review and coordinate the
document set to ensure consistency and coordination throughout. Redline all changes that need to be
made and note any drawings that may need to be added. Check and coordinate the drawings from the
consultants, as well.
Create a checklist of items to look for when reviewing each type of drawing/sheet, plan, section, elevation,
and detail. Also, create a checklist to use when coordinating consultants drawings. Review your redlines
with your supervisor or mentor and see if they can add any items to your checklist.
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Construction Document Coordination
Coordination is essential to produce a comprehensive and well-integrated set of construction drawings. The
process of coordination also presents a unique opportunity to understand the scope of a project, including
the contributions of various members of the project team and the multiple, complex interrelationships among
project components. Visualizing and understanding these relationships is one of the most challenging and
rewarding aspects of the CD phase.
Coordination must take place in a variety of contexts. For example, the work of project participants must
be coordinated both within each discipline and among the disciplines. It is also important to coordinate
construction drawings with the specifcations.
The construction industry has generated drawing coordination checklists to help professionals assemble
construction drawings. Many offces have their own checklists as well. Companies that specialize in
professional liability insurance are strong advocates for the use of such checklists because they can help
architects avoid errors and omissions.
Activity - Core
Just before the 90 percent milestone review, coordinate a set of construction documents for your offce
or your frms offce if possible (working from hard copy and using CAD). To help you, use a checklist
developed by your offce for reviewing project documents. Be sure to include the work of all consulting
disciplines.
Write a summary of your fndings, noting items you missed.
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LEED Checklist
In this scenario, one of your frms clients is interested in developing a LEED-certifed project, incorporating
sustainable design concepts. While the client discusses the matter with some degree of certainty, client
representatives indicate they do not really know what is involved in the LEED certifcation process, nor
are they sure exactly how sustainable design will affect the design, construction, or cost of their project.
The client asks your frm to develop a checklist of what will be entailed if they decide to proceed with
development of a green building.
Research what sustainability or green building means and prepare a short summary assessing what is
involved in achieving the different levels of LEED certifcation and how design and construction may be
affected. You are also asked to develop the checklist that has been requested by the client.
Once you have created a checklist use it to go over a set of construction drawings from a LEED certifed
building in your area. Create a report of how your checklist worked with the construction drawings. Where
is your checklist different from the building? What changes would you make to the building drawings? To
the checklist?
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Attending an In-Ofce Product Presentation
One of the easiest ways to learn about new architectural building products and systems is to contact a
manufacturers product representative and schedule an in-offce presentation. Invite other architects,
interior designers, and engineers in your offce to attend. You may want to fnd out about masonry or paving
products; pre-cast stone and concrete; curtainwall, storefront, or commercial/residential glazing systems;
plastic laminate or ceramic tile; membrane waterproofng and roofng systems; door hardware; textiles, the
list goes on.
Once the presentation concludes, sit down with the product representative and review your set of
construction drawings that will include their product.
As you review, redline all drawings that need to be updated to refect the product that was presented.
Are there any new drawings that need to be added to your set of construction documents to make them
complete? Review all redlines and additional drawings with your supervisor prior to making changes to the
construction set.
version as a PDF.
Activity - Elective
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Developing a LEED-Certied Project, Incorporating Sustainable Design Concepts
Today there are many clients interested in sustainable design, but they may not know what that means for
their building. Helping the client understand how sustainability is integrated into the building design adds
value to their facilityeven if the client does not pursue LEED certifcation.
Select a non-LEED-certifed project completed by your frm or a mentors frm. Review the projects design
development (DD) set, construction documents (CDs), and specifcations book, if available. Assess the
designs potential for LEED certifcation and select the appropriate USGBC LEED rating system (i.e.,
LEED for Homes, LEED for New Construction & Major Renovations) under which the project could qualify.
In a report (500 word minimum) identify at least eight key design opportunities to revise the design and
make it eligible for LEED certifcation. Identify relevant LEED credits the project could obtain for the rating
system selected and provide sketches to support your proposed rating system and certifcation level.
version as a PDF.
Activity - Elective
282
2F
Changes Required In Order to Meet Code
In this scenario, a project is almost ready to be released for bid. The work is slightly behind schedule, but
everyone is reasonably certain that fnal deadlines and commitments to the owner will be met. You have
been asked to help give the construction drawings a fnal check. In reviewing the drawings, you note a
series of problems that were missed in previous reviews. The emergency egress path must have a certain
fre rating to meet the requirements of the code; however, the foor plan you are examining indicates regular
drywall rather than Type X. Moreover, the composite thickness of the wall is insuffcient to meet the code
requirement: The code requires two layers of wallboard, but the drawings indicate only one. In addition, the
walls in question do not reach to the underside of the foor structure above them. Changessome quite time
consuming and affecting multiple drawings and detailsmust be made to meet the code requirements. You
give your project manager the bad news.
In preparation for your discussion with the project manager and client, respond to the following questions
in a memo addressed to the client:
How do you weigh the necessity to meet project deadlines against the need to revise multiple
drawings to meet the code requirements?
Can you suggest an alternative approach to accomplish the necessary changes without affecting
the project schedule or opening the frm to liability?
Explain the purpose and need for the construction documents to refect this change. Why is it
important that they do?
version as a PDF.
Activity - Elective
283
2F
Creation of CAD Standard
Adherence by all project participants to a common computer-aided design (CAD) standard is critical to the
effcient and transparent exchange of information among team members, especially on projects that involve
multiple consultants. Standards ensure high graphic quality, less review and rework, and consistency among
drawings in the set.
The increasingly common production of schematics, design development, and construction drawings in
the CAD environment has resulted in a greater carryover of drawing information from design development
into the CD phase. By the time a project reaches CDs, it is likely that folder organization and fle naming
conventions have already been established and are being used by the team. However, this is a good time to
take inventory and make sure your project complies with the chosen CAD standard.
In this scenario, you just started working for a new offce, and note that they do not follow a CAD standard.
You decide to raise the issue with the project manager or principal and decide to volunteer your services to
create one.
Create a recommendation for the following items in your proposal for offce wide CAD standards:
Directory structure for organizing drawing fles
Drawing set organization
Sheet sizes, layouts, and title block information
Data organization such as cross-references, layers, levels, and blocks
Drawing templates
Line weights
Layer/level naming conventions
Prepare a report that explains construction drawings, the efforts needed to coordinate drawings among
project team members and how your proposed system will make this easier.
version as a PDF.
Activity - Elective
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Prepare a Consultant Coordination Plan
Managing coordination of the architects work with the work of consultants is one of the most important, yet
most diffcult tasks faced by the project manager. It is not the responsibility of the architect to coordinate
the internal work of the consultants. That is the consultants professional responsibility. The consultants
are hired because of their ability to provide specialized services to augment the services provided by the
architect when designing a building.
It is, however, the responsibility of the architect to coordinate the architects designs with the designs
provided by the consultants and engineers. This means that the architect is to determine that the
consultants designs ft with, and are compatible with, the architects designs.
Poor coordination between the consultants and the architect is the source of great consternation and many
claims during the construction phase when it is discovered that not all of the work will ft together. Poor
coordination can also occur when the contractor fails to coordinate the sequence which the subcontractors
will follow when putting the work in place.
The Architects Handbook of Professional Practice, 14th ed. Chapters 12.3 and 14.1
Working with your supervisor, select a project that is in the construction documents phase that will be
issued for either bidding or construction in one to two months. Meet with the actual project manager for
the project and discuss the managers current plan for coordinating with the consultants. Review the latest
progress prints for the construction documents.
Independent of the project manager; prepare a plan for coordinating with the consultants from the present
time through the planned date of issuance for bidding or construction. As you prepare your coordination
plan answer the following questions:
Is it really necessary for a project to be in the fnal stages of coordinating the designs when it will
only be issued for bidding and not for construction?
Who are the primary consultants and what design disciplines do they represent?
What meetings might be necessary to facilitate the coordination process?
What are effective ways to compare the architects construction documents with the consultants
construction documents?
Should architects review the consultants specifcations or may the architect rely on the consultant
to do so?
Is software available to augment the architects efforts?
How much time should be allowed for consultant coordination?
What should the project manager be concerned with coordination when the PM does not usually
actually prepare the drawings?
Prepare a written report on your views of means and methods of effective coordination with the
consultants.
version as a PDF.
Activity - Elective
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Preparation of Traditional Redlined Check Set
Obtain a set of working drawings for a small project from an architecture frm, preferably the offce where
you work or your mentors frm. Optimally, the set of drawings should comprise at least eight to ten
architectural sheets, plus drawings from related disciplines such as mechanical, electrical, plumbing, and
civil engineering and landscape design. As an alternative, if you are employed by a larger frm that does
not work on smaller projects, ask your supervisor or mentor to help you select one or two foors or portions
of foors of a larger project, plus related ceiling and interior sheets, and organize a package of 8 to 10
architectural sheets plus the consultants sheets.
Work with your supervisor or mentor to select a construction document phase checklist. Options include
checklists used by your frm and those available from web sites and other sources mentioned as resources
in this chapter.
Prepare a traditional redlined check set. Work your way through the checklist youve selected, assessing
and editing each item for applicability to the project you selected. Then, work your way through the
drawings and specifcations, reviewing the drawings for errors and coordination issues and redlining them
to address each item in the checklist.
version as a PDF.
Activity - Elective
286
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Preparation of Green-Light Check Set
Obtain a set of working drawings for a small project from an architecture frm, preferably the offce where
you work. Optimally, the set of drawings should comprise at least eight to ten architectural sheets, plus
drawings from related disciplines such as mechanical, electrical, plumbing, and civil engineering and
landscape design. As an alternative, if you are employed by a larger frm that does not work on smaller
projects, ask your supervisor or mentor to help you select one or two foors or portions of foors of a larger
project, plus related ceiling and interior sheets, and organize a package of eight to ten architectural sheets
plus the consultants sheets.
Work with your supervisor or mentor to select a construction document phase checklist. Options include
checklists used by your frm or your mentors frm and those available from Web sites and other sources
mentioned as resources in this chapter.
Prepare a green-light check set. Apply the green light technique to the foor plan and wall section sheets
(or at least two other sheets selected in consultation with your supervisor).
version as a PDF.
Activity - Elective
287
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Development of a Tool for Preventive Document Checking and Coordination
Develop a checklist to be used in preventive document checking and coordination for a small project.
Develop a work zone diagram of clearances required for lights (7), sprinklers (4), ductwork (14),
and other items that must be located above the ceiling in the plenum in a small medical offce building.
The diagram should be confgured as a conceptual section through the plenum with structural system
members drawn to scale. This diagram will be used to communicate to your consultants your expectations
for the location of their designs within the plenum. Consider these issues:
What building elements other than lights, sprinklers, and ductwork might you expect to fnd above
the ceiling?
Is it appropriate to plan for future building elements above the ceiling in the absence of a program
requiring such elements?
What is the relationship between elements in the plenum, the foor-to-foor height, and the fnished
interior ceiling height?
What logical sequence of construction of the various elements will the design disciplines need to
coordinate? (Your supervisor might introduce you to a contractor or consultants so you can ask
their advice). Should your drawing refect your assumptions regarding the sequence of construction
(i.e., should ductwork be above or below the sprinkler piping)?
Make a list of the potential consequences of failing to properly establish a work zone regimen for the
plenum. Be sure to answer the following questions:
Where will building elements be located if a design professional fails to leave adequate room
above the ceiling?
Who should pay for the costs of moving building elements if it is determined they will not ft in their
intended place above the ceiling?
Write a memorandum to transmit the proposed work zone diagram to hypothetical project consultants.
Explain to them why you believe the diagram is useful. Tell them of your logic in arranging the zones for
the different disciplines the way you have. Solicit their comments and advice concerning the arrangement.
version as a PDF.
Activity - Elective
288
2F
Critical Review of Checking and Coordination Procedures
Critically review the checking and coordination procedures used in your offce or your mentors offce.
Consider several questions:
What are the basic elements of an effective document checking system?
How can you tell if a document checking system is effective?
How does your frms document checking system measure up?
What recommendations can you make for improving your frms checking system?
Many offces may not have formal document checking and coordination procedures. These tasks may
simply be practiced by the seat-of-the-pants method, as it has been learned by many practicing architects.
Other frms may have well-defned procedure descriptions, methodology narratives, and checklists.
If your offce or your mentors offce has a plan-checking process such as a peer review system, or a quality
management group, meet with a plan checker and discuss how they check a set of drawings.
Using what you have learned, and any changes you made use your plan checking process on a copy of
a document your offce is working on currently. Write a summary off your fndings showing what changes
need to be made to the document? Compare your checklist to another checklist used on a previous
project, how effective was your checklist?
version as a PDF.
Activity - Elective
289
2F
Preparation of a Check Set Error Analysis
Architects commonly create check sets, but preparing an error analysis for the mistakes found in a check
set is less frequently done. This exercise involves both recording the errors and forming an opinion of what
caused them and how they could have been prevented.
Using the check set you prepared in the earlier exercises, do the following:
Make a list of each mistake or coordination problem you discovered. (You should have not fewer
than 40 or 50 items in your list. (If you have fewer, either you have checked an exceptional set
of drawings, or you should go back through your checklist again.) A slang term for an error in
architectural drawings is a bust.
Describe each bust, and write a comment about what kind of problem the error might have
caused during construction. Write a comment about what might have been done to prevent the
error from creeping into the drawings in the frst place.
Create a written report to be presented to the architects and engineers who prepared the drawings.
(What you are creating is essentially a peer review).
version as a PDF.
Activity - Elective
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2G
Material Selection
& Specication
activities - core*
introduction
313
314
315
316
317
318
319
320
308
309
310
311
312
308
292
Develop One Section of an Outline Specication
Product Evaluation and Selection
Learning Through Comparison
Observe a Building Element
Applying LEED for Homes to Materials Research
narrative 293
Specications Table of Contents Comparison
Security Versus Life Safety
Substitutions That Dont Work
Drawings Versus Specs
Using a New or Untried Product
Value Analysis by the Contractor
Translate Project Requirements into Product
Options
Dysfunctional Drainage System
exhibits
----
Material Selection & Specication
292
resources
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Internships.aspx.
2008.
Chapter 12.8 -
Environmentally
Preferable Product
Selection

2001.
Chapter 18.6 -
Construction Document:
Specifcations
2009.
Chapter 7.2 -
Environmentally
Preferable Product
Selection
Introduction
of materials selection and specifcation. The following information is taken
from the NCARB IDP Guidelines:
Material Selection And Specifcation
Minimum Material Selection and Specifcation Experience: 160 Hours
Defnition: The analysis and selection of building materials and systems for
a project. The materials specifed for a particular project communicate the
requirements and quality expected during construction. Specifcations are
included in a project manual that is used during bidding and construction.
Tasks
Prepare specifcations based on performance criteria
Research, select, and specify materials
Building design
Building envelope
Constructability
information)
Design principles
Indoor air quality
Life safety
Problem solving
Project scheduling (e.g., construction document setup,
storyboarding, staffng projections)
Site design
Specifcations
Sustainable design
notes
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Narrative
As the art and science of building developed and the responsibility for construction shifted from the designer
to a separate contractor, the need for explanatory information in the form of written notes arose. Then,
as the complexity of the construction process grew, so did the volume of written notes needed to fully
communicate the design intent to the constructor. Ultimately, the notes were removed from the drawings,
organized, and placed in a document of their own. Thus, specifcations evolved as a way to supplement
drawing notations, eliminating the need for large amounts of text on the drawings, which tended to clutter
what should be a clear image of the intended construction.
The following discussion examines the relationship between drawings, specifcations, and the other
documents that, combined with the specifcations, make up the project manual. It also considers the
importance of evaluating materials, products, and building systems and assemblies before incorporating
them in a specifcation.
A Complementary Relationship
One of the primary concepts in the organization of construction information is that drawings and
specifcations support one another with neither having priority over the other. This concept is clearly defned
in AIA Document A201 General Conditions of the Contract for Construction, as quoted here:
1.1.5 The Drawings
The drawings are the graphic and pictorial portions of the Contract Documents showing the design,
location and dimensions of the Work, generally including plans, elevations, sections, details,
schedules and diagrams.
1.1.6 The Specifcations
The Specifcations are that portion of the Contract Documents consisting of the written requirements
for materials, equipment, systems, standards and workmanship for the Work, and performance of
related services.
1.1.7 The Project Manual
The Project Manual is a volume assembled for the Work which may include the bidding
requirements, sample forms, Conditions of the Contract and Specifcations.
The next statement in A201, 1.2 Correlation and Intent of the Contract Documents, addresses the
complementary relationship between drawings and specifcations:
1.2.1 The intent of the Contract Documents is to include all items necessary for the proper
execution and completion of the Work by the Contractor. The Contract Documents are
complementary, and what is required by one shall be as binding as if required by all; performance by
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resources
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AIA Contract Documents
are considered the industry
standard. Learn more at
www.aia.org/contractdocs.
The Construction Specifcations
Manual: CSI Manual of Practice.
New York: McGraw-Hill, 2005.
the Contractor shall be required only to the extent consistent with
the Contract Documents and reasonably inferable from them as
being necessary to produce the indicated results.
Because the documents are complementary, it is important for specifc
types of information to be located in the correct place. As stated in the
Construction Specifcations Institutes The Project Resource Manual
CSI Manual of Practice, the primary rule of specifcation writing is that
each requirement should be stated only one time and in the right place.
Adherence to this concept simplifes retrieval of information and reduces
the possibility of discrepancies, conficts, and errors and omissions.
To paraphrase The Project Resource ManualCSI Manual of Practice
(PRM), Both the drawings and specifcations are needed to fully describe
a construction project. The drawings show size, form, quantity, relationship,
generic type, and graphic representation of construction materials.
Specifcations defne the qualitative requirements for products, materials,
and workmanship upon which the construction contract is based. The
specifcations also describe administrative procedures that relate to both
drawings and specifcations. Many resources help defne what information
should be located in the specifcations or drawings. Among these are the
United States National CAD Standard, published by the National Institute
of Building Sciences (NIBS), and The Project Resource ManualCSI
Manual of Practice.
Project Manual Concept
The project manual, commonly referred to as specifcations, is actually
a bundling of procurement requirements, contracting requirements, and
specifcations into a unifed document. Procurement and contracting
requirements are not specifcations and, in most cases, are prepared by
or in coordination with the owner and the owners legal counsel, not the
architect. As stated in The Project Resource ManualCSI Manual of
Practice, the project manual concept provides an organizational format
and standard location for all the various documents involved.
The organization of the project manual is based on MasterFormat
, the
familiar industry standard for organizing written construction information
published by the Construction Specifcations Institute and Construction
Specifcations Canada. In 2004, a new Division 00Procurement and
Contracting Requirements was added to cover documents other than
specifcations. It includes procurement requirements; contracting forms;
project forms; conditions of the contract; and revisions, clarifcations, and
modifcations. Division 01General Requirements contains procedural and
administrative requirements that apply to the rest of the divisions, which
contain the product specifcations. For additional information on the use
of MasterFormat
and the organization of the project manual, refer to the

MasterFormat
application guide, The Project Resource ManualCSI

Manual of Practice and The Architects Handbook of Professional Practice.
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*The Construction Specifcations Institute has since released a 2012 version of MasterFormat
.
MasterFormat
MasterFormat
, a product of the Construction Specifcations Institute and Construction Specifcations

Canada, is a master list of numbers and titles for organizing information about construction requirements,
products, and activities into a standard sequence. The 2012 master list of numbers and titles can be
downloaded from CSIs website for free via the following webpage: www.csinet.org/mfnumber
The way in which the six-digit MasterFormat
2004* numbers work is explained using the following

example:
03 20 00 Concrete Reinforcing
The three pairs of numbers represent three levels of classifcation. Because each level is represented by
two digits, up to 99 subjects can be addressed at each level. The numbers and titles in MasterFormat
are
grouped under the following general headings:
Procurement and Contracting Requirements Group (Division 00 containing documents)
Specifcations Group (Divisions 01-49 containing sections)

The Procurement and Contracting Requirements Group indexes administrative and procedural subjects
that deal with introductory material, procurement and contracting requirements. The subjects in this group
are defned by a document number and title. The Specifcations Group describes the physical aspects of
construction. Subjects in this group are defned by a section number and title. The Specifcations Group is
made up of several specialty subgroups of divisions.
MasterFormat
arranges related construction practices, or work results, into a series of level 1 titles,
called divisions. Several of these divisions lack content and titles and are reserved for future expansion.
Central to the use of MasterFormat
is the notion that all types of construction should be addressed

equally. Thus, the more basic, or common, divisions are generally placed near the beginning of the
document. These contain work results likely to be specifed in all types of construction. For example, most
projects have contractual requirements, common requirements, and some type of structural materials.
Subsequent divisions contain sections applicable only to specifc types of projects (building construction,
heavy civil work, process plant construction, etc.) come later in the specifcations document. In addition,
there is a space in Division 01General Requirements for specifying performance requirements for all or
part of a project. A list of MasterFormat
division numbers and names is provided with this sidebar.

For more information on MasterFormat
and its use in the construction industry, visit

www.csinet.org/MasterFormat.
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Heading 2
Heading 3
Please note: In 2012, the Construction Specifcations Institute released MasterFormat
2012. Changes
to the above Division Numbers and Titles consists of an edit to the name of Division 44, now Pollution
and Waste Control Equipment, and the addition of Division 46 Water and Wastewater Equipment.
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Relationship of Construction Documents
Excerpted with permission from The Project Resource ManualCSI Manual of Practice, Module 5
Construction Documents, Figure 5.1A.
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Purpose Of Specications
As specifcations are developed, it is important to remember their purpose. The goal of construction
documents is to communicate the needs of the owner, as represented by the design, in a form easily
understood by those responsible for construction. In an ideal world, the development of specifcations would
be linked to the development of the drawings, and both would refect a consistent level of detail. All too
often, however, project drawings are nearly complete before they are turned over to the person or persons
responsible for developing specifcations. Preferably, drawings and specifcations would be developed in
tandem, each to the same level of detail at the same time, throughout the project.
The information provided in specifcations may be used in many ways during project delivery, and the form
or structure in which information is presented should refect its purpose. For example, at the end of the
schematic design (SD) phase, a client may use the SD documents to explain the project to its staff or for
fund-raising. In this case, a narrative description of the building systems may be easier to understand and
still contain enough detail to document the design decisions made to that point. Such a narrative, called
a preliminary project description, is organized around a system of building elements called UniFormat
(a publication of CSI and CSC). This narrative does not need to be static but can grow and refect an
increasing level of detail until a natural transition to preliminary specifcation format is made.
During the design development (DD) phase, project documents may be used to provide a more accurate
estimate of probable construction cost as well as a checklist for development of the fnal construction
documents. At this time, more detailed information is required about individual building materials, products,
systems, and assemblies that will be incorporated in the project. For this purpose, an outline specifcation
may be most appropriate. Based on MasterFormat
, an outline specifcation should include the sections that

will be needed for the fnal project manual. Outline specifcations contain information that typically would be
included in Part 2Products of a typical three-part fnal specifcation section. See pages 300 and 301 for
more information on SectionFormat, another publication of CSI and CSC.
Final construction documents are used for bidding or negotiating, and for construction of the project. The
specifcations included at this stage of project delivery contain detailed requirements for the materials,
products, equipment, and systems to be incorporated into the project.
The three parts of a fnal specifcations package begin with Part 1General, which includes administrative,
procedural, and quality assurance requirements. Part 2Products includes specifc product attributes, while
Part 3Execution includes special installation requirements. Refer to The Project Resource ManualCSI
Manual of Practice or resources in the bibliography for additional information about these three formats.
Material And Product Research
Material and product research begins with analysis of the project program and a statement of performance
requirements and desired results in the selection of specifc products.
This process involves simple problem solving, which begins with defning the problem. Each product,
system, and assembly incorporated into a project is intended to satisfy certain criteria, and each product
has a set of attributes that should match these criteria. The frst step is to establish the desired criteria for a
specifc product or system.
Next, the criteria are ranked by priority. Product selection would be diffcult and client expectations might not
be met if products were evaluated with all criteria considered to be equivalent in importance. What is most
important about a particular product? Is it technical performance, aesthetics, cost, environmental impact, or
something else? It is important for all members of a project team to agree on the priority ranking so there is
no misunderstanding about why a particular product is selected.
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UniFormat
According to The Project Resource ManualCSI Manual of Practice, UniFormat, a product of the
Construction Specifcations Institute and Construction Specifcations Canada, is a uniform classifcation
system for organizing preliminary construction information into a standard order or sequence on the basis
of elements or systems. Like MasterFormat
, UniFormat is organized in levels, each with a different level

of detail. This format can be used throughout project delivery to document the decisions made at each
phase. It can be used to document selected construction materials in narrative form, identify performance
of a specifc building element, and organize preliminary cost estimates.
The frst level of UniFormat organizes information into the following categories, which are identifed with
letter designations:
ASubstructure
BShell
CInteriors
DServices
EEquipment and Furnishings
FSpecial Construction and Demolition
GBuilding Sitework
ZGeneral
At level 2, UniFormat classifes 25 basic building elements and systems. This level uses an alphanumeric
designation as an identifer. For example, category B, Shell, includes the following building elements:
B10, Superstructure
B20, Exterior Enclosure
B30, Roofng
UniFormat level 3 is designated by adding two more digits to the number. At this level, each building
element is expressed in further detail by its specifc type. For example, B20, Exterior Enclosure, includes
the following:
B2010, Exterior Walls
B2020, Exterior Windows
B2030, Exterior Doors
UniFormat can be used to organize preliminary project descriptions, preliminary cost estimates, and
drawing detail fling.
notes
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SectionFormat
SectionFormat, a product of the Construction Specifcations Institute and Construction Specifcations
Canada provides a structure for organizing specifcations information into three parts: General,
Products, and Execution. Each part is organized in a hierarchical fashion into articles and paragraphs.
SectionFormat includes suggested titles for article headings as well as a suggested order for presenting
information. This fexible format makes it possible to demote or promote articles and paragraphs according
to the importance and detail of the information being specifed. A partial listing of SectionFormat article
headings provided by CSI appears on the next page.
Part 1General, provides a location for administrative, procedural, and quality assurance information. It
expands upon the general information included in the general conditions of the contract and Division 01
General Requirements.
The relationship between the general section and the more detailed sections is illustrated in about the
following example, using the topic of submittals. AIA Document A201, 4.2.7, states, The Architect
will review and approve or take other appropriate action upon the Contractors submittals such as Shop
Drawings, Product Data and Samples, but only for the limited purpose of checking for conformance with
information given and the design concept expressed in the Contract Documents. The Division 01 section
on submittals states that the contractor submits one reproducible (shop drawing) and two blue line prints
and that the Architect (after review) will return one reproducible sepia after making copies required for
Architects use. Part 1General, of a wood door specifcation may include the following requirement:
Shop Drawings: Illustrate door opening criteria, elevations, sizes, types, swings, undercuts required,
special beveling, special blocking for hardware, factory machining criteria, factory fnishing criteria. As you
can see from this example, the submittal requirements are related but it is in the specifcation section that
specifc requirements for the specifed material or product are identifed.
Part 2 Products, as the title suggests, provides the location for the information describing a specifed
material or product. Part 3Execution, is where product-specifc preparation and installation requirements
are located. Refer to the partial listing of SectionFormat article and paragraph headings for examples of
the type of information included in these headings. Refer to the resources listed in this chapter for more
detailed explanations of SectionFormat and its use in the construction industry.
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Section Format Outline
302
resources
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Rosen, Harold J., and Philip M.
Bennett. Construction Materials
Evaluation and Selection: A
Systematic Approach. New York:
Wiley, 1979.
A list of possible solutions or acceptable products is assembled.
Information is gathered about these based on the established performance
criteria. The possible solutions are then tested against the criteria to
determine which product best meets the project requirements. Product or
products that best satisfy the criteria are selected for use on the project.
Establishing Criteria
To evaluate the performance of various design alternatives, project-specifc
evaluation criteria must be defned. Each material has many characteristics
or attributes that contribute to its overall performance and its applicability
to a particular project. These attributes can be grouped by category. As
an example, the list of categories below was distilled from Construction
Materials Evaluation and Selection: A Systematic Approach, by Harold J.
Rosen and Philip M. Bennett, and from a list of attributes in The Project
Resource ManualCSI Manual of Practice. Sample material attributes
are provided for each category. Consult the above publications for more
detailed lists and discussions of the material attributes that would be
included in these groups:
Structural serviceability: natural forces, strength properties
Fire safety: fre resistance, fame spread, smoke development,
toxicity, fuel load, combustibility
Habitability: thermal properties, acoustic properties, water
permeability, optical properties, hygiene, comfort, safety
Durability: resistance to wear, weathering adhesion of coatings,
dimensional stability, mechanical properties, rheological properties
Practicability: transport, storage on site, handling at installation,
feld tolerances, connections
Compatibility: jointing materials, coatings, galvanic interaction or
corrosion resistance
Maintainability: compatibility of coatings, indention and puncture
(patching), chemical or graffti attack
Environmental impact: resource consumption at production, life-
cycle impact, LEED points
Cost: installed cost, maintenance cost
Aesthetics: visual impact, customizing options, color selection
It can be helpful to use a product evaluation matrix such as the one shown
on page 303 to record the established criteria and tested performance of
products and systems, along with salient qualities or product attributes.
The general categories of performance criteria listed above can be
included in the matrix as the default and then customized to meet project
requirements. Another column can be used to identify specifc tests and
results that demonstrate a products performance. Not all product analysis
is objective, however, so a column for noting subjective comments is
useful. Finally, include a column for other comments. Using such a matrix
serves as an especially helpful tool when critical products and systems or
new products and systems are being evaluated.
Prioritizing Criteria
After the project-specifc evaluation criteria have been determined, a priority
is established for each of these criteria. This may be the most diffcult step.
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Learn more about ASTM,
formerly the American Society
for Testing and Materials
(ASTM), by visiting their
website: www.astm.org.
Questions considered in determining the importance of the criteria
include these: What is most important to the success of the project? Is
it the technical performance of the product, or is it appearance or cost?
Members of the project team may not agree. To the technical architect,
durability characteristics may be most important. To the designer,
aesthetics may be more important. The owner may feel cost is the most
important characteristic. Who ultimately makes the decision?
This task provides a great opportunity to involve the owner in what can
be viewed as an extension of programming process. For critical facility
systems, it is important for project team members to reach agreement
on the criteria and their importance to diminish the chance for unmet
expectations.
Identifying Options
Once product attributes have been identifed and prioritized, it is possible
to begin assembling product options. Information about specifc products
is collected and organized. Possible sources for such information include
Internet search engines such as Sweets.com, SmartBIM.com, and
ReedConstructionData.com. These sites, among others, allow product
searches based on product attributes. Product representatives can also
be a valuable source of information. However, if a manufacturer cannot
provide information about a specifc performance characteristic of a
product or material, the product or material should not be considered
unless the manufacturer or a testing authority will conduct the required
tests and provide the missing information.
Product literature may include criteria that are not relevant to the intended
application. It is important to focus on the qualities of a product that will
affect its intended performance in the project. The evaluation of the product
is based only on such pertinent qualities, and these characteristics are that
which is included in the project specifcations.
Evaluation And Selection Of Products And Materials
Each possible product is evaluated against the criteria established for it
and rated by how well it would satisfy project requirements. The scores
thus calculated are multiplied by a weighting factor based on the priority
given to the criteria and then added to get the total score. For example,
consider a project that requires a coating for existing elevator doors.
After discussions with the owner, you determine that although color
selection and compliance with Environmental Protection Agency (EPA)
VOC requirements are important attributes, durability has top priority.
Thus, coating durability gets a weighting factor of 10, color selection gets
an 8, and VOC content gets a 6. Possible products are evaluated, and
their compliance with the evaluation criteria established for the project is
rated based on test results. One of the products being evaluated has test
results that indicate it has a pencil hardness of 2H, the highest of all the
products being evaluated, and it is assigned an 8 for compliance with the
requirement for durability. The score of 8 times the priority factor of 10
would give the product a score of 80 for that category. After all the scores
have been totaled, the product with the highest score would be considered
the best match to the specifed performance criteria.
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In some cases, it may be helpful to change the priority ratings and go through the evaluation again to see
how this affects the possible solutions. Note that products are not rated against each other, but against the
established criteria. This is important because some products may have attributes that outperform those of
other products but are not relevant to the ultimate performance or success of the product when incorporated
in the project. A detailed explanation of this process is contained in ASTM E1765, Standard Practice for
Applying Analytical Hierarchy Process, which offers a standard method for performing multi-attribute
decision analysis in the evaluation of buildings and building systems.
Documentation
As mentioned at the beginning of this narrative, it is best to develop drawings and specifcations concurrently
and to a similar level of detail. This is also true for the product evaluation process. At schematic design,
the narrative description or preliminary project description may contain descriptions of the projects major
elements, as well as performance and other criteria identifed during the process of establishing criteria
for project materials, products, and systems. At design development, the outline specifcation may contain
generic descriptions of materials and products to be incorporated into the project as part of the process
of identifying options. Finally, at completion of construction documents, the detailed specifcations include
descriptions of specifc products and procedural, administrative, and quality assurance requirements and
special installation instructions.
In most architecture frms, the process of creating specifcations involves editing master guide specifcations.
The process usually begins with the table of contents of the master set of specifcations, from which sections
needed for the project are selected. Many frms have their own in house master specifcation system, but
a number of commercial systems are also available. With a few exceptions, the editing process for these
systems is similar. Text is selected and organized to produce the desired level of detail. The sections can
also be customized with project-specifc text added by the editor.
A master specifcation section may include one or a combination of specifcation methods, which are
reviewed below. When editing, it is important to review the specifcations to determine whether more than
one method of specifying has been used to defne the product requirements. If more than one method has
been used, the specifcation must be coordinated carefully to eliminate any contradictory requirements.
After each section of the specifcations is complete, evaluation criteria should be reviewed again to ensure
that the pertinent qualities of the products have been correctly identifed. The sections should then be
reviewed for any relationship to other sections and to resolve possible conficts or contradictions.
Methods Of Specifying
There are four basic types of specifcationsdescriptive, performance, proprietary, and reference standards.
The frst three can be used to specify the essential qualities of materials for a project. Reference standard
specifcations are published by standards organizations such as the American Society for Testing and
Materials (ASTM) or organizations that represent manufacturers of specifc building elements, such as
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your Activities.
the Steel Door Institute (SDI), and are typically referenced without
customization. The Project Resource ManualCSI Manual of Practice
notes that more than one specifying method is used in most project
specifcations, although all four methods may be used in a single
specifcation section. PRM cautions, though, that the A/E should be
careful about combining methods in the specifcation of a single product.
Descriptive specifcations include a detailed written description of the
required properties of a product. They are often lengthy and tedious.
Their preparation involves researching products and critical features,
determining which features to specify, describing critical features, and
providing information about submittals, tests, etc.
Performance specifcations identify the performance characteristics that
must be met by a product or system. Writing performance specifcations
is a two-part process that includes preparation of a statement of required
results and identifcation of a method for verifying compliance. Avoid use of
both descriptive and performance specifcations for a single requirement;
the resulting specifcations are redundant and open to conficts.
Performance must be technically possible.
Proprietary specifcations identify desired products by manufacturers
name, model number, or unique characteristics. There are two types
of proprietary specifcation, open and closed. Closed proprietary
specifcations do not allow substitutions. Open proprietary specifcations
provide for requested alternates, often proposed by the contractor
proposed. Avoid combining the use of descriptive, proprietary, and
performance requirements for a single requirement, as this multiplies the
opportunities for conficts.
Reference standard specifcations are published standard specifcations
that can be incorporated into project specifcations by reference. According
to The Project Resource ManualCSI Manual of Practice, reference
standards are documents established by a consensus that provides rules,
guidelines, or characteristics for activities, and their results . . . . They
are published by trade associations, professional societies, standards
organizations, governments, and institutions.
Beyond The Basics
As its title suggests, this narrative concentrates on a basic two-step
process of selecting and documenting materials, products, and systems for
construction projects. For this purpose, the development of an individual
section has been the primary topic. Assembling sections into a project
manual, development and coordination of Division01 sections, and
general and supplementary conditions have not been discussed in detail.
For additional information on these topics, refer to the resources listed in
this chapter.
Written by Garry Betts, AIA, FCSI, CCS
Garry Betts, principal and director of specifcations at Chicago-based Loebl Schlossman &
Hackl, is a nationally recognized expert in the feld of specifcations.
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Develop One Section of an Outline Specication
For this activity, select a small project in your offce or a mentors offce that has been completed at least
through design development (DD). It may be best if this is a project that you have not worked on; however,
any project will suffce.
Activity - Core
First, review the drawings (preferably DD drawings) in preparation for developing an outline specifcation.
Take note of various key elements of the design. Speak with the project architect or project designer if
appropriate to gain additional insight into the goals for the project. Then, using the table of contents from
the offce master specifcation system (or MasterFormat
), develop a table of contents for the project.

After consulting with your supervisor, select one of these divisions:
Division 07 Thermal and Moisture Protection
Division 08 Openings
Division 10 Specialties
Take the material from the offce master specifcation system for the division you have chosen, and edit it
to create an outline specifcation for the division. Next, research the materials and products to include in
your outline specifcation section. Identify important characteristics of each material and product. (Note:
Refer to the criteria discussed in the narrative regarding material and product research.) Finalize the
outline specifcation for the division that you have selected.
How does the product fulfll project requirements?
What priorities might you have to place on the material or product criteria if your project is 20%
over budget?
What challenges did you encounter in developing an outline specifcation at the design
development stage?
If available, compare your work to the projects actual outline specifcation. How do they differ?
Why?
What did you learn that you might apply to future projects?
Be prepared to discuss why you chose the products and how you incorporated them into the outline
specifcation.
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Product Evaluation and Selection
Select a small or medium sized base building project in your or your mentors offce that has recently been
completed and for which you have access to drawings and specifcations. This assignment will be most
effective if you select a project you did not work on previously.
Document the process used by the project design team to evaluate exterior building enclosure systems for
the project. Review the fnal drawings and specifcations and gain access to earlier iterations, if possible.
It will be useful to interview members of the project team who can share their insights to the project.
Conduct your own independent research of exterior systems.
Consider the following questions:
How were the performance criteria established?
How are compatibility issues addressed?
Are there coordination issues where different components meet?
Does the selected products performance meet or exceed project requirements?
Is the product adequately documented, and is the documentation consistent between drawings
and specifcations?
Based on your independent research, would you have done anything differently in the specifcation
of the system(s)?
Prepare a 2-3 page resource for your offce that can be used by future project teams, especially interns,
defning an offce standard operating procedure for researching, selecting and documenting exterior
systems.
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Activity - Core
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Learning Through Comparison
For this assignment, choose a project outside your studio or offce for which you have access to detailed
information. The project can be of any size and should be substantially complete.
Activity - Core
First, review the drawings for the project you have selected. Note the design concept and how the building
systems that are specifed for the project will impact the design. Speak with the project architect or project
designer if appropriate to gain additional insight into the goals for the project.
Next, select one of the following building systems:
Roofng system
Below-grade waterproofng
Windows
Wood doors
Use the appropriate section from the offce master specifcation system (or MasterFormat
) to develop
one specifcation section for the project you have chosen.
What are the project requirements for the specifcations section you have selected?
Document the products you have selected to be used in this project.
Analyze the characteristics of each product that meet the requirements for the project. Note the
reasons why you selected on product over another (e.g., cost, lead time, aesthetics, etc.).
Compare the information in Part 1 General of the specifcation section you have written and the
information in Division 01 General Requirements of the offce master specifcation system. What is
the relationship of these two sets of information?
Using the narrative as a reference, are there any suggestions you could make to your offce to
improve these general requirements sections. Why?
Share the specifcations section you have developed with your supervisor or IDP mentor and provide
a written explanation of your product selection decisions. Also document in writing your analysis of the
relationship between Part 1-General and Division 01General Requirements as well as any improvements
that may be considered.
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Observe a Building Element
With your IDP supervisor or mentor, choose a building element to research, for example, a window wall
system or revolving doors. Tour your local business district, strip retail centers, and school and hospital
campuses, observing the installation conditions for the element you chose. Also, spend time in the library
or online researching manufacturers, standard details and specifcations for the building element you have
chosen.
Keep a notebook and document from your tour at least ffteen (15) applications in different building types.
Take photos of each application. Also keep in your notebook cut sheets, references and other research
you conduct on the building element.
For each application, note the differences in detail and quality and whether the quality is adequate
for the installation.
Concentrate on the interface between the selected building element and adjacent elements, and
follow the transition around the perimeter.
Consider whether the quality of each installation is consistent with the quality of the building type
and of individual building elements.
Do your fndings out in the feld match your impressions of the desired level of quality for the
building and the chosen element?
How do your fndings in the feld compare to the standard specifcations and details you found in
the library and/or online?
Prepare a report outlining your fndings and research. Share this with your offce or mentor as a research
for others who may consider using this building element in the future.
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Activity - Core
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Applying LEED for Homes to Materials Research
Become familiar with the LEED for Homes requirements. It may be helpful to print out the checklist for this
assignment. Next, locate a residential showroom (such as in Lowes or Home Depot) in your local area.
Make at least one visit to the showroom to research materials and appliances that may be used for a kitchen
design in a new home.
Activity - Core
Write a set of specifcations for a residential kitchen. The residential project must meet quality for LEED
Certifcation.
Which materials are prohibited by the LEED criteria? Are you able to locate sustainable
alternatives for your project in the showroom?
Consider the appliance options. What opportunities and challenges arise when selecting a
refrigerator, dishwasher and oven for the project?
Assuming the client is not a wealthy millionaire, what budget considerations are there when
selecting materials and appliances for a residential kitchen in a LEED certifed home?
What trade-offs have you considered in your selection process? Energy vs. aesthetics? Others?
Assume for that you can salvage 3 items from the original kitchen. Which would those be and
why? Note carefully the salvage requirements in the specifcations.
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Specications Table of Contents Comparison
For this activity, work with the project architect and with a spec writer, if your offce or your mentors offce
has one.
During the construction document (CD) process, drawings are periodically reviewed and coordinated with
specifcations. Milestone reviews typically occur at 30 percent, 60 percent, and 90 percent completion and
before the documents are issued for bid and construction. Reread the sidebar What Constitutes CDs in
the chapter 8 narrative . Understanding the relationship between drawings and specifcations is essential to
executing a fully coordinated set of construction documents of the highest quality.
During the CD phase, components of the building design are developed and documented in detail, and
materials and systems are identifed and specifed. Although the owner has approved the overall building
design in the design development phase, interior fnishes and roofng, cladding, waterproofng, glazing, and
curtain wall systems require detailed exploration and development. During this process, many things can
change, and it is important to keep track of drawing changes that affect specifcations.
A good way to become familiar with the relationship between construction drawings and specifcations is to
review a set of drawings and the project specifcations table of contents (TOC) side-by- side. Make sure that
all materials and systems on the drawings appear in the specifcations, and vice versa.
Choose a project in the CD phase then create your own specifcations TOC for this project. Compare
your TOC with the one used for the project and make note of any changes that need to be made.
Compare your revised TOC with the drawings for the project. Write a report detailing your comparison and
answering the following:
Identify any materials and systems that appear on the drawings but not in the specifcations TOC;
add them to the specifcations.
Identify any items in the specifcations TOC that no longer appear in the drawings; delete them
from the specifcations.
Identify systems and materials that have changed, making it necessary to update certain
specifcation sections; note these on the specifcations TOC.
This kind of comparison can be tedious, especially on large projects. However, the task is essential to
achieving comprehensiveness and quality. If you have questions, ask the project architect or spec writer.
When you have fnished the review, you will have identifed items in the drawings and specifcations that
require attention to ensure the documents are fully coordinated. Review your additions and deletions with
the project architect and, if your frm employs one, with the specifcations writer for the project.
Discuss your fndings by sharing a redlined set of the specifcations and drawings.
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Activity - Elective
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Security Versus Life Safety
In this scenario, you have been assigned to a project team that is designing a renovation for the Uptown
Hospital in your local community. One of your responsibilities is to evaluate and select architectural
doors, frames, and fnish hardware. The hospital intends to update its labor-delivery-recovery (LDR)
rooms and nursery in a space currently occupied by administrative and patient treatment functions. The
hospitals security consultant has provided information on high-tech security and monitoring systems. His
recommendations include leg bracelets for the babies and sensing devices around the nursery unit that
close and lock doors leading away from the nursery when a device senses a signal from a bracelet. Security
measures also include door monitors, keycard access control systems, and camerasall designed to limit
and monitor access to the nursery.
The code search indicates that no major changes are needed to the existing construction because there
has been no change in occupancy classifcation. However, the original construction included a smoke
barrier separating the foor into two smoke compartments. This barrier runs through the center of the area
designated for the new nursery. A number of corridors run from one side of the existing space to the other
to provide access to emergency exits. The smoke barrier and access to the exits have to be conserved or
replaced.
Because of the movement patterns of patients, four of the cross-corridor doors will be on automatic
operators. Two of these doors are part of the smoke barrier and must be self-closing and positive latching;
all four are in exit access corridors; and all four have been identifed by the security consultant as needing
the lockdown feature.
There is a confict between program requirements and code requirements, between the desire for security
and the need for life safety.
Prepare a letter to your client describing the type and extent of the confict between security and life
safety requirements in this project. Provide an attachment to the letter that provides specifcations on the
products you have chosen and lists the reasons why you made those selections. Address the following in
your response:
Research technology options that might allow the doors to meet all code and program
requirements. What alternatives might be available to your client?
Review the local building code. What exceptions might allow the need for security to be held above
the need for life safety? How would you make the case to the building code offcial?
Describe how you could work with the design team and the security consultant to revise the design
in a way that would eliminate or reduce the confict.
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Activity - Elective
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Substitutions That Dont Work
In this scenario, you are the project architect working closely with the client over the past few months,
designing an addition for a historic church in your home town of Springfeld, Ill. The entire design team
has been very sensitive to the issues involved in designing an addition to a historic structure. The client is
adamant that materials and fnishes for the project be true to the historic context of the existing structure.
As you conduct research for this project, the windows become a signifcant area of focus. You recognize that
because of the historic nature of the addition, the requirements for the windows must be very specifc.
As the project architect, you will be following this project through to completion. On a recent project, a
historic renovation of a commercial building in the downtown area, you had a negative experience with a
contractor who submitted substitutions for windows because of claims that the manufacturers cannot deliver
windows fast enough to meet the project schedule. You were concerned the product the contractor proposes
would not meet all the project requirements. There were many heated exchanges about the issue resulting
in the client blowing up at a project meeting because the architect and the contractor were not working
together to resolve the issue. You dont want to have this situation happen again.
Prepare a specifcation section for Division 08 Openings. Research three manufacturers and list them in
the specifcation section. Consider the following:
What are the critical performance criteria for the window specifcation for this project?
For which materials might you accept a substitution from the contractor other than those specifed
in the project manual?
What criteria will you use for approving substitutions during the submittal process in construction
administration?
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Activity - Elective
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Drawings Versus Specs
In this scenario, you are a project architect in a Northwestern U.S. frm of about 75 people. Projects are
diverse ranging from institutional to commercial base building work; however, your frm does not do any
residential projects. The offce has had a quality assurance (QA) process for years and you are one of fve
architects who are available to project teams to perform a QA prior to issuing a set of project documents.
An important step in the QA process is to ensure coordination between the drawings and specifcations.
According to offce policies, sets are not to be issued unless QA is complete.
On Monday, you were given a set of drawings for a new computer science building at the local community
college. It appears that in an attempt to make things easier the project architect has tried to eliminate the
spec book by putting as much of the specifcations information into the drawings. Not only is this not the
offce standard, but the drawings are diffcult to read. You have concerns that during the bidding/construction
process, contractors will complain, the offce will be fooded with RFIs and the frms reputation will be
damaged.
Develop criteria for what type of specifcation information is appropriate to list on drawings versus in a
specifcations manual. Consider the following:
What is the purpose of specifcations? Purpose of drawings?
How do specifcations and drawings complement each other?
How might you, as the project architect, avoid conficts or duplication between the specifcations
and drawings?
You decide to give him a head start on the specifcations book that must be prepared. Prepare an outline
specifcation for this project using MasterFormat
. Consider the following:

Which divisions are likely to be needed for a project and location such as this?
For those divisions that you have excluded, provide a brief paragraph explaining why you do not
think it is needed?
Speak with the project architect immediately to get this issue resolved. With the criteria and the table of
contents in hand, you set off across the offce to fnd him/her and have this diffcult conversation.
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Activity - Elective
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Using a New or Untried Product
In this scenario, your frm is designing a two-story addition to the local middle school. It is a concrete
structure with the frst foor slab on grade. Your research indicates a vapor retarder will be required under the
slab.
During the process of selecting fnish materials for the foor, you discover that different types of fooring
have specifc requirements for the dryness of the slab and the alkalinity of the slab surface. You carefully
record this information in preparation for developing the specifcation for the vapor retarder and defning the
substrate conditions required before installation of the fnish fooring.
Before the bidding documents are issued, a product representative calls you about a product he says is
perfect for this project. It is a new product and (in advertised performance only) is a match to the products
you were planning to specify.
When the principal in charge gave you this assignment, she also gave you an article to read about a school
in a neighboring district that was closed for more than six months because of an outbreak of mold. It was
determined the under-slab vapor retarder had failed, allowing moisture to migrate through the concrete slab
and provide the moisture source the mold needed to feed on the organic compounds in the adhesive and in
the fooring itself.
First, prepare a matrix or worksheet that allows you to evaluate the attributes of possible products against
project requirements and to determine which products are the best match. Consider the following:
What criteria will you use to evaluate the products?
What are the project requirements that should be considered?
What steps would you take to ensure the new product will meet project requirements?
Second, demonstrate in a report how you would specify two products using different technologies that
both meet the project requirements.
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Activity - Elective
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Value Analysis by the Contractor
In this scenario, you are working on the documentation of a new neighborhood retail development in Fort
Worth, TX. This is a developer client with whom your frm has done a number of projects. You have heard
through the offce grapevine that the client is going to be looking for bids that are under budget, and that he
will try to increase the project scope with add-alternates that provide additional amenities in the retail space
for hardware, fnishes, and the window wall system.
Of course, you want the client to be happy. Reluctantly, you agree to develop these three add-alternates.
This means that the drawings and specifcations will include baseline specifcations for the three systems
as well as a second upgraded set of specs for the add-alternate selection. Your gut tells you that both
should be written as proprietary specifcations to reduce the chances of value analysis suggestions from the
contractor.
Upon reviewing the contractors suggestions, you do not think the suggested products meet the
performance criteria used to select the products included in the original bidding documents. If these changes
are implemented, the suggested products would lower the quality level of the project.
Research and select baseline products for door hardware, entrance lobby fooring and a window wall
system. Develop proprietary specifcations for each appropriate division. Then, select upgraded products
for each of the three systems add alternates. Develop proprietary specifcations for each appropriate
division. Consider the following for your fnal report:
What are the benefts of using a proprietary specifcation in this instance?
Compare the two specifcations for each system. What are the distinguishing characteristics
between the baseline and upgraded systems?
If value analysis suggestions are made by the contractor, how will you support your decision for
the materials and systems selected in the original drawing set?
How else can you ensure during the design process that the clients expectations for the desired
level of quality and performance are clearly understood and integrated into the specifcations?
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Activity - Elective
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Translate Project Requirements into Product Options
In this scenario, you are the project architect for a seven-story, 70,000 square foot commercial offce building
located in Washington, DC. The client is a developer who is looking to maximize his return on investment
by keeping costs low and offering a Class A offce building that will attract long term tenants. The potential
tenants include government contractors and technology companies who work closely with the Pentagon,
CIA, and other high security divisions of the government. To deliver the project on time and on budget is
to ensure a happy client. And, the District of Columbia has recently adopted a Green Building Act which
will require this building to achieve at minimum rating of LEED Silver. (Note: U.S. Green Building Councils
program Leadership in Energy and Environmental Design and commonly referred to as LEED.)
The developer says to you in an early meeting: Ive done lots of these buildings before. We need to spend
our money on the exterior fnishes and the lobby. I dont want to waste money on things no one will see like
the roof.
Back at the offce, you are reviewing the LEED checklist and have some reservations about being able to
make the Silver rating. You begin to review the projects design development drawings for ideas. The roof
design immediately jumps out at you as a perfect opportunity for some points. If you could just convince
your client to consider a green roof or other products that reduce heat island effect, perhaps the project
could qualify for the Sustainable Sites; Heat Island Effect, roof credit.
Develop criteria for evaluating different roofng products or systems for a generic commercial building with
a fat roof. Research products or systems that meet these criteria. Which products are the best choice for
this project and client? Why? List your criteria and describe the selection process, giving specifc reasons
for the choices you made.
Then, using the U.S. Green Building Councils LEED evaluation criteria, revise the project criteria so the
roof system will meet the requirements under the category Sustainable Sites; Heat Island Effect, roof.
How did the criteria change?
How will the application of the LEED criteria would affect your selection of roofng products or
systems?
Write a memorandum (250 words minimum) to the client. List the pros and cons of each system and make
a recommendation regarding the best choice for the roof design and product selection for this project.
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Activity - Elective
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Dysfunctional Drainage System
In this scenario, you are asked to take over the completion of a project after the project manager, who has
worked on the project for the past two years, resigns. This is a fve-story poured-in-place concrete parking
garage in Poughkeepsie, NY.
The project is the frst your offce is doing with integrated project delivery. The team of engineers,
contractors, architects and subcontractors has been assembled since the inception of the project. The
project has been designed using BIM.
You are about three weeks from having to deliver the set for permit. You know that once the permit is pulled,
the project is going into high gear. You want the set to be in good shape to ensure a good project start for
the client and to be a best practice for the frm with this new project delivery method.
Soon after getting up to speed with the project team, you become aware that the foundation drainage
system that was selected for the perimeter of the garage is not adequate. There are opportunities for
waterproofng failures that will compromise the system. You have to go back to the drawing board on this
system and want to make minimal changes to the design in the process. It took you a week to identify this
issue, now you only have two weeks to solve it before the deadline.
Integrated Project Delivery: A Guide, by the American Institute of Architects.
Architectural Graphic Standards, 11th edition, by Andy Pressman. Hoboken, NJ: John Wiley & Sons, 2007.

First, research foundation drainage systems to be used in this scenario. Select three alternatives that may
be effective in this application. Consider the following:
What criteria did you use to select the systems?
What are the project requirements that should be considered?
How might the constructor team be of use to you in evaluating products?
What information can you gather from product manufacturers and representatives? How will you
evaluate the information they share with you?
Second, write an outline specifcation for Division 07 Thermal and Moisture Protection for the one system
you selected as best for this project. Consider the following:
How is the approach to this problem different in Integrated Project Delivery than it would have
been if the project was Design-Bid-Build?
What advantages and disadvantages did you see in addressing the problem with the team?
How would you share lessons learned with your offce to ensure that other teams dont run into the
same issues with future projects?
version as a PDF.
Activity - Elective
321
2G
notes
322
2G
3A
Bidding & Contract
Negotiation
activities - core*
introduction
342
343
344
345
346
347
348
349
350
338
339
340
341
338
324
Learning from AIA Bidding Documents
Completion of Bid Forms for a Project
Attendance at a Pre-Bid Meeting
Attendance at a Public Bid Opening
narrative 325
Project Delivery Approaches
Design Without Compromise & the Bid Package
Rebar Construction Revokes its Bid
Bids for an Elementary School
Alternates & the Over-Budget Project
Bidding Procedures Public vs. Private
Pulling the Plug on the Electrical Sub
Bidding Error on the Up and Up?
The Late Bid
exhibits 351
351
352
Exhibit 3A-1
Exhibit 3A-2
Bidding & Contract Negotiation
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Internships.aspx.
2008.
Part 4 - Contracts and
Agreements

2001.
Chapter 11 - Contracts
and Agreements
2009.
Part 4 - Contracts and
Agreements
Introduction
of the feld activities involved in bidding and contract negotiation.
The following information is taken from the NCARB IDP Guidelines:
Bidding and Contract Negotiation
Minimum Bidding and Contract Negotiation Experience: 120 Hours
Defnition: Involves the establishment and administration of the bidding
process, issuance of addenda, evaluation of proposed substitutions, review
of bidder qualifcations, analysis of bids, and selection of the contractor(s).
Tasks
Conduct or participate in bidding/negotiating phase
Evaluate product and material substitutions
Prepare bid documents including addenda
Confict resolution
Construction procurement (e.g., bidding, negotiating)
Contracts (e.g., professional services and construction)
Interpreting construction documents
Product and material substitutions
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Narrative
The architects duties in contractor selection may appear relatively minor in comparison to the architects
role in design and construction. However, the architects role in contractor selection is pivotal in terms
of establishing sound working relationships, limiting liability to the owner and the architect, and treating
contractors fairly.
An increasingly complex design and construction environment necessitates consideration of modes of
project delivery that differ from the traditional design-bid-build approach. Certainly, the recent advances
in integrated project delivery provide powerful new alternatives to the traditional construction process.
No matter what project delivery approach is used, however, contractor selection criteria and procedures
should be clear, sound, and strictly adhered to, particularly in publicly bid work. In addition, the owner
needs to be informed of the implications of straying from the rules. Attention to detail and the importance of
communication should enable a smooth transition from design to the construction phase, or merging of the
two project increments, and optimize the chances of achieving a successful project.
Bidding and contract negotiation are two distinct steps in traditional contractor selection. While these may
constitute only a small portion of an architects overall services, they are a critical bridge between design
and construction. Even the best design and most accurate and complete construction documentation cannot
ensure success. After all, someone needs to turn the ideas represented in the construction documents
into a three-dimensional physical reality. Ultimately, it is the quality of the contractor(s) and the quality of
the working relationships among the owner, contractor, architect, and their subcontractors and consultants
that will determine just how successful a project will be. Thus, the means used to select a contractor is a
critical issue that needs to be addressed as early as possible with the client. The selection process lays
the groundwork for the realization of the project and the relationships among the parties involved in the
construction process.
Traditionally, contractor selection has followed a design-bid-build strategy, which separates design and
construction into distinct increments and limits the choice of a contractor on the basis of lowest cost. Design-
bid-build works well for a wide variety of projects of all sizes and is still widely used in the construction
industry. In this project delivery method, the owner establishes one contract with the architect for design
services and another with a builder (or perhaps several separate contractors each with prime contracts
with the owner) for construction. The architects role during construction is limited to administration of the
construction contract between owner and builder. Having developed a set of contract documents that
establish a scope of construction work, the architect releases them to competing contractors who propose a
price for completing the work. In most cases, the job is awarded to the lowest responsible bidder.
The bulk of this chapter details how the bidding process works in the context of traditional design-bid-build.
Special attention is given to procedural issues and limiting liability. The remaining portion of the chapter
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2001.
2008.
The Construction Specifcations
Manual: CSI Manual of Practice.
New York: McGraw-Hill, 2005.
In addition, samples of AIA
Contract Documents are
available for interns. View
the list of sample contract
documents and resources for
interns.
provides an overview of contractor selection in alternative approaches
to project delivery, including design-negotiation-build, design-build, and
construction management. In contemporary design and construction, such
approaches are often worth considering for economic, schedule, technical
complexity, and project coordination reasons and thus are increasingly
common. However, such project delivery methods have very different
implications for project coordination and liability, and for the architects
roles and responsibilities, than does the design-bid-build approach.
The following discussion of competitively bid contracts outlines many of the
issues generally associated with contractor selection and project delivery,
no matter what delivery method is employed. Following it is a detailed
description of bidding procedures, followed by a review of practical and
legal pitfalls in bidding and contract negotiation.
Preparation
Competitive bidding involves sending complete sets of contract documents
to two or more contractors who bid against each other. Usually, the lowest
bidder is awarded the contract. The initial tasks in a competitive bidding
process include: determining whether the pool of bidders should be open
or selective, qualifying contractors, and preparing and issuing the bid
package.
Choosing Open or Selective Bidding
The architect and the owner decide whether they will get better results
for a project by choosing from a large or a small pool of bidders. Their
decision determines whether the bidding process is open or selective.
When attracting a large number of bidders is considered desirable,
as is often the case in public sector work, open bidding is used. An
advertisement to bid is published in trade or government publications
or professional journals, inviting any interested contractors to participate.
When a limited number of bidders are preferred, a selective bidding
process is implemented. An invitation to bid is sent to a selected group of
contractors based on reputation, recommendation, prior work, or previous
relationship with the owner or the architect.
Qualifying Bidders
Prospective bidders are identifed based on their ability to successfully
undertake a project. In some cases, the contractors reputation or
relationship with the owner is suffcient, but sometimes it is necessary
to establish the qualifcations of contractors before bidding documents
are issued. This is particularly important in the open bidding process, so
unsuitable bidders are eliminated and the administration effort involved in
competing a high number of bidders is reduced. AIA Document A305,
Contractors Qualifcation Statement, may be used in the pre-qualifcation
stage of the open bidding process to help the architect and the owner
assess a contractors suitability for the project. When completed, the
document provides full details of the contractors business record,
including business history, organization and scope of operations, past
record of construction work (type, range of experience, etc.), trade and
bank references, bonding company, and details of assets and liabilities.
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Preparing the Bid Package
To facilitate contractor selection, the owner may fll out AIA Document G612, Owners Instructions to the
Architect Regarding the Construction Contract. The information in this document is intended to provide
information to the architect that will clarify the owners requirements and preferences. Once bidders have
been identifed, a package of information concerning the proposed project is issued. The package includes
the following:
Invitation or advertisement to bid
Drawings and specifcations
Bid form
Notice to Bidders
Instructions to Bidders
Proposed contract documents
Bid security details (if required)
Invitation or Advertisement to Bid
The original invitation or advertisement provides a concise summary of the project. The law usually requires
public work to be advertised in generally available publications. Private clients may choose to advertise in
trade publications or other venues, depending on the nature of the project.
Drawings and Specifcations
These documents should be as complete and unambiguous as possible to make it possible for the
contractor to bid accurately. They are sent free of charge to bidders. To ensure that unsuccessful bidders
return the bidding documents, a deposit is usually required; this is returned upon receipt of outstanding
documents. The number of sets for each bidder varies; two may be appropriate for smaller work, while larger
projects may require three or more. Projects that are more complex or under time constraints may require
extra sets. The architect can require additional payment for the extra work necessary to produce multiple
sets. Similarly, if any of the bidders ask for extra copies, these may be provided at the bidders expense.
Pre-Bid Conference
Depending on the nature of the project and client preferences, a conference for potential bidders may
be useful. Walter Rosenfeld, AIA, CSI, offers the following advice in the 13th edition of The Architects
Handbook of Professional Practice:
A pre-bid conference, held two or three weeks before bids are due, may be valuable for several reasons.
It focuses potential bidders on the project, allows the architect to reiterate key points in the documents,
and (if held at the site) gives bidders an opportunity to visit the site. An agenda might include the following
items:
Project background
Confrmation of bid date and procedures
Further explanation of alternates
Identifcation of special issues or working conditions
Any update on the post-bid schedule
Questions and observations about the project
For the owner and architect, such a meeting provides an indication of contractor interest in the project.
It may disclose questions or issues that require clarifcation or additional information, which results in an
addendum to the bid documents. (Many architects report that they do not answer any such questions at
the pre-bid conference, both to provide time for a full answer and to be sure that all bidders receive the
same answer.) On occasion the pre-bid conference may uncover a signifcant gap in the documents or
bidding procedurea gap that is much easier to address during bidding than after all the proposals have
been received.
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Bidders Representations
According to AIA Document
A701, Instructions to
Bidders, the act of making a bid
represents the following:
The bidder has read and
understands the bidding
documents.
The bid complies with the
bidding documents.
The bidder has visited
the site and observed
the conditions under
which the work will be
performed.
The bid is based, without
exception, on the
materials, equipment, and
systems called for in the
bidding documents.
In addition to familiarizing
themselves with the site
and requirements of the
project, bidders are to report
to the architect any errors,
inconsistencies, or ambiguities
they discover in the construction
documents.
View the list of sample contract
interns.
Although contract documents should be complete and unambiguous,
it is not always possible to determine the full scope of a project without
designating certain alternatives to be decided by the owner at a later time.
This need for fexibility can be accommodated in two ways:
Alternates. An alternate bid may be required or accepted for a
specifed section of the work, and this should be included in the
calculation of the base bid. This procedure can help keep costs
within budget but should be used sparingly. It should not be
employed to give one bidder preference over the others.
Unit prices. Unit prices supply a price per unit for materials and/or
services. They offer the architect and owner a comparable means
of measurement to use in comparing bids. Unit prices also provide
an idea of price calculation for unknown quantities or variable
factors. Use of this approach should be limited if the overall budget
needs to be controlled.
Bid Form
This form is sent to all bidders and contains relevant information
concerning the project. Each bidder returns the document complete with
the price of the work, or base bid, and any other fgures that may be
appropriate (e.g., alternate bids, substitutions for specifed materials or
services, etc.).
Notice to Bidders
This notice, which may be included in the bidding documents, informs
prospective bidders of their opportunity to bid and of the conditions and
requirements involved.
Instructions to Bidders
AIA Document A701, Instructions to Bidders, provides relevant
information concerning the detailed requirements of the bidding process.
Included are the following items:
Defnitions
Bidding documents
Consideration of bids
Owner-contractor agreement
Supplementary instructions
Bidders representations
Bidding procedures
Post-bid information
Performance/labor and material payment bonds (see bid security
below)
Proposed contract documents
All documents intended for use in the proposed project should be sent to
each bidder for examination, including the general conditions (e.g., AIA
Document A201, General Conditions of the Contract for Construction)
and any other applicable addendums or supplementary conditions. A new
edition of the contract was published in 2007 with changes to contractor
and client responsibilities, which should be checked carefully.
notes
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Bid security
In order to ensure each bidders commitment to their base bid and willingness to fulfll their obligation to sign
the contract if they are selected, the owner may require some form of security, which should be submitted
along with the returned bid form. The security might take the form of cash, a certifed check, or a bid bond
(AIA Document A310, Bid Bond).
The bid security could be expressed either in a lump sum or as a percentage of the base bid. Bidders
usually prefer the former, as it does not reveal their bid before opening. This amount is usually not less than
ten percent of the bid amount. A successful bidder that refuses to undertake the work for the bid specifed
may forfeit all or part of the security. The penalty amount is usually determined as the difference between
the selected bid and the next lowest bidder, although the penalty cannot exceed the amount of the security.
During Bidding
AIA Document A701, Instructions to Bidders, sets forth some commonly used bidding procedures,
including the provision of information for use by contractors in preparing and submitting their bids. The
summary below refects these bidding procedures, although of course other procedures may be used to
refect a projects unique requirements. After the bidding documents have been mailed, it may be necessary
for the architect to modify the bidding documents before bids are due. Once bids have been submitted, a bid
opening is held and the fnal selection of the contractor is made.
Modifcation of Bidding Documents
The owner if necessary may request certain adjustments to the documents before the closing date for bid
submission. These are usually in the form of interpretations or substitutions.
Interpretations
If any bidders discover errors or ambiguities in the documentation, they must inform the architect in writing
at least seven days prior to the submission date. The architect issues any changes or addenda that result
from the inquiry to all bidders.
Substitutions
Should any of the bidders wish to substitute materials or services otherwise specifed in the bidding
documents, the architect must receive a request for approval in writing at least 10 days before the
submission date. If the architect determines the substitution is acceptable, all parties are notifed by
addendum, although no addendum can be made within four days of the fnal receipt date except a notice
canceling or postponing the request for bids.
Submission of Bids
Bids must be received in writing, contained in sealed, opaque envelopes prior to the time and date specifed
in the advertisement/invitation to bid. Oral bids are not acceptable, and any bids received after the specifed
time should be returned unopened.
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Owner-Architect and Owner-
Contractor Agreements
For more information about
owner-architect and owner-
contractor agreements, consult
the following resources:
2008.
Chapter 16 Types of
Agreements
2001.
Chapter 11 Contracts and
Agreements
2009.
Chapter 11 Types of
Agreements
Bid Opening
If the bids are opened in public they are often read aloud. When bids
are opened in private, the bidding information may be sent to all bidders
at the owners discretion. The owner need not accept any of the bids if
they appear too high and may reject any bid not in conformance with the
stated requirements. However, the bidding documents do provide that if a
contractor is chosen, it will be on the basis of the lowest responsible bid. A
decision is usually made within 10 days of the bid opening.
In publicly bid work, the owner is often constrained by law to accept the
lowest responsible bidder and thus may be held liable if the selection does
not conform to that requirement (i.e., the lowest monetary bid, coupled with
the owners satisfaction that the contractor can successfully undertake the
work). In privately bid work, the owners obligation to accept one of the
bids is not as clear, particularly when an owner has specifcally reserved
the right, in its sole discretion, to accept or reject bids. However, even
when there is no legal obligation to accept a certain bid, owners may
feel compelled from a business standpoint to select the lowest bidder to
prevent suspicion of favoritism and avoid ill feeling among contractors with
whom they may want to work in the future.
Contractor Selection
Prior to the bid opening, any bidders may withdraw or modify their bids.
However, once the bids have been opened, bidders cannot make changes
or withdraw from the process for a period stipulated in the bidding
documents (e.g., 30 days). Once selected, the successful bidder must
undertake the work for the agreed price or risk forfeiting the bid bond
(if any). Exceptions to this are sometimes made if a bidder can prove
substantial error in the bid calculation, in which case withdrawal might
be appropriate, with award of the contract to the next lowest bidder.
Alternatively, the contract may be re-bid. Defaulting bidders should be
disqualifed from any further bidding on the same project, and no bid
correction should be permitted, except for minor clerical errors and
alterations.
After Bidding
When a contractor has been selected (usually within 10 days of bid
opening), all bidding parties should be informed of the decision.
Unsuccessful bidders are often given a list of the bid fgures, and the bid
deposits are returned once the contract documents have been returned.
The successful bidder should be informed of the decision in a way that
does not form a legally binding agreement before the contract documents
are signed. Usually, the bids of the next two or three lowest bidders are
retained for a specifed period as a contingency measure.
At this stage, each party to the proposed building contract may provide
further information and/or assurances to the other parties. For example,
the owner may, upon request, demonstrate to the contractor that suffcient
fnancial arrangements have been made to undertake the project. The
contractor, typically within seven days of the contract award, should furnish
names of proposed suppliers of materials and equipment, details of the
amount of work to be undertaken by the contractors forces, and a list of
notes
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intended subcontractors for the architects approval. The contractor may also be asked for a qualifcation
statement (if appropriate and not required prior to selection), evidence of the responsibility and reliability of
the work force, and bonds in accordance with the owners requirements as expressed in the instructions to
bidders.
When these and any other preliminary matters have been dealt with and the contracts prepared, the owner
and contractor are ready to enter into the contractual agreement.
After the Agreement
As soon as practical after the owner-contractor agreement has been signed, the contractor should submit
a list of proposed subcontractors and suppliers to the architect. Under the single contract system, it is not
unusual for prime contractors to sublet parts of the work to other contractors, either because of the size of a
project or to take advantage of special skills and expertise the subcontractors have to offer. The contractor
may select suitable subcontractors, and the owner typically cannot require a contractor to work with anyone
about whom the contractor raises reasonable objections.
The architect or the owner may lodge reasonable objections to any of the names on the contractors list of
subcontractors, but such objections should be made promptly so the contractor may submit a substitute.
If the substitution is acceptable, the contract sum can be adjusted by change order to accommodate
alterations in cost caused by the substitution. The contractor should not change any subcontractors for a
project without the knowledge and approval of the architect and the owner.
If AIA owner-contractor agreements are being used and subcontracting is expected, it may be advisable
to use a standard form of subcontractor agreement. AIA Document A401, Contractor-Subcontractor
Agreement Form, can be used in conjunction with other AIA documents.
Subcontractors may, in turn, engage other contractors, termed sub-subcontractors to work on a project. The
relationship between these parties is similar to the relationship between the contractor and subcontractor,
although the prime contractor still has overall responsibility to the owner for the project.
Practical and Legal Safeguards
What practical and legal issues are associated with bidding? On the whole, comparatively few legal cases
provide guidance about an architects liability originating from errors in bidding. Despite this relative dearth
of legal authority, architects can take at least some steps to protect themselves from claims by clients,
contractors, or subcontractors and to protect the owners interests during the construction phase.
Quality Documentation
Court cases involving contractors claims based on misinterpretation or inadequate documentation highlight
some of the problems an architect may cause or otherwise encounter. Hazy documentation, for example,
may induce bidders to build substantial contingencies into their base bids. This could leave an architect
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your Activities.
open to claims for inadequately estimating project construction costs.
Some courts have ruled against architects when bids exceeded estimates
by as little as ffteen percent, or even less. This is worrisome considering
that professional liability insurance often does not cover errors in cost
estimating.
When there is limited preparation time, or when owner requirements are
uncertain, clarity in documentation may be diffcult to achieve. However,
clear and carefully produced construction documentation allows for greater
precision in bidding and thus a more realistic construction cost.
Other aspects of bidding that can affect cost include requests for alternate
design bids and for unit pricing. Architects should exercise special care
whenever these optional bidding devices are under consideration.
Clear Rules
Courts have ruled on a number of occasions that owners do not act in
good faith when they make what may appear to be arbitrary selection
decisions. In one example, an owner decided to award a contract to the
second lowest bidder because it was a local corporation. A court ruled this
decision invalid because locale was not initially listed as a criterion.
To avoid this type of situation, your notice to bidders and instructions to
bidders should be stated very clearly. Be sure to mention every factor
you and the owner will use to select the winning bid. In addition, exactly
the same data should be sent to all bidders, including any clarifcation
requested by one of the bidders prior to bid opening.
Strict Adherence to Procedures
Once the bid package has been released with its clear requirements, strict
adherence to selection procedures will also often help the owner and
architect avoid the appearance of unfairness or competitive advantage.
Any action that smacks of collusion between the owner or the architect and
one of the bidders invites suspicion and perhaps a lawsuit, especially in
publicly bid work.
The procedures for bidding laid out in AIA Document A701 offer a series
of orderly steps and safeguards that protect the owner and, by implication,
the architect from unqualifed contractors. At the same time, they provide
bidders with an even playing feld. Public sector procurement procedures
are often similarly designed, and are usually quite specifc to help ensure
fair and open competition.
To demonstrate fairness, valid bids can be opened in public and late bids
returned unopened. The question of what constitutes a late bid has been
the focus of a number of court cases brought by disgruntled bidders who
felt a late bid gave a competitor an unfair edge. In one case involving
a federal project, acceptance of a bid 30 seconds after the time of bid
opening was held to be invalid. While some fexibility may be acceptable
in special circumstancesmail delivery problems, perhapsthe architect
should advise the owner of problems that may result from accepting late
bids.
notes
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Cautious Rejection of Bidders
Some suits have been brought against design professionals who counseled against hiring particular
contractors. In one case, an engineers opinion rendered in good faith helped fend off a suit from a bidder
the engineer felt lacked suffcient experience to do the work. However, courts have ruled against an owner
who decided the lowest bidder was insuffciently responsible based solely on rumors of poor performance
or who did not solicit suffcient information on a hitherto unknown contractor. These decisions were based
on the concept that the owner exercised insubstantial reasoning in rejecting the contractor. Owners are
expected to consider a contractors recent performance to verify if earlier problems have been addressed.
An architect who chooses to advise an owner to reject a contractor with the lowest bid should do this
with great care, especially in publicly bid work. Architects advice on hiring will be most defensible if it is
based only on objective, factual considerations and is free of any confict of interest. When an architect
recommends rejection, it is best to record in writing the data and reasoning that led to this decision. Avoid
sweeping personal statements and slander. Also make it a point not to record statements that, however
innocently intended, may come back to haunt you.
A similar approach should be adopted when an architect demands substitution of a subcontractor. It
is estimated that very few architects actually take advantage of their contractual ability to object to
subcontractors or suppliers proposed by a contractor. If this power is invoked, however, the rationale for
substitution should be clearly and objectively articulated to limit the possibility of a claim from a disgruntled
rejected subcontractor.
Contractor Selection and Alternate Delivery Methods
Design-bid-build is just one of many project delivery approaches used today. Following are brief descriptions
of the major alternatives:
Design-Negotiation-Build
An owner may choose to select a contractor on the basis of reputation, specialized expertise, or a past
working relationship. In this arrangement, the owner negotiates the terms of the agreement and payment for
the work, forgoing the advantage of having the project competitively bid.
Owners choose this delivery method when project requirements justify it, for example, when quality
rather than economy is a major determinant. In other circumstances, it may be advantageous to skip the
bidding process to get construction underway more quickly. Negotiation can also make it possible to bring
a contractor on board before contract documents are complete, which may provide benefts in terms of
coordination and communication among the owner, architect, and builder. Usually, a cost plus fee contract,
in which the contractor is reimbursed for the cost of doing the work, with a separate fee for overhead and
proft, is used for this project delivery method.
Design-Build
The design-build approach, where the owner contracts with a design-builder to provide both the design
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Abramowitz, Ava J. Architects
Essentials of Contract
Negotiation. New York: John
Wiley & Sons, 2002.
and construction of the project, is becoming more popular. Architects
and contractors may join forces, perhaps through a strategic alliance, to
compete for a specifc project, or they may establish a design-build frm. A
design-build team may be led by the architect or the contractor, although
the latter arrangement is more common. The design-build entity may also
be a design-build company with architects and contractors under one roof.
Depending on how the agreement is written, professional liability exposure
for an architect in design-build delivery may be greater than, the same as,
or less than in traditional design-bid-build delivery. The onus is typically on
the owner to select and manage the design-build team. In design-build, the
design-builder cannot make a claim to the owner for defects in the plans
and specifcations, since the design-builder is responsible for creating
them with its own architect. Thus, the architect is not liable to the owner for
errors and omissions in its design, but may be liable to the design-builder.
In design-build, the architect and builder work together from the beginning
of the project, allowing them to work out constructability issues early
and more easily fast-track the project. The advantages of design-build:
time-savings, effciency, and reduced risk of claims to the owner, are
not guaranteed; but, if the design-builder and the architect have a good
working relationship, it will be more likely to attain these advantages.
Construction Management
As construction projects have become larger and more intricate, and
the design and construction industry has fragmented into ever-greater
specialization, new roles have emerged simply to cope with all that
complexity. A construction management (CM) approach to project delivery
is designed to address these issues. In it, the architect can serve the
owner in one of three distinct roles:
CM-adviser: Under a separate and distinct contract with the owner
(but not with the architect or contractor), a CM-adviser provides
expertise to owners on issues of project scope, constructability, and
procurement and management of design and construction services,
including contractor selection. The owner gains impartial advice,
but must now manage three distinct contracts instead of one or two.

The addition of a CM-adviser works well with the separate
design and construction increments of the design-bid-build
and design-negotiation-build approaches. On the other hand, it
creates potential redundancies and conficts with the role of the
architect in a variety of matters, including contractor selection.
It is critical, therefore, to carefully defne the CM-advisers roles
and responsibilities in the contract formulation stage. The CM-
adviser may incur liability for input affecting building design and
construction.
CM-agent: A CM-agent provides a single point of contact for the
owner with an entity that is empowered to act on the owners
behalf, including having the fscal authority to contract directly with
an architect and builder. An owner who is unusually distant from a
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Five Factors to Reduce Risk in Project Delivery
Useful guidance for establishing a sound contractual basis for effective working relationships and overall
risk management can be found in Ava Abramowitzs book Architects Essentials of Contract Negotiation.
Her advice covers working with savvy clients and other experienced parties to the contract and front-
end alignment of goals and processes among project participants. Her analysis of a two-year study of
risk management factors for A/E frms, carried out by Victor O. Schinnerer & Company, highlights key
risk factors specifcally associated with project delivery and contractor selection. Risk management in
the transition from design to construction requires thinking about more than which mode of contractor
selection and project delivery to choose. According to Abramowitz, fve claims preventers are more
important than the project delivery method chosen:
1. Experience with the Project Delivery Approach
Experienced people succeed, more often than not, because they can anticipate and address
problems faster and better than those who are new to a situation. This is one reason everyone
should think twice before proposing delivery systems (or contracts) with which few people are
familiar.
2. Architect Involvement in Selection of Contractor or CM
Since construction contract documents are never complete, construction will go more smoothly
if the contractor, or construction manager (CM) if there is to be one, can work effectively with
the architect to bring the construction documents to life. This is why so many claims-free frms
volunteer a list of good contractors or CMs from which the owner may invite bids. Some of these
frms charge a lower fee for construction contract administration services when the contractor
or CM is selected from their recommended list. Alternatively, they may add a surcharge for
construction contract administration when the owner selects a contractor not on their list.
3. Qualifcations-Based Contractor Selection
The data suggest that contractors selected on the basis of qualifcations, rather than bid price
alone, perform better. The federal government and some states are beginning to recognize the
value of qualifcations in the contractor selection process. The U.S. Army Corps of Engineers, for
example, increasingly uses a best value approach to contractor selection. The Corps decides
which contractor skills and qualifcations are necessary, assigns a weight to each of these, and
make its selection accordingly. Cost is invariably a measure in contractor selection, but it no longer
needs to be the controlling one.
4. Early or No CM Involvement
Data show that the presence of a CM increased the number of claims for the frms studied and,
albeit to a lesser extent, increased the losses from those claims. This is not an anti-CM statement.
Often, having a CM can make all the difference; however, in many projects, CMs are brought in
too late to have their ideas and expertise incorporated into the A/Es thinking. When that happens,
all the CM can do is undo the design that was bid on, under the guise of value analysis. In fact,
according to Schinnerer data, the later in the process value analysis is introduced, the more likely
it will cause a claim. Even when CMs are brought into the process early, they are other parties who
add their own ideas and objectives to the project, adding one more set of risks to be managed.
5. Adequate Schedule
Undue speed can cause problems. There is nothing inherently wrong with fast-tracking a project,
but fast-tracking without the careful detailing of an agreed-upon program and scope of work can be
dangerous. Designs implemented at one stage may prove insuffcient later. This is especially true if
the parties understanding of the project objectives or design parameters change over time.
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Learn more about integrated
project delivery (IPD) by
downloading Integrated Project
Delivery: A Guide, produced
by the American Institute of
Architects.
project, such as a corporation building in a foreign country, might
use this approach. The approach is used infrequently in the public
sector because of the granting of fscal authority.

In terms of contractor selection, the role and responsibilities of
the CM-agent and those of the project architect need to be clearly
defned to avoid potential confict. Insofar as a CM-agent acts
on behalf of the owners interests, he or she may incur liability in
addition to that for design and construction decisions.
CM-constructor: The construction-manager-as-constructor
delivery method enables the construction manager to assume
all the responsibilities and liabilities of a general contractor. The
approach is similar to traditional project delivery in that it maintains
a contractual relationship between the owner and architect. It also
offers some of the benefts of the CM-adviser approach by bringing
advice on cost containment and constructability early on in the
process. The architect works separately with the owner to develop
documentation that delineates the scope, functional requirements,
and aesthetics of a project. These scope-of-work documents can
then be used either to competitively bid or to negotiate the selection
of the CM-constructor, and the CM-constructor architect assists
the owner in this process. The CM-constructors and the architects
responsibilities for design and construction decisions must be
carefully delineated in the contract documents.
Integrated Project Delivery
In recent years, Integrated Project Delivery (IPD), which is made possible
by sophisticated Building Information Management (BIM) has become the
focus of much discussion. With IPD, the architect, consultants, contractor,
owner, fabricator, and subcontractors joint own a 3-D computer model
of the project. Everyone shares in the liability, and collaboration among
all parties begins from the inception of the project. Each party shares its
expertise as well as the risks and rewards. The IPD approach lends itself
to design-negotiate-build and design-build delivery, but as defned above,
is less practicable for traditional design-bid-build projects.
Written by Brian K. Schermer, PhD, RA
Brian Schermer is an associate professor of architecture at the Department of Architecture
at the University of Wisconsin-Milwaukee.
Written by Robert Greenstreet, Int. Assoc. AIA, RIBA
Robert Greenstreet is an architect currently serving as dean of the School of Architecture
and Urban Planning at the University of Wisconsin-Milwaukee.

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Learning from AIA Bidding Documents
AIA Contract Documents provide a detailed, generally accepted procedure for contractor selection with
which all entrants should become familiar.
Download sample copies of the following AIA Contract Documents associated with the bidding process and
review them for consistency with the concepts presented in the narrative.
A305, Contractors Qualifcation Statement
A310, Bid Bond
G612, Owners Instructions to the Architect Regarding the Construction Contract
A701, Instructions to Bidders
Activity - Core
Take a look at fle copies of as many of these documents as you can for a project that your frm or a
mentors frm has completed recently. Write a summary answering the following questions:
Which documents were utilized?
Were there any changes that your frm has made in following standard bidding and contract
negotiation procedures as detailed in the documents and described in the narrative?
What was the purpose behind those changes, and did they positively or negatively affect the
outcome of the bidding process in terms of minimizing your frms liability or the overall success of
the project?
Write a report summarizing your conclusions. Be sure to note any potential pitfalls, problems or
challenges you feel a project manager should be aware of, based on your analysis of both the documents
and the fle copies.
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Completion of Bid Forms for a Project
With the help of the project manager in your frm or an IDP mentor, fnd a set of drawings that were issued
for bid, completed bid forms, and any addenda that were issued in your frms archives. Do not review the
addenda or forms just yet.
With the bid drawings you found as the basis, complete your own set of bid forms for the project. Review
the drawings carefully and decide what, if anything you should include in an addendum to be issued to the
bidders.
Compare what you have to what was done for the original project. Make any necessary adjustments to
what you have prepared.
version as a PDF.
Activity - Core
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Attendance at a Pre-Bid Meeting
Prior to contractor selection, potential bidders may attend a pre-bid conference to ask specifc questions
about the project. Their perspectives are useful in gauging their concern about the procedures that will
involve them in considering their bids.
Activity - Core
Arrange to attend a pre-bid meeting in your area and take notes on the proceedings.
What kinds of questions come up?
How do the participants behave?
Do they appear to use their questions to posture and jockey for advantage, or do they simply want
to get their questions clarifed?
Does the process appear to follow to the steps, suggestions, and requirements described in the
narrative of this chapter?
If the process strays from what is described in this chapter, does it put the project and the
participants at risk?
Write a memo to the individual conducting the pre-bid meeting summarizing your observations and
outlining fve questions asked by the contractors with your proposed responses. Include recommendations
on how to make the next meeting for a similar project better.
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Attendance at a Public Bid Opening
After all of the proceedings have been put into place and the bidding contractors have proposed their bids,
the bid opening brings the process to an abrupt, and hopefully productive, conclusion. Obviously, stakes can
be high, so the procedures must be followed carefully.
Attend a public bid opening in your area and take notes on the proceedings. Be sure to arrive 30 to 60
minutes early so you see the process from start to fnish.
How many people arrived early? How early did they arrive?
Were any questions asked?
How did the bidders behave?
Was the opening what you expected? How did it differ and why?
After the meeting concludes be sure to observe any side conversations amongst both the high and low
bidders. Prepare a report that summarizes your observations. Include overall comments from the bidders
and any obvious reasons for their comments. Also include aspects of the bid opening that were handled
well and which were not. Make any recommendations for improvement.
version as a PDF.
Activity - Core
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Project Delivery Approaches
Every project will exhibit its own characteristics and challenges and it is important to become familiar with as
many examples as you can.
For this activity, gather information about completed building projects or projects in progress from several
supervisors and project managers at your frm or your mentors frm. Choose at least three projects
(preferably using three different project delivery methods, if possible).
Record information on how contractors were selected for each project using the following suggestions as
a basis for your research:
Identify the strategies used to select contractors for each project.
Characteristics of the projects associated with each project delivery method, including project type,
size, complexity, and client experience.
Find out what you can about the bidding and negotiation processes. For example, fnd out how
many bidders there were, what they bid, and which contractor was selected.
How did the bids compare to the original estimates?
Try to determine how the selection process set the stage for the successful completion of the
project or for subsequent diffculties.
Would the project outcome have been dramatically different if another mode of delivery had been
used?
Did any ethical dilemmas arise? Any issues of legal liability?
What did your frm do well in the process? Did the frm do anything questionable or worth
rethinking?
Write a report summarizing your review of the three case studies. Create a chart or matrix for quick
reference for later use.
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Activity - Elective
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Design Without Compromise & the Bid Package
In this scenario, you are working with a private foundation to design offces for its national headquarters. The
board of directors agrees in principle with your vision of an environmentally sustainable building, although
board members voice some concern about additional up-front costs related to certain features. You believe it
is better to send the project out for bid with the sustainability design concepts fully intact and to deal with the
inevitable compromises and value engineering later. The bids arrive and they are, to your clients dismay,
much higher than anticipated. In a letter, the board expresses profound disappointment in your leadership
and professional advice. The letter contains the veiled threat of a lawsuit. You learned in school that a
project needs a strong design concept to withstand the inevitable erosion that is part of getting a building
built. In this case, though, your strategy for getting the project past the bidding stage without compromise
seems to have backfred.
In a letter to your client, communicate what you can do to salvage the project and your relationship with
the client. Does AIA Document B101, Standard Form of Agreement Between Owner and Architect, offer
any guidance? Download a sample copy of AIA Document B101.
Consider questions such as these:
Should you revise the drawings at your own expense?
How might you have structured the contractor selection and/or bid package to deal with what you
now realize is a very unpredictable bidding environment?
version as a PDF.
Activity - Elective
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Rebar Construction Revokes its Bid
In this scenario, three weeks after the public bid opening for a public parking garage project, Rebar
Construction informs you and your client that its bid contains an error signifcant enough to raise the price
above that of the next lowest bidder. Based on your previous experience with the contractor, you suspect
that Rebar has obtained another, more lucrative contract, and that it is concocting the error to get out of the
parking garage job. Rebar insists that it made an honest mistake and cannot be held to the bid.
Download a sample copy of AIA Document A701, Instructions to Bidders. Review the document and
prepare a memorandum to the client addressing the following questions, and explain the reasoning
behind your answers:
Should Rebar be held to its original bid?
Does Rebar need to prove that they made an honest error?
Should the contractor be allowed to adjust the bid?
Should Rebar be liable for the cost of the difference between its original bid and the next lowest?
How would you frame the options for the client, and what are the potential consequences of each
course of action?
version as a PDF.
Activity - Elective
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Bids for an Elementary School
In this scenario, your practice was retained to design a new elementary school for the local school board. A
budget of $7,000,000 was set at the outset of the project, and you followed through with a comprehensive
cost control program during design. You are confdent a bid or bids will be received below budget.
Two days ago, you attended the bid opening at the school boards offces. You analyze the bid results in
Exhibit 3A-1 and prepare a report for your client.
In the meantime, however, you have received a letter from the chairman of the school board (see Exhibit
3A-2).
All you have to work with is the bid tabulation summary as the detailed analysis has not yet arrived from
the client. You are under pressure to respond immediately. Write a response to this letter containing the
following:
Your explanation of the gap between the low bidder and the remaining bidders
A recommendation of whether to accept or reject the low bid
If the low bidder is accepted, special precautions the owner should take
If that low bidder is not accepted, address how you would deal with a likely protest from the low
bidder
Additional steps you would recommend and the time necessary to make a fnal recommendation to
the owner.
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Activity - Elective
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Alternates & the Over-Budget Project
In this scenario, your client, Green Valley Center for the Performing Arts, has been planning a new facility
for nearly ten years. The budget has always been tight, and the scope of the building program ambitious. It
includes a theater, recital hall, dance studios, classrooms, and numerous ancillary facilities that will combine
to make this the premier performing arts institution in the region. Unfortunately, about 24 months ago
fundraising began to lag because of a slow regional economy, and you had to place the project on the shelf.
But now Green Valley is backthey have achieved their fundraising goals and are ready to put the project
out to bid. You are impressed by their perseverance, but you have to tell them that the local construction
market is now bustling, and the bidding climate does not look favorable. You expect the bids to come in high,
perhaps as much as 20 percent higher than you would have anticipated two years ago.
Determine how the bidding package could be structured to help the clients realize their dream. Explain in
a memorandum to the client how the bid package might be restructured using alternates to successfully
select a contractor. What are the major strategies you would suggest to your client? What other cost
savings could you recommend to them?
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Activity - Elective
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Bidding Procedures Public vs. Private
During the bidding process there are procedures that must be adhered to strictly. These procedures are
often very clear and somewhat scripted for public works.
Research the public bidding process within your jurisdiction. Interview a project manager within your frm
or your mentors frm about bidding procedures for private sector work. Write a report comparing and
contrasting the two types of procedures. Be sure to note what procedures are consistent across both
areas of bidding. Include which process you believe is better and why.
version as a PDF.
Activity - Elective
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Pulling the Plug on the Electrical Sub
In this scenario, the contractor for a publicly bid state correctional facility project has submitted a list of
subcontractors for the job. You feel compelled to object to one of them, Flicker Electric. In your experience,
Flicker bids low and tries to make up the difference in change orders. The company often complains about
lack of coordination among the architectural and engineering drawings and specifcations. They have
delayed more than one job because of their unreliability, and they have a penchant for damaging the work of
other subcontractors and then denying responsibility. The owner, Will Flicker, is unpleasant, and you would
like to avoid working with him. The problem is that eliminating Flicker will almost certainly raise the base bid
above that of the next bidder.
Write a memorandum to the contractor that rejects Flicker Electric, while protecting your frm from liability
and preserving the integrity of the public bidding process. Be mindful of specifc pitfalls you must avoid in
discussing your objection, specifcally, inaccuracy, subjectivity, and hyperbole.
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Activity - Elective
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Bidding Error on the Up and Up?
The following case was adapted from Barry Wasserman, et al., Ethics and the Practice of Architecture (John
Wiley & Sons, 2000).
In this scenario, you are hired by a small city to provide design and construction administration services for
a new elementary school building. Knowing that the $1.2 million budget for the project is tight, you work with
the client to provide maximum fexibility to adjust the scope of the project by including two additive alternates
and fve deductive alternates. Five contractors bid on the project, and the bids are announced in public at
your offce. Representatives from all fve bidders are present. The lowest bidder is Sound Construction. It is
awarded the contract on the basis of its base bid; even with the additive alternates, Sound Construction is
the lowest bidder.
The next day, Sound Construction calls to inform you that its electrical subcontractor has made a serious
error, omitting the cost of light fxtures. The total error is $20,000, enough for Sound Construction to seek
to add the amount to its original bid. Without the addition, Sound will have to withdraw its bid entirely. Even
with the additional $20,000, Sound Constructions bid is still be the lowest. Your frm has worked with Sound
Construction before, and you believe the company is honest. You have never worked with the second lowest
bidder.
Prepare a recommendation letter to the client summarizing the situation and answering the following
questions. Be sure to explain the reasoning behind your answers:
Should Sound Construction be allowed to adjust its bid? Provide reasons.
Should you tell Sound Construction that its bid cannot be changed or withdrawn?
Should you declare the lowest bid invalid and force the owner to accept the second lowest bid
which would obligate the owner to pay more for the project?
What ethical considerations, if any, are due to the bidders?
How does the fact that this is a publicly bid project complicate the decision?
version as a PDF.
Activity - Elective
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The Late Bid
In this scenario, at precisely 12:01pm, the municipality of River City, Iowa commenced with the opening of
bids for the construction of a new library. All bids were due exactly one minute earlier at noon that day. At
12:10pm, one of the local contractors, Harold Hill of Hill Construction, burst into the hearing. Apologizing
for his tardiness, Mr. Hill handed his sealed, opaque envelope to the city offcial who was opening the bids
and reading them aloud. There was a rehearsal of the marching band blocking Main Street, just as I was
approaching City Hall, he explained. The city offcials and Marian, the librarian, look to you for guidance. You
sense an impending lawsuit from Hill if you recommend disqualifying his bid, or from the other contractors if
you do not.
What is your advice to River City, and what specifc legal and contractual points support your position?
Write your answer in the form of a pre-emptive letter to your attorney.
version as a PDF.
Activity - Elective
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Exhibit 3A-1
Back to Bids for an Elementary School
352
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Exhibit 3A-2
Back to Bids for an Elementary School
353
3A
notes
354
3A
3B
Construction
Administration
activities - core*
introduction
371
372
373
374
375
376
377
378
379
380
381
382
383
370
370
356
Understanding Procedures of the
Change Process
narrative 357
Understanding Construction Phase Activities &
Project Communications
Questionable Stored Materials
Tracking the RFI Process On-Site
Impartial Determination of Substantial
Completion
Determining Construction Phase Workload
Determining Construction Phase LEED
Certication Responsibilities
Negative Results from Late Wind Tunnel Test
Saved by a Scope Change?
Solutions for a One-Inch Code Violation
Processing an Unacceptable Substitution
Request
Certication of Nonconforming Work
Design Not Suitable for Use
Forced Substitution of Skylights
exhibits
-----
Construction Administration
356
resources
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Internships.aspx.
2008.
Chapter 12.5 -
Construction Contract
Administration
Chapter 13.5 -
Construction Cost
Management

2001.
Chapter 14.4 -
Construction Cost
Management
Chapter 18.7 -
Construction
Management
Chapter 18.9 -
Construction
Administration
2009.
Chapter 8.5 -
Construction Contract
Administration
Chapter 9.4 -
Construction Cost
Management
Introduction
of the activities involved in construction administration. The following
Minimum Construction Administration Experience: 240 Hours
Defnition: Tasks carried out in the architects offce include facilitating
project communication, maintaining project records, reviewing and
certifying amounts due contractors, and preparing change orders.
Tasks
Respond to Requests for Information (RFI)
Issue Architects Supplemental Instructions (ASI)
Process shop drawings and submittals
Process Change Orders
Review and certify contractors application for payment
Review material test reports
Record changes to the contract documents
Provide substantial and fnal completion services
Change order process
Confict resolution
Construction confict resolution
Contractor application for payment
Interpreting construction documents
Problem solving
Product and material substitutions
Project closeout procedures
Project records management
Shop drawing review
Site observation
notes
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Narrative
Construction contract administration services are the most time-consuming and record-intensive of all
professional design services and delivering them requires patience and experience. Activities are time
sensitive and carry increased legal ramifcations. Effcient organization, timely execution, and thorough
documentation are paramount for successful delivery.
Architects direct the exchange of project information and communications during construction and
coordinate any architecture work to be executed at this stage in the project. They provide information to the
contractor that cannot be fully discerned from the drawings and specifcations, including information from
other team members. In addition, the architect observes the work to determine that it conforms to the project
design and reviews submittals, acting on them within a reasonable time to avoid causing project delays.
Although architects tend to think of construction phase services as those provided on the project site,
the majority of this work is performed in the architects offce. Profciency in and knowledge of the skills
and responsibilities required to manage the architects construction responsibilities are as much a part of
construction administration as walking the job site and interacting with the contractor.
For the individual practitioner, construction administration activities offer a chance to get out of the offce. At
the same time, many of these tasks must be performed in the offce along with other projects that may be
incubating in the computer. Among larger frms, a project may be transferred from the project management
team to architects who specialize in construction administration when this phase is reached. Firms without
dedicated construction administration departments typically rely on the project manager or project architect
to execute these duties.
The Emerging Professionals Companion presents construction administration services from the design-
bid-build viewpoint, since this is the most commonly used method of project delivery. In this approach, the
architect performs construction administration services directly for the owner. In the design-build delivery
approach, on the other hand, the architect is typically a consultant to the contractor and communications
and lines of authority align with this contractual relationship. Fast-track construction scheduling requires the
architect to perform construction administration tasks more rapidly because of the compression and overlap
of project time lines. More information on delivery approaches is available in The Architects Handbook of
Professional Practice.
Team Relationships
The working relationship of the project team contributes to the effectiveness of construction administration
services, both in the offce and at the project site.
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resources
3B
interns.
Within the Offce
Project team makeup can be infuenced by the size and organization
of the architects offce. An offce without a construction administration
department may realize fewer internal team changes during the
construction phase because project staff assignments simply shift to
accommodate the required services. While the project manager begins a
regimen of trips to the project site, the team in the offce provides support
by helping with submittal reviews, document changes, and responses to
requests for information (RFIs). The project designer, who also may be
working on a new project, continues to play an essential role in design
issues and the review of design-related submittals.
Before construction commences, make sure your contract with the
owner includes required special services, such as a full-time project
representative or special consultants. Services required in the owner-
architect agreement that involve the architects consultants must be
specifcally called for in your architect-consultant contracts. The AIA
documents family provides this pass-through of services in companion
contracts such as B101, Standard Form of Agreement Between Owner
and Architect, and C401, Standard Form of Agreement Between
Architect and Consultant.
Although they are not project team members, staff members responsible
for maintaining an architecture frms library of information on specifcations
and materials may also contribute to construction administration tasks. In
particular, their cooperation is vital to the project team that must undertake
research when the contractor needs a quick response.
Outside the Offce
Friendly relationships that are benefcial both the architecture team
and other project team members make for a smoother construction
administration process. If owner, architect, and contractor forge a
collaborative relationship, this attitude is likely to extend throughout the
project team. The emergence of integrated project delivery is increasing
the opportunities for a more collaborative management initiative.
Integrated project delivery involves early participation by the contractor in
design development which allows the documents to progress more rapidly.
Submittals can be prepared sooner, and documents can contain more
information, requiring fewer clarifcations. The end result is fewer RFIs,
timelier submittal review and approval, and often an earlier construction
start.
Another popular approach for achieving a collaborative relationship
between the owner, architect, and contractor is partnering, this is a
process in which the parties jointly confront and manage project risks and
establish and promote a nurturing project environment. This relationship is
established through structured meetings designed to defne project issues
and goals, team responsibilities, and other essential project concerns.
Partnering sessions are typically managed by an outside facilitator
experienced in the process.
notes
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A variety of additional owner-retained participants may be involved in work at the construction site. For
example, some owners retain an in-house project manager, while others contract with a construction
manager-adviser who specializes in construction. The banking or lending institution may want to monitor
a projects fnancial aspects. The owner may have contracts with contractors or vendors who are not
administered under the owner-architect agreement. All of these participants may have full interaction on the
project as it is constructed, and the architects job will be simpler if he or she develops good relationships
with them.
Project Communications
Effective communications are necessary for project success because representatives of three entities
(owner, architect, and contractor) are working together during construction. Multiple decision-makers can
cause unnecessary work and frustration, not to mention potential miscommunication and delay. To keep
things running smoothly, it is important to establish a protocol for communications, document routing,
and lines of authority and review these procedures with all team members during the preconstruction
conference.
The AIA documents require the owner and the contractor to communicate with each other through the
architect about matters related to the contract for construction to ensure the architect is aware of all project
communications. This requirement provides the architect with the information needed to fulfll his or her
contractual responsibility to administer the contract between the owner and the contractor. It also alerts
the architecture frm to actions or decisions that could adversely affect delivery of its professional services.
The architect is required to certify that the construction, when complete, is in general conformance with the
contract documents. If actions are taken or decisions made that would compromise the architects ability to
fulfll this charge, it is important to be aware of this as early as possible and to notify the owner promptly.
In design-bid-build projects, the architects project manager is typically the primary project team contact with
the contractor. Architecture frm staff members communicate with the project manager regarding their areas
of specifc responsibility, and the project manager passes information on to the contractor. Any consultants
who work for the architect also communicate with the project manager rather than the contractor.
To clarify communications, the project manager usually asks the owner to designate a single contact for
communications and approvals during construction. Other owners representatives assigned to the project
and consultants working for the owner then communicate with the project manager. Nonetheless, the
architect copies the owners team members on communications and correspondence in case they have
authority that could affect the owners approval process.
The contractor also typically has a single representative who communicates with the architect about the
project. Any subcontractors working for the contractor ask questions or provide information to this individual,
who then confers with the architects project manager.
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Interaction between the project designer and the project manager is essential when submittals arrive and
critical decisions are required. Therefore, these team members are typically copied on site observation
reports and key correspondence, and they may also attend project meetings. Other team members in the
offce who are knowledgeable about specifc building components and designs may also be included in the
submittal review process.
The accompanying fowchart illustrates the traditional communications protocol in design-bid-build project
delivery. Although the owner has a contract directly with the contractor, communications between the owner
and contractor are conducted through the architect to facilitate the architects responsibility to determine if
the work is in accordance with the contract documents. Subcontractors and consultants, on the other hand,
communicate through the holders of their contracts when passing information to other team members. This
procedure allows the owner, architect, and contractor to be aware of and control their subcontracted work.
Preparation
Preparation in the architects offce for construction administration activities includes compiling a complete
set of construction documents, updating the offce fling system and project team directory, and marshalling
frm resources to support the project team.
An important management tool is the project database. This body of information contains the electronic
history of the project to date. These systems can save much time when searching for historical data. Some
company databases contain fnancial and labor data, which can be used to estimate service needs on future
projects and to monitor proft status. A variety of management software is available, and the effectiveness
and cost of these programs continues to improve.
The construction documents defne the project scope, and the owner-contractor agreement requires that
the fnished work conform to the design. Errors or omissions in your documents convey a risk that could
affect fnancial and professional stability. Therefore, it is vital that project documents be kept current and
maintained in a safe and accessible location.
Project documents are only useful if you can easily locate the ones you need. It is wise to have a company
fling protocol that is simple and adaptable so that all projects can be accessed uniformly. This will allow for
notes
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3B
easy retrieval of documents in the future and make it easy to add documents relevant to the construction
phase. Chapter 13.2 - Managing Architectural Projects, of The Architects Handbook of Professional Practice
provides sample categories for use in naming fles. At a minimum, you should have project fles close by
and be familiar with them. If a construction administrator will lead the project team instead of the project
manager, hard-copy project fles may be transferred to the construction administrators offce.
Since documents today consist primarily of electronic data on a server, necessary safeguards must be
imposed to back up the data and keep it safe. Many frms have developed a business continuity plan for
this purpose. However, from a practical standpoint, the hard-copy set remains a useful tool. This is typically
made up of all drawing sheets that have been published on the project since the contract for construction
was signed.
AIA Document G807, Project Team Directory, can be used to record contact information for project
team members. When construction begins, add new participants to your project database. It is helpful to
establish a list in your e-mail address fle for distribution of project-related information. To make sure all
project participants are included, check the owner-architect agreement for requirements regarding specifc
personnel. Also add any new owner representatives or consultants who will join the owners team during
construction. The contractors team members should be introduced during the preconstruction conference.
(Activities planned for the preconstruction conference are addressed in Chapter 3C - Construction Phase
Observation, on page 388.)
Architecture frm staff members who become involved at the construction phase should also be added to
the team directory. Internal communications and participation should be defned early. Firm activities could
include special submittal routing, design review, and progress reporting.
When the contractors submittal schedule has been received, the architect reviews it for conformance with
contract requirements and to determine if the sequencing and timing is reasonable for review by the design
team, including its consultants. Be sure to determine if consultants in any outside specialties, such as
curtain wall or roofng, should be involved in these reviews.
A list of project objectives and parameters should be maintained throughout all phases of service to enable
the project team to focus on the owners program. This can be manually documented or maintained in
a database. Either way, a list of basic project information will help you provide consistent construction
administration. AIA Document G806, Project Parameters Worksheet, is a form designed to help maintain a
single standard list of project parameters, including project objectives, the owners program, project delivery
method, legal parameters, and fnancial parameters.
The most important resource during construction is the project team. For the most part, they have been
involved since the beginning of the project, and their collective knowledge can help maintain consistency in
services. It is important to keep the team involved as much as possible until project completion. This is more
diffcult in larger frms, where team members may be assigned to other projects. The construction phase of
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interns.
AIA Document G709, Work
Changes Proposal Request,
is a form used to obtain price
quotations required in the
negotiation of change orders.
AIA Document G701, Change
Order, is used for implementing
changes in the work agreed to
by the owner, contractor, and
architect.
AIA Document G714,
Construction Change Directive,
is a directive for changes in the
work for use where the owner
and contractor have not reached
an agreement on proposed
changes in the contract sum or
time.
a project lasts longer than the design phase, and reassignment of team
members is a normal part of business. Because smaller projects require
smaller teams, group fragmentation is less of a problem for them.
Offce resources support the project team during construction administration.
These can include a products library, a specifcations library, a company
project database, and in larger frms, specialists within the offce. The sole
practitioner must look outside for assistance, and a phone fle on experts,
specialists, and friends in the business can be a valuable resource.
Construction Start-Up
When the owner-contractor agreement has been signed and the
construction phase begins, certain tasks are required to get things started.
If the owner-contractor agreement does not stipulate a date when the work
will begin, the owner may direct the architect to issue a notice to proceed.
This directive establishes the date of commencement of the work. From
this milestone, the date of substantial completion can be determined
by adding the total construction time specifed in the owner-contractor
agreement.
The owner-contractor agreement defnes the scope of work for
construction. To avoid confusion and prevent disagreement, the general
conditions of the contract for construction require the architect to
provide the contractor with a hard copy reference set of the construction
documents. This set should consist of three copies of the documents
issued for construction, noted as the contract set, with signature lines
provided for the owner and contractor. After the sets have been signed, the
owner, contractor, and architect each retain a copy for reference. Be aware
that any additions to this set of documents in the form of detail sheets or
reissued drawings may result in a change order.
An effective alternative consistent with todays technology is a digital copy
of the contract set. The hard copy signature confrmation is replaced by the
requirement that the recipient acknowledge the validity of the documents
with a mouse click before the fle can open.
The contractor is typically provided, free of charge, copies of drawings and
project manuals as are reasonably necessary for execution of the work.
The project manual is a volume assembled for the project, which may
include the bidding requirements, sample forms, conditions of the contract,
and specifcations, among other documents.
A preconstruction conference is held to introduce project team members,
establish communications protocols, and review relevant project matters.
The architect prepares the draft agenda for the meeting and sends it to
the owner and contractor for their input. Since construction activities are
generally the same from project to project, a standard draft agenda can
be edited for project specifc requirements. Review the owner-contractor
agreement and make additions or changes to the draft agenda as required.
A sample agenda is shown in the Chapter 12.5 - Construction Contract
Administration in The Architects Handbook of Professional Practice,
Fourteenth Edition.
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Construction Administration Activities
The architects construction contract administration responsibilities fall into three categories: Document
control, submittal review, and design clarifcation.
Maintaining Document Control
The architect is typically responsible for production of the construction documents. Part of this responsibility
is controlling the content and distribution of these documents to prevent disruption and miscommunication
among the project team. Construction documents continue to evolve during the construction process
because of imposed changes. Changes can result from owner preferences, proposed contractor
substitutions, material availability, or design errors and omissions. No matter their source, it is imperative
that document changes be executed in a timely manner to avoid delays. Keeping up with the status of the
construction documents and responding quickly to proposed changes will help to protect the architect from
liability arising from project delay.
If permitted by the contract, the contractor may propose substitutions of the architects specifed products
and systems. These proposals are typically submitted to reduce the cost of the work. To avoid compromise
in the quality of the work, the architect should include a specifcation provision requiring substitutions to
provide performance equal to or better than the product or system they supplant. Otherwise, a credit should
be given when a lesser performing product is accepted unless an appropriate deductive change order is
proposed along with the substitution. Remember, your specifcations were developed after much research
and trial. Consider proposed replacement products or systems carefully, and require the contractor prove to
you that the substitution is worthwhile.
Changes in the work typically require changes in the construction documents. Ideally, the architect
describes the scope of the change and its effects on adjacent work so the contractor can quote a price for
the work. The architect initiates the change process by issuing a proposal request with attached drawings,
specifcations, and instructions as required to adequately describe the change. This process is undertaken
to obtain price quotations required for negotiation of change orders.
When the contractor has prepared a quotation for the proposed change, a meeting is held to discuss the
change and review the pricing. On larger projects, multiple proposals for change may be reviewed at one
time. When the price for the change is agreed upon, the architect prepares and issues a change order. The
proposal request and related pricing are usually attached along with a description of the change. A change
order may include multiple work changes and/or proposal requests.
A change order is not effective until it has been signed by the architect, the contractor, and the owner.
The architects signature on the change order signifes the change in the project and in the documents is
acceptable to the design team. Since the design professionals are responsible for the scope defned by the
construction documents, the drawings and specifcations should not be changed without their knowledge
and consent. The design professionals signature also indicates a change conforms to the accepted
standard of practice.
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interns.
AIA Document G712, Shop
Drawing and Sample Record,
is a standard form the architect
can use to log and monitor shop
drawings and samples.
RFIs & Supplemental
Instructions
AIA Document G716, Request
for Information, is a 2004
addition to the AIA family of
documents, although it has been
in use in the industry for many
years. The new document is
generic and can be used by the
owner, architect, or contractor
to request information from any
other party.
AIA Document G710,
Architects Supplemental
Instructions, is a form architects
can use to issue additional
instructions or interpretations
or to order minor changes in
the work that do not change the
contract sum or time.
Autodesk
Buzzsaw is an
online project collaboration
service designed to manage
building project information. It
can be run within the Microsoft
Internet Explorer browser or as
a stand-alone executable.
Changes to the construction documents can be made in the form of a
descriptive narrative, a modifed drawing, or a modifed section of the
specifcations. Any document that is changed and reissued must conform
to the appropriate state statutes governing use of the design professionals
seal.
Changes in the construction contract sum or completion date can be
made without the contractors consent by using a construction change
directive (CCD). This document is used when the owner and contractor
have not agreed on proposed changes in the contract sum or time. It
was developed to address changes in the work that, if not expeditiously
implemented, may delay a project. Upon receipt of the completed CCD, the
contractor must promptly proceed with the change in the work described.
It is recommended that a CCD be converted to a change order after the
change in the contract sum or time has been determined.
Managing and Reviewing Submittals
Construction project submittals are prepared by the contractor and reviewed
by the architect or an appropriate consultant. They include shop drawings,
product literature, product samples, test reports, operating instructions
and maintenance manuals, warranties from product suppliers and
manufacturers, and designs or design calculations prepared in response to
a performance specifcation. These materials are used to demonstrate how
the contractor proposes to conform to the project design requirements.
As the holder of the prime design contract the architect is responsible for
managing the distribution of submittals to all his or her consultants. This
includes managing the routing of submittals and staying on top of time
sensitive review schedules.
It is important that the contractor be required to provide a submittal
schedule along with the construction schedule early in the project. On
some projects, providing this information is a prerequisite for processing
the frst application for payment. The architect reviews the submittal
schedule to determine if the sequences and time allowed for review are
reasonable. A maximum time for submittal review is often stipulated in the
owner-contractor agreement, and it is important to determine if the time
allowed is suffcient. For example, receiving a large number of submittals
at one time could make effective review impossible within the contracted
time constraints. Also, if submittals for project detailing such as doors,
frames, and hardware are not submitted at the same time, review will take
much longer. A time period commonly stipulated for submittal review is 10
business days.
Submittals must be logged and tracked when they arrive in the architects
offce. Untimely submittal review is a popular basis for claims for delay,
and a submittal log can become the architects best source for verifcation
of submittal activities. Such a log can be maintained in hard copy or with a
software management program. If a program is provided by the contractor,
make sure the activities and tracking protocols of all participants are
included in the log. Be sure to keep an up-to-date copy of the submittal log
in a secure location as a backup.
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Assignment of document control numbers is necessary for effective management of submittals. You can use
simple ascending numbers or a more elaborate numbering system. The contractor should affx the control
number to the submittal upon receipt from a subcontractor or vendor and prior to submission to the architect.
All submittals, along with all other correspondence received by the architect, should be stamped received
and recorded immediately in the architects submittal log so the dates in the log and on the document
correspond.
The owner-contractor agreement and the general conditions of the contract for construction require the
contractor to review each submittal prior to submission to the architect and mark them up with corrections
and coordination notations prior to submission to the architect. Prior to the 2007 AIA Contract Documents
revisions, a contractors review stamp was required, however current AIA documents state that submission
is a representation that the appropriate review has taken place.
When the architect has reviewed a submittal, it should be stamped with the appropriate review stamp. Such
stamps typically indicate actions such as approved, approved as noted, revise and resubmit, or rejected.
Wording on the stamp can vary, but should refect the language of the owner-contractor agreement and the
general conditions of the contract for construction.
Make sure team members familiar with specifc building components and designs, such as the curtain wall
system or doors and hardware, are included in the submittal review process. It is especially important to
include the project designer, if different from the project manager, in the review of fnish materials.
To avoid taking on increased risk, architects should review only the submittals required in the specifcations.
However, the architect may review as-built drawings or designs by a professional hired by the contractor.
In such instances, the submittals are reviewed with respect to their effect on the design intent and not for
accuracy.
Clarifying Construction Documents
Construction documents can never be complete enough to answer every question a contractor or
subcontractor may have. Thus, contractors often ask the architect to clarify what is expected when, for
example, they are selecting products. The architect must provide these design clarifcations in a timely and
effcient manner. Whether you are answering requests for information or issuing supplemental instructions,
your response timing may affect the construction schedule.
Requests for clarifcation usually come from the contractor in the form of a request for information (RFI),
and e-mail is the popular medium for submitting them. RFIs are typically included in electronic document
management software programs such as Buzzsaw, although they can be managed manually. Documents
the architect may request from the contractor include the submittal schedule or a pricing response to a work
change proposal. RFIs should be logged and tracked like submittals. Since the RFI process is the most
popular basis for claims by contractors, timely management and accurate tracking are essential.
In the architects response to an RFI, there is often a fne line between clarifying project requirements and
adding scope to the contractors work in the architects review comments. When architects set out to clarify
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RFI - Request For
Information
CCD - Construction
Change Directive
documents, they have to take care not to increase the scope of work.
Contractors often claim scope has been added when an architect marks up
shop drawings because it is tempting for the architect to fll in information
that should have been include originally. Ideally, the architect will provide
a clarifcation that includes no added scope when issuing supplemental
information to the contractor. In the event the contractor believes a change
in contract sum or time is involved and the architect agrees, the contract
for construction should be amended to refect the change.
Documentation
Construction administration services consist of many intangible activities,
such as making decisions, giving directions, and taking actions, and
the participants are judged by the timeliness as well as the accuracy
of their performance. Accordingly, such activities are recorded in logs,
confrmed in letters and memoranda, or recorded in a meeting report. This
documentation is then available to support the quality of services rendered
should anyones actions be called into question later.
All important conversations in which critical information is discussed and
all important actions should be documented in writing. The architects
documentation can include:
Reports (meeting, site observation)
Certifcations (payment, substantial completion)
Requests for information
Additional services agreements
Work change documents (change orders, construction change
directives, architects supplemental instructions)
Notices (to owner, contractor, surety)
Miscellaneous communications
Documentation generated and maintained by the contractor can include:
Submittals (shop drawings)
Schedules (construction, submittal)
Certifcations (work compliance, payment application)
Design calculations (if required by specifcations)
Approvals (changes)
Notices (to owner, architect)
Punch lists
Owner documentation can include:
Approvals, authorizations (changes, notice to proceed,
nonconforming work)
Site civil information
A record of meetings, discussions, decisions, and approvals, if not recorded
by the documents listed above, should be recorded in a meeting report,
document log, transmittal letter, or memorandum. Finally, the architect may
choose to keep a journal to record important project communications.
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Meeting Reports
The meeting report is the most common method used to record actions taken and decisions made. If a
meeting is not recorded, it is diffcult to justify why it was held, as apparently no important decisions were
made. A meeting report should include the following information, at a minimum:
Project name Purpose of meeting
Project number Issues discussed
Date Decisions made
Attendees Deadlines
The report should be compiled and distributed as soon as possible after the meeting. For repetitive meetings
such as scheduled project meetings, the meeting report can be used as the agenda for the next meeting.
Document Logs
Repetitive tasks are best tracked by logging. A log should have all relevant information, including critical
dates for initiation, receipt, and transmittal; action taken; and fnal disposition. Logs typically used by
architects during construction administration include these:
Construction documents issue log (usually cover sheet on drawings)
Supplemental drawing log
Request for information (RFI) log
Submittal log (AIA Document G712, Shop Drawing and Sample Record, can be used for recording
submittal review data such as number of copies and dates received and transmitted.)
Architects supplemental instructions (ASI) log
Construction change directive (CCD) log
Work changes proposal request log
Change order log
Related documents such as proposals for change and change orders should be cross-referenced in each
log. All documents should be numbered for effcient identifcation and to avoid confusion.
Transmittal Letters
The most effcient method of recording the fow of information between parties is a transmittal letter.
Transmittals document the exchange of project information and act as a checklist reminding the sender
to tell the recipient what exactly is being sent, how the material is being sent, and why. For example, AIA
Document G810, Transmittal Letter, is designed to serve as a written record of the exchange of project
information.
A transmittal letter should contain the following information:
Project name
Project number (if applicable)
Date
Senders name and company
Receivers name and company (can be multiple)
Complete description of transmitted material
Method of delivery (courier, U.S. mail, etc.)
Reason for sending
Copies to others
Standard forms do not require a transmittal letter if they are tracked by a log because the forms contain the
basic project information and the document and reason for sending it are obvious. Approved methods for
delivering transmittal letters and standard forms between project team members should be discussed at the
preconstruction conference.
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Memoranda
A memorandum can be written to another person or to your fle. While a memorandum can be presented in
many graphic formats, the primary objective is to capture the information for future reference. At minimum,
the following should be included in a memorandum:
Date
Project name
Project number
Subject
Recipient (if appropriate)
Author
Subject matter
Persons copied
The text of a memorandum can include discussions, conclusions, facts, or observations relevant to the
subject. Sending the document to the participants and allowing them to respond with corrections or
clarifcations will give credibility to your written record.
Journal
Another documentation tool available to the project manager or construction administrator is the journal.
This can take the form of a bound book, a ring binder, loose papers in a fle, or data in a computer. Whatever
its form, a journal can be used by the design professional for personal organization and documentation and
as a place to prioritize daily activities. If the journal is kept chronologically in a book or binder, it will provide
ready reference to historic events. The architect can maintain a separate journal for each project or a single
journal that contains records of multiple projects.
Project Closeout
The project closeout activities administered in the architects offce are addressed in the owner-architect
agreement. They include production of punch list modifcations and additions, review of the contractors
closeout submittals, and preparation and issuance of the certifcate of substantial completion and the
fnal change order. More detailed requirements may be included in the specifcations in Section 1 of
MASTERSPEC.
Punch List
On large projects, preparation of punch list modifcations and additions can be a big job. When multiple
project team members review the contractors punch list, the infux of revisions may require many hours to
publish. It is wise to discuss project completion sequencing with the contractor before project completion is
reached to anticipate punch list administrative needs.
Pre-punch items encountered on site visits can be discussed with the contractor and subcontractors to make
them aware of areas of concern and to establish the expected level of quality. This should help streamline
the punch list process.
Closeout Documents
The contractors closeout submittals typically include warranties and guarantees, record drawings, as-
built construction drawings, specifcations and submittals, operations manuals, maintenance schedules,
operations videos, and attic stock (extra materials). These items are usually submitted at once, flling up
the project managers offce space. They must be reviewed to determine if the contractor has fulflled its
contractual requirements for closeout submission before delivery to the owner. The design professional does
not review this information for accuracy, as that is the contractors responsibility.
notes
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Final Change Order
When it has been determined that the work is completed under the construction contract, a fnal change
order must be issued to reconcile outstanding contract issues. These may include the following:
Allowance balances
Contingency balances
Unresolved unit prices
Contract savings
Reimbursement for owner accepted non-conforming work
Reimbursement for scope reductions
Contractor bonuses
Contractor penalties
Liquidated damages
Deductions for additional design services
Additional contractor general conditions costs
Weather related time extensions
Delay related time extensions
The fnal change order must be executed and included in the fnal application for payment before fnal
completion can be achieved.
The construction phase brings the owners project to reality, and its challenges and problems often linger
in their mind longer than design phase experiences. The actions taken by the construction contract
administrator during construction can become good memories or bad ones. Relationships can be built or lost
by how well the architect administers and resolves the issues.
Written by James B. Atkins, FAIA
Jim is a senior vice president/principal with HKS Architects in Dallas, where he is involved with the frms quality management and
education program, DoubleCheck. He serves on the AIA Documents Committee and the AIA Risk Management Committee.
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Understanding Procedures of the Change Process
Changes are made on almost all projects. They can be caused by owner decisions, errors or omissions, or
unforeseen circumstances such as differing soil conditions. Most projects require a fnal change order to
reconcile allowances, unit prices or contingencies.
Changes in the contract tend to be questioned because they usually increase the contract price. Owners
often do not understand or accept the causes and circumstances surrounding a change. The construction
contract administrator must know the change process, manage it effectively, and take appropriate action so
that the process itself does not penalize the project.
In this scenario, you are providing construction phase services on a four story offce building. The project
delivery is design/bid/build with a fxed fee construction contract. The building frame has been topped out,
and the roof and exterior skin has been completed. The project was designed for a single tenant with the
reception area immediately off the main entrance. Each foor is open with no circulation corridors.
The client calls you up and informs you that the prime tenant deal has fallen through. He now wants the
building changed to accommodate multiple tenants. This will be the third change order on the project.
Activity - Core
View and download the following sample documents for reference:
AIA Document G701, Change Order
AIA Document G709, Work Changes Proposal Request
Prepare the appropriate change documents for administering the owners requested change. The frst
document that you will prepare is the Work Changes Proposal Request. If possible, review change
documents from an existing project and consult with your IDP supervisor, mentor or a senior construction
administrator. When you are preparing the document, answer the following questions:
How soon should I request the contractor to submit the price?
Should I send a notice alerting the contractor of the change so that demolition can be minimized?
What fee should I charge for this signifcant change in project scope?
You receive the contractors quotation for the change, and it is time to meet with the owner and contractor
to review the costs. Prepare a memorandum requesting a change order review meeting. As you prepare the
memorandum, answer the following questions:
Who should attend the meeting?
Where should the meeting take place?
What documents should I take to the meeting?
The owner approves the change in the meeting, and it is time to prepare the change order. As you do your
work, answer the following questions:
Which documents will be referenced in the change order?
To whom is the change order sent to frst for signature?
What is the distribution of the change order?
How will the change order be tracked on the contractors application for payment?
Prepare a fow chart illustrating the change process and the documents involved including the meeting
notice. Share your work with your IDP supervisor or mentor and make suggested changes.
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Understanding Construction Phase Activities & Project Communications
In this scenario, the client is a private company, the delivery mode is design/bid/build, the project is a
10-story offce building, and the owner has retained your architectural frm to provide contract administration
services. You are planning your work to be performed during the construction phase which meetings to
attend and the routine tasks to be performed. The project team includes the following:
MASTERSPEC, Section 1
The Architects Handbook of Professional Practice, 14th ed. Chapter 12.5 - Construction Contract Administration
AIA Document A101, Standard Form of Agreement Between Owner and Contractor
AIA Document A201, General Conditions of the Contract for Construction
AIA Document B214, Standard Form of Architects Services: LEED
Certifcation
Read the reference documents listed above thoroughly and prepare the following lists. (You may wish
to consult meeting reports and communication documents from an existing project.) List the activities
typically performed by the architect and the contractor during the construction phase. Categorize your
listing based on contractorsubcontractor interaction, contractor-architect interaction, and architect
consultant interaction. Prepare a fow chart representing the lines of communication. Prepare a weekly
schedule of the architects activities. Answer the following questions:
Which tasks will be ongoing?
Which tasks will be intermittent?
How often will the architect visit the site?
What meetings will be held?
Who will attend each meeting?
How will payment applications affect the timing of site visits?
How often should a feld observation report be issued?
List the types of communications that will occur between the following parties during the construction phase:
Architect Owner
Architect Contractor
Architect LEED facilitator
Owner Contractor
Owner Architect Contractor
Most of these activities will be repetitive, such as the architect reporting the work status to the owner, but
some will be task driven, such as a construction detail resolution.
version as a PDF.
Activity - Elective
Owner
Owners equipment contractor
Architect
Structural engineer
M/E/P engineer
Architects site representative
Contractors project manager
Two contractor superintendents
Four contractor site foreman
Mechanical subcontractor
Electrical subcontractor
Plumbing subcontractor
Contractors scheduling consultant
Test lab representative
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Questionable Stored Materials
Some ethical dilemmas may actually be illegal acts. In this exercise, you must determine whether an
unlawful condition exists.
In this scenario, you are providing construction contract administration services for the interior of a small
offce building. The construction contract is based on the cost of the work plus a fee. The shell has been
completed, and your contract is approximately 80 percent complete. You visit the project to review an
application for payment and to determine whether the work completed is accurately refected in the
document.
The foor covering is carpet, and you are directed to a warehouse on site where it has been stored. You
check the tags and fnd that 3,000 square yards of carpet is stored. You look at the application for payment,
and it matches the information on the tags.
You return to your offce and are checking a change that was made on the drawings when you see a
handwritten note on the corner of the drawing. It says, 2,500 square yards total. You ask the interior design
manager about the note, and she says that the carpet supplier was in the offce, and they did the takeoff
and left the note. It is a cost-of-the-work contract, and the owner pays for all materials. It appears that more
carpet was ordered than necessary, and someone will end up with the extra carpet. Could the amount be
the overage required by the contract for stored material, or is the contractor intending to keep the excess?
You call the contractor about the extra carpet. He says, Dont be concerned, its none of your business.
But it is your business. You are required to determine if the stored materials are appropriate for the work.
Although you are not responsible for measurements, you must explore the variation.
AIA Code of Ethics and Professional Conduct
Write out a plan for resolving the situation. There may be a legitimate explanation for the additional carpet,
but what must frst be determined? As you prepare your plan, answer the following questions:
Does the owner want the extra carpet for attic stock?
Could there be a separate contract in the works outside your contract?
Could the overage be anticipated waste?
Remember that title to the product transfers to the owner upon payment, and the owner may not wish to
purchase the extra carpet.
Your plan will include communication with the owner. Prepare a memorandum to the owner and contractor
advising of your fndings and requesting an explanation. Advise them that if none can be given, you will
approve for payment only the yardage needed including reasonable waste.
Request that the carpet subcontractor provide his layout sheets for carpet cuts to substantiate the
yardage.
version as a PDF.
Activity - Elective
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Tracking the RFI Process On-Site
The RFI is the primary method for contractors to obtain clarifcations from the architect regarding the intent
of the contract documents. In recent years, the RFI has become a universal tool for obtaining information by
the architect and owner as well.
Other fles such as change orders, meeting reports, ASIs, CCDs, and journal entries, if available.
AIA Document G716, Request for Information
Track the full path of three contractor RFIs on an existing project in your offce. Review the fles and select
RFIs that include drawing details provided by the architect.
RFIs that involve a supplementary detail from the architect often result in a change to the contract. In this
case, the change should be administered through the prescribed change process using appropriate AIA
documents. As you review the RFIs, answer the following questions:
Did the sender also propose the fx?
Did the RFI result in a change to the contract?
What change documents were used to effect the change?
Was there a dispute over the resolution of the change?
Were consultants involved with the issue?
Locate the supplementary details provided by the architect and any revised contract documents refecting
the change. Answer the following:
Did the architect revise the contract documents to refect the change?
Did the contractor include the change in their contractor marked-up drawings?
Prepare a report on the three RFIs describing how they were administered. Include copies of all supporting
documentation. List everyone that was involved and their method of communicating. If the issue resulted
in a change to the contract, list the documents used to administer the change. If meetings were held to
discuss resolution of the issue, list the purpose of the meeting, the attendees and the resolution.
As a fnal step, answer the following questions:
Was the RFI detail really necessary to express the design concept expressed in the contract
documents?
Should the contractor have generated the detail as a clarifcation drawing and part of the
contractors work plan?
Should the appropriate subcontractor have generated the detail as part of their shop drawings for
that portion of the work?
version as a PDF.
Activity - Elective
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Impartial Determination of Substantial Completion
AIA Document A201, General Conditions of the Contract for Construction, and AIA Document G704,
Certifcate of Substantial Completion, require the architect to render decisions impartially. This requirement
is without exception, and it requires open, candid communication and disclosure.
In this scenario, you are providing construction contract administration services on a project that has
substantial liquidated damage provisions for late completion as well as a generous bonus of $10,000 to the
contractor for each day of early completion.
The contractor has informed you in writing that the project is substantially complete, and you have
conducted the appropriate inspection. You fnd that the project is substantially complete and available for the
use intended on July 11, 2013, ten days before the contracted substantial completion date.
The owner calls you up and tells you that the punch list items will not be completed or corrected until fve
days after the contracted date, and you are to certify substantial completion at that time.
AIA Document G704, Certifcate of Substantial Completion
Review A201 to determine the requirements for impartiality in providing professional services. Quote the
section with a written description of its meaning in practice.
Write a memorandum to the owner and copy the contractor citing these provisions and advise of the
accurate date of substantial completion. In the memo, advise the owner, based on the contracted bonus
clause, the total bonus amount payable to the contractor.
Prepare a Certifcate of Substantial Completion that indicates the date of substantial completion.
Remember that the certifcate will require two dates, the determined date of substantial completion, and
the date of issuance. As you prepare your memorandum, answer the following questions:
How can the memorandum be written to help the owner understand the requirements for
substantial completion?
What examples can be given to show that the completed work is available for the use intended?
Should the bonus amount be added to the construction contract by change order?
version as a PDF.
Activity - Elective
375
3B
Determining Construction Phase Workload
A thorough understanding of the activities involved in the construction phase is necessary in order to
effectively plan and administer construction services. Knowing when activities occur will allow for load
shifting and increased staffng to accommodate project demands.
This exercise will provide an overview of the construction phase work activities of a project based on the
documents generated during the work process.
AIA Document G702, Application and Certificate for Payment
Examine the fles of a completed project in your frm to determine workload requirements based on the
records listed below. Establish a graphic timeline for the duration of construction in monthly increments,
and record the activities accordingly. As you begin your research, answer the following questions:
What was the level of complexity of the project?
Was project completion timely or late?
Were owner scope changes reasonable or extensive?
Was the project location local or out of town?
Was the overall offce workload heavy or average?
Examine the following project documents:
RFIs: Review the RFI log and chart the number of RFIs processed each month during construction.
Submittals: Review the submittal log and record the number of submittals processed each month.
Determine if a submittal schedule was provided.
Meeting reports: Review all meeting reports and record issues that required additional labor to
accomplish or resolve.
Payment applications: Review all application and certifcate for payment forms (G702 & G703).
Track the inclusion of approved change orders to determine the fnal contract amount, completion
duration, and date of substantial completion.
Punch lists: Review all punch lists to determine the amount of work remaining for completion or
correction after substantial completion.
Certifcate(s) of substantial completion: Review all certifcates to determine if the originally
scheduled date was met.
Change orders: Review all change orders and related change documents to identify issues and
events that required additional labor. Record these on the timeline.
Site visits: Review the feld observation reports, and record the number of site visits conducted
each month.
Staffng: Query personnel assigned to the project to establish the amount of labor required during
construction. Review timesheets if available. Determine the workload by total hours expended
each month.
Personal journal/notes: Review available journals and notes to identify issues that affected work
requirements. Record signifcant issues on the timeline.
version as a PDF.
Activity - Elective
376
3B
Determining Construction Phase LEED Certication Responsibilities
LEED is becoming widely accepted as the standard by which high-performance buildings are measured.
This exercise will address the responsibilities of the project teams offce responsibilities for LEED
certifcation services during the construction phase.
Use documents from a completed project that has been LEED certifed or is pursuing LEED certifcation as a
case study.
Completed LEED project documents
Examine the fles of a completed project in your frm to determine the construction phase offce
responsibilities of the project team. Project documents from the completed LEED project include:
Drawings
Specifcations
LEED submittals
Project materials cost data
LEED action plans
LEED progress reports
As you begin your research, answer the following questions:
What is the LEED certifcation rating?
Did the project achieve the certifcation level that was originally pursued?
How were LEED submittals processed compared to typical project submittals?
What was the total number of LEED submittals?
What was the total cost of LEED related project materials?
Examine the following project documents:
RFIs: Review the RFI log for LEED related questions.
Submittals: Review the submittal log and record the number of LEED submittals processed.
Meeting reports: Review all meeting reports for LEED related communications and activities.
Change orders: Review all change orders and related change documents to identify LEED issues.
Site visits: Review the feld observation reports for observations related to LEED.
Staffng: Query personnel assigned to the project to determine the amount of time that was
required to administer LEED related activities and responsibilities.
Personal journal/notes: Review available journals and notes to identify LEED issues that affected
work requirements.
Assemble your fndings in a report and categorize the fndings based on typical construction phase offce
activities. Determine the premium in hours and costs to administer the construction phaseoffce portion
of a LEED certifed project.
version as a PDF.
Activity - Elective
377
3B
Negative Results from Late Wind Tunnel Test
Building construction is not always performed in an orderly, sequential manner. In delivery variations such
as fast-track, the design and construction activities are compressed and supplementary activities such as
testing are not always performed in a timely manner. This scenario explores a complication in a building
design introduced by untimely testing.
In this scenario, you are administering the construction contract on a fast-track schedule for a 20-story offce
building. The building foor plate is rectangular with rounded corners. The curtain wall system is segmented
at the corners, forming sleek, curvilinear shapes.
The preparation of construction documents was accelerated; as a result, the building was not wind tunnel
tested until after construction had begun. (For more information on wind engineering and wind hazard
mitigation, see the American Association for Wind Engineering website.)
By the time the wind tunnel test results are made available, the building frame is at the eighth foor level
and the unitized curtain wall system is at the sixth foor level. Test results indicate negative pressures on
the building of 115 psf at the rounded corners caused by an airplane wing effect. The original curtain wall
design allows a maximum of 90 psf negative pressure. If the corners are not reinforced, wind pressure will
overstress the curtain wall attachment to the building frame.
The structural engineer evaluates the impact on the increased pressures at the corners of the building and
determines that braces must be placed above the ceiling at those locations. The braces are large, and they
encroach on the perimeter slot air diffuser boots and ductwork.
Prepare an agenda for a meeting with the contractor, structural engineer, MEP engineer, curtain wall
consultant, curtain wall subcontractor, and the owner. List the topics to be discussed and the decisions
that must be made for designing and implementing the change while construction continues. As you
prepare your agenda, answer the following questions:
How will the mechanical and electrical systems be affected?
Is involvement required by the curtain wall consultant?
What elements of the building may need to be revised in the construction schedule, ceiling grid and
tiles, interior framing?
What other systems may be affected?
The meeting must address the impact of the change on existing building systems, as well as the
contractors construction sequencing. The overall objective is to add the required additional bracing
without negatively impacting the construction schedule. Ask yourself; what measures can be taken to
complete the task as quickly as possible? How should the results be documented? What AIA documents
should be used to implement the resulting change in the contract?
Prepare a schedule for developing a corrective design, issuing scope change documents, pricing the
change, and issuing the change order. Include a request that the contractor be prepared to discuss time
frames for implementing the change and coordinating it with the ongoing work.
version as a PDF.
Activity - Elective
378
3B
Saved by a Scope Change?
Architects have both an ethical and a contractual duty to design projects that conform to applicable codes. In
some cases, issues of nonconformance may become moot as the result of changes in scope. In this activity
a mistake was made, but the scope was revised before construction. However, complications involving
allocation of cost lead to an ethical dilemma.
In this scenario, you have been commissioned to design an addition to a junior high school. The addition
consists of a basketball gymnasium with a weight room, locker rooms, and toilets. Your complete your
drawings and issue them for bidding. The bids are opened, and a contractor is selected. The successful
bidders price is signifcantly below the budget. A construction contract is executed, and a Notice to
Proceed is issued.
As you prepare for the preconstruction conference, you realize that the toilet rooms do not meet ADA
requirements. The changes required to make them compliant will add scope to the project and increase
the cost. Although you have found the problem before the toilets are constructed, the additional costs for
bringing them into compliance will exceed the budget.
The next day, the owner informs you that the school board has decided to allow the nearby high school to
use the new gym. She asks you to give her a fee quote for revising the drawings to make the toilet rooms
larger. You realize that you can correct the AIA noncompliance as you redesign the toilet rooms, and no one
will be the wiser. No harm done or is there?
The owner mentions that the change in scope is possible because the bids came in under budget. She
believes the extra money will allow her to enlarge the toilet rooms to accommodate the high school students.
AIA Document B101, Standard Form of Agreement Between Owner and Architect
Prepare a narrative outlining action you should take in this scenario. Include an explanation to the owner
regarding the ADA noncompliance and its potential impact on the completed construction. List each step
in order of priority. Assume that the cost of enlarging the toilet rooms to accommodate the high school
students will cost less than enlarging them to meet ADA requirements.
As you prepare your work, answer the following questions:
Are substitutions available that could reduce the overall cost?
What can you do to attempt to keep the project on schedule?
What can you ask the contractor to do to help you with the changes?
If the origin of the non-compliant design was the architects error, should the architect absorb the
cost to re-design?
version as a PDF.
Activity - Elective
379
3B
Solutions for a One-Inch Code Violation
In this scenario, your frm has designed and detailed a vocational tech school building on which construction
is nearing completion. The building inspector has discovered that the ceiling in a hallway serving as a means
of egress is 1 inch lower than the 7-foot minimum height dictated by 2000 International Building Code
Section 1003.2.4. It appears that the various subcontractors could not get all the utilities (e.g., structure,
ducts, drains, sprinkler piping, conduits) into the space provided in the architectural working drawings. They
are packed as tight as possible. There is no way to get a higher ceiling with all the utilities shown in the
various engineering drawings. The bottom element is a duct that occupies 60 percent of the width of the
hallway and runs its full length (45 feet), with branch ducts into adjacent rooms. Although the architectural
drawings show a 76 ceiling (well above the minimum), the contractor installed the highest acoustical board
suspended ceiling possible at 611 without consulting the architect.
You have been directed to investigate the circumstances and make recommendations for action that will
eliminate this situation as an obstacle to getting a certifcate of occupancy.
Answer the questions below as part of your investigation:
Will your recommendation vary depending on who (if anyone) is responsible for the impasse? If so,
why? If so, recommend a solution for each party that might ultimately be assigned responsibility for
the error. To do this, you will have to identify all the types of frms associated with the design and
installation of utilities typically located above a hallway ceiling.
What documents would you examine to identify the responsible party (if any)?
What should the documents say or show that would help identify any party that might be
responsible? Suggest statements and types of drawings that would have been appropriate to
include in the various documents to avoid this situation. Who should prepare such drawings or
statements?
Develop three solutions to physically solve the problem. Ask colleagues how tight space above
hallway ceilings has been addressed in the past during the design phase. Past strategies might
suggest a retroft solution. Which of your three solutions do you prefer and why?
Write a narrative of the fndings from your investigation and include the recommendation you would give to
your supervisor.
version as a PDF.
Activity - Elective
380
3B
Processing an Unacceptable Substitution Request
It has become somewhat common practice for owners to solicit substitution requests beyond contract award
in an effort to further reduce project costs. These requested changes do not always take into consideration
quality or impact on adjacent materials. The architect may determine that the proposed substitution is
unacceptable for use in the project.
Although the owner may elect to accept it, the architect is not required to change their drawings or
specifcations and take on the increased risk for a product they did not specify. If the architect revises their
drawings and specifcations and the product or system fails to perform, the architect can be held responsible.
In this scenario, you are providing construction phase services on a small retail center. The budget is
tight, and the owner has solicited substitutions from the contractor after the construction has begun. The
contractor has requested a substitution for the aluminum and glass storefront system. It is a brand that
does not conform to your specifcations, and you have experienced problems with it in the past. You have
determined that it is not acceptable for use on the project.
Prepare a memorandum to the contractor and owner explaining your position. In 500 to 800 words,
explain why you do not want the product used on the project and recommend an alternate system that
conforms to your specifcations. Contact an approved manufacturer listed in your frms specifcations to
obtain supporting information to include with the memorandum. As you prepare the memorandum, answer
the following questions:
How can the benefts of the specifed system be best explained?
What other storefront system can be identifed that will reduce project costs?
How can I style my memorandum to be helpful instead of combative?
What other building components could be substituted to reduce costs?
Should you offer to allow the rejected substitution if the owner agrees to indemnify you?
Assume the owner is persistent in accepting the substitution and directs you to include it in the project.
Note: Be mindful that you are not obligated to change your drawings as that would increase your risk for
the substituted system. If this approach is taken, the system will become owner accepted nonconforming
work. As such you should note it as an exception to the Certifcate of Substantial Completion. These
actions will require a detailed explanation to the owner.
Prepare a memorandum to the owner explaining why you cannot accept the product and explain that a
qualifcation to the Certifcate of Substantial Completion will be required. Base your narrative on factual
information; refrain from emotional statements. Approach the memorandum as a chance to educate and
enlighten the owner, and focus on performance and life-cycle benefts. Review and discuss your work with
specialists such as a specifcations writer or a senior construction administrator.
Activity - Elective
381
3B
Certication of Nonconforming Work
The Certifcate of Substantial Completion is an important legal document. It is a representation that the
architect has determined that the work or designated portion is suffciently complete in accordance with the
contract documents so that the owner can use it for its intended use.
If work is certifed by the architect that is later determined to be nonconforming, the architect may be
determined to be in breach of their contractual responsibilities. It is therefore important that the architect
documents all observed nonconforming work.
Typically, such work will be on the attached punch list, and the contractor will correct or complete it. Should
the owner elect to accept the nonconforming work, it must be excluded from the certifcate on an attached list.
In this scenario, you are providing construction phase services on an offce building tenant fnish out. You
have issued a Certifcate of Substantial Completion for the project. The certifcate includes an attach punch
list of items remaining for completion or correction and an attached list of owner accepted nonconforming
work that has been excluded from the certifcate.
The contractor has notifed you in writing that the project is fnally complete, and you are performing the
inspection for fnal completion. When reviewing the work, you notice that the wrong type of wood trim has
been used in the reception area. The area is complete and ready for occupancy.
Review AIA Document G704 to understand the defnition of substantial completion. Review the section
in A201 on the owners acceptance of nonconforming work. Prepare a memorandum to the owner
explaining your subsequent discovery of the nonconforming work. Explain the condition thoroughly. As you
prepare the memorandum, answer the following questions:
Will the replacement of the work delay owner occupancy? If so, the project is not substantially
complete.
Is the work of a quality and appearance that it could be accepted?
Should you recommend acceptance of the nonconforming work to the owner?
Is the nonconforming work of such scope that re-issuance of the certifcate is necessary?
Then,
Assume the Owner rejects the work. Prepare a memorandum to the owner and contractor
amending the attached punch list, adding the nonconforming work.
Assume the Owner accepts the work. Prepare a memorandum to the owner and contractor
amending the attached exclusions of owner accepted nonconforming work.
Assume the Owner rejects it and remediation will delay occupancy. Prepare a memorandum to the
owner and contractor advising that the work is not substantially complete and rescinding the issued
certifcate. Wait for the contractors written notice that the work is substantially complete.
Activity - Elective
382
3B
Design Not Suitable for Use
This exercise involves a design that complies with code but is not suitable for the intended use. Unlike
designs that can be checked in a code book, the adequacy of this design must be measured by anticipating
how it will be used. This activity underscores the importance of continuous scrutiny of the documents to
determine if the design meets the functional needs of the user. It also emphasizes the importance of having
the appropriate qualifcations and experience to work on your design.
In this scenario, you are administering a construction contract on an emergency room addition to a hospital.
The scope of the contract includes a covered emergency entrance with automatic biparting entry doors
allowing a 5-foot clearance, a 10-foot wide entry corridor, and six emergency treatment rooms.
Project construction is nearing completion, and the contractor is ahead of schedule. You are getting an early
start on our substantial completion inspection and have invited the owner to accompany you. As you inspect
the entry doors, the owner informs you that the 5-foot width is inadequate to allow easy passage of a gurney
with attendants. The owner demands that you correct the problem and expects you to pay for the change.
Develop a plan for addressing this design error. Consider the construction schedule, delay costs,
occupancy of the building, city approval of the correction, space limitations, possible modifcations to the
existing door, your staff time for drawing changes, the change order to the contractor, and educating your
staff for future designs. As you approach this problem you must ask yourself the following questions:
How can this issue be approached with the least impact to ongoing construction activities?
How can the submittal approval process be accelerated?
How can the fabrication and delivery process be accelerated?
If a temporary door is required, what type is most suitable?
What will be the city requirements for a temporary certifcate of occupancy?
What actions are required to preserve the owners confdence in my frm?
Prepare the following:
List the steps involved in replacing the door with one that will suit the purpose.
Prepare an agenda for a meeting with the contractor, and determine who should attend the
meeting.
Find out if approval is required in this jurisdiction to install a temporary door if another door cannot
be delivered by the occupancy date.
Write a letter to the city requesting a temporary certifcate of occupancy until the new door can be
installed.
version as a PDF.
Activity - Elective
383
3B
Forced Substitution of Skylights
Substitutions have become a popular means of reducing the project cost after the construction contract has
been executed. Many owners allow substitution proposals until project buyout has been completed.
Substitutions during construction almost always result in a reduction in quality as well as cost. Owners are
often enticed by lower costs, and they are not always as concerned about the reduction in quality that is,
until the substitution fails to perform as expected. Then it often becomes the architects problem.
In this scenario, you are providing shell and core construction contract administration services on a
corporate headquarters building for a top 100 corporation. The budget is large, and the project was hard bid.
The successful contractor was almost two million dollars lower than the budget, and the talk around the jot
site is they left most of it on the table. This means they underbid the project signifcantly.
The elated owner relished in the found money and gave the interiors architect an open ticket. Finished were
upgraded to Italian stone and exotic wood paneling. The desperate contactor began a vicious substitution
assault to lower the project cost, with very little credit given back to the owner.
The building has an elaborate skylight system that is a central feature. The skylight has a custom profle,
which is ftting for the overall budget. As the building enclosure is completing, the contractor submits shop
drawings for the skylights. The submitted profle is an off-the-shelf model with many compromises in
features and quality. You immediately reject the submittal.
The contractor responds that if he is required to submit the custom profle, he will miss the fabrication window
and the project will be delayed. He offers a modest credit for the custom profle, and the owner accepts it.
Prepare a memorandum to the owner and contractor rejecting the proposed skylight system. Cite the
requirements from A201 and MASTERSPEC for adhering to the specifcations and coordinating
submittals with other activities such as fabrication and construction.
Advise the owner that you will not accept the substitution or change your drawings. Advise that the
Certifcate of Substantial Completion will list the substituted skylight as exclusion, and it will be designated
as, owner-accepted nonconforming work.
Prepare a summary of the events that led up to the event, and list the actions that your construction
administration group will take to avoid such an incident in the future. As you prepare the summary, answer
the following questions:
What contract requirements were not followed or enforced?
What indications were apparent that would warn of such an incident?
What actions could you have taken to avert the incident?
How can you tactfully explain to the owner that they did not receive full value for money spent?
Activity - Elective
384
3B
3C
Construction Phase:
Observation
activities - core*
introduction
403
404
405

406
407
408
409
410
411
412
413
414
398
399
400
401
402
398
386
Tracking Issue Resolution During Construction
Tracking the Change Process on Site
Performing a Payment Application Site Review
Preparing a Certicate of Substantial Completion
with Amended Punch List
Evaluating Project Closeout in Preparation for
Final Completion
narrative 387
The Owner-Architect-Contractor (OAC) Meeting
Architects Field Report
Understanding Construction Activity Pollution
Prevention
Omitted Fireproong on Structural Steel
Owner Decision Affecting Public Safety
ADA Noncompliant Doors
Mold Discovered at Site
Nonconforming Ceiling Grid
Consultant is Also Subcontractor
Late Glass Installation Results in Water Intrusion
Work Installed Without Approved Shop Drawings
Revising the Design Review Board Standards &
Zoning Code
exhibits
-----
Construction Phase: Observation
386
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Internships.aspx.
2008.

2001.
2009.
Introduction
of the feld activities involved in construction phase observation.
The following information is taken from the NCARB IDP Guidelines:

Minimum Construction Phase Observation Experience: 120 Hours
Defnition: Tasks carried out in the feld include observing construction for
conformance with drawings and specifcations and reviewing and certifying
amounts due to contractors.
Tasks
Conduct on-site observations
Document and communicate status to owner and constructor
Resolve constructability issues
Constructability
Construction procurement
Contract negotiation
Electronic communications (e.g., virtual offces, video-conferencing,
web-based networking)
Invoicing for services
Risk management (e.g., professional and general liability)
Attend, conduct, and record meetings
Document project status and progress
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Narrative
The architects services during construction begin on the date established in the owner-contractor
agreement or set out in the notice-to-proceed. From this point forward, project meetings are normally
conducted at the construction site rather than in the owners conference room, and many new team
members participate. Each meeting agenda includes the status of construction phase activities, and the
contractor and primary subcontractors report on the progress of construction in their areas. Requests
for information, project change documents, submittals, and payment applications are among the items
architects monitor and track as part of their services. The architects primary goal is to protect the owners
interest at a time when great amounts of the owners money are being spent in a short amount of time. You
are required to report on the progress and quality of the work while keeping the submittal review fowing and
maintaining control of the contract documents.
It can be exciting to travel to a job site and represent the owner during construction, but it is also challenging
to juggle paperwork and site responsibilities. Issuing site observation reports, reviewing submittals, and
documenting changes in a timely manner requires careful planning, an organized schedule, and effcient
execution.
This chapter addresses tasks generally carried out by the architect at the project site during the construction
phase of project delivery. The material presented here duplicates to some degree that in Chapter 3B -
Construction Administration, which stresses construction increment services provided from the architects
offce. It is suggested that you review both chapters to gain a full perspective on the scope of the architects
services during construction.
Team Relationships
Team relationships during the construction increment of traditional design-bid-build project delivery center
on the three primary playersthe owner, the architect, and the contractor. The architect and the contractor
have a direct contractual relationship with the owner but no contractual relationship with each other.
Nonetheless, the architect serves as a direct line of communication between the owner and contractor, and
the contractor must perform largely to the architects satisfaction. The owner holds a contract that requires
a specifc performance from the contractor, and the architect is the judge of that performance. The owner
looks to the architect to determine if the contractor has met his contractual obligations. That is why the
owner must provide the architect with a copy of the owner-contractor agreement if you are expected to
administer that contract.
In addition, all three players may have contracts with consultants or subcontractors who are actively involved
in construction activities. Because of the contractual structure, the architect does not communicate directly
with the contractors subs, and the contractor does not communicate directly with the architects consultants.
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Suggested Agenda Topics for
a Preconstruction Conference
Notice to proceed. The
owner may issue written
notice to proceed to the
contractor; any questions
should be discussed.
Explanation of chain
of command. Includes
routing of shop drawings,
catalogs, samples, project
reports, scheduling
reports, and maintenance
instructions.
Project meetings.
Scheduling, agenda, and
attendance at project
meetings are discussed.
Find more suggested
preconstruction conference
agenda topics in the excerpt,
A Sample Preconstruction
Conference Agenda, from
Professional Practice, 13th. ed.
interns.
Preconstruction Conference
The preconstruction conference is used to introduce the project team,
review the timeline, establish communication channels, and organize the
activities that will take place during construction. In the design-bid-build
method of project delivery, this meeting is typically scheduled and chaired
by the architect, who uses it to establish project procedures for an orderly
construction administration process.
Suggested Agenda Topics for a Preconstruction Conference, in the
Resources side bar, can be used as a reminder of topics that may be
covered during the preconstruction conference.
Construction Observation Activities
The architects responsibilities for observing construction and determining
if the contractor is supporting the design intent fall into six categories:
construction observation, document clarifcation, submittal review,
payments to the contractor, certifcation of completion, and project
closeout.
Observing Construction
The architect is typically required by contract to keep the owner apprised
of construction progress and quality. The owner relies on these reports
to keep up with the progress and quality of the work, and a close owner
architect relationship can result from this direct form of communication.
To document what the architect has observed in the feld and enable
the delivery of this information to the client, the architect can use AIA
Document G711, Architects Field Report. As with all document types
issued repeatedly during a project, each report should be dated and
sequentially numbered.
Clarifying Construction Documents
Construction documents typically have not been drawn to indicate specifc
product dimensions and characteristics. This may change as integrated
project delivery gains greater status in the profession. In any case, they
can never be detailed enough to answer every question a contractor or
subcontractor may have, thus a primary activity of the architect during
construction is to provide clarifcations and interpretations. The primary
vehicle for conveying the contractors questions to the architect has
become the request for information (RFI). AIA Document G716, Request
for Information (RFI), is a convenient form to use in that it is generic and
can be used by any member of the project team.
The architect responds in an appropriate manner, perhaps by simply
answering the RFI or by issuing supplemental instructions that do not
change the contract sum or time. AIA Document G710, Architects
Supplemental Instructions, is available for this purpose. Should a
document clarifcation result in a change in the contract scope or a change
in the construction schedule, a change order will be required to make the
proper adjustment in the contract.
Construction is not an exact science, and project participants may propose
notes
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different resolutions to an issue. The contractors plan for constructing portions of a project may not be
consistent with the architects response to an RFI. AIA Document G716 provides for the sender to propose
a solution to the question, thus allowing the contractor, who usually has the best solution to the problem, to
provide the architect with a viable alternative.
This frequently speeds up the RFI review process when the architect agrees with the proposed solution. The
caution that the architect must take is to determine if the contractors proposed solution adds to the contract
sum or time.
With some RFIs, a meeting may be required to discuss the issues and determine a solution that is
acceptable to all parties. The architect must therefore be ready to go to the site on short notice and stay
until the issue is resolved. Activities can involve walking the site to review the built condition and discuss
alternatives. If the site is not near the architects offce, digital images can be emailed for discussion.
The architects objective in responding to a challenging RFI is to research the condition, provide the
necessary information and assistance, and bring the issue to closure as quickly as possible. Suggested
steps for resolving diffcult issues brought up by the contractor include the following:
1. Identify the problem
2. Gather relevant information
3. Consult appropriate resources for information required for resolution
4. Involve appropriate participants
5. Require representation from authoritative participants
6. Develop possible solutions
7. Analyze options
8. Recommend a solution
9. Execute the owners decision
This seems like a lot of steps to cover in a short period of time, and it usually is. That is why effective
construction administration should be proactive instead of reactive. The more involved the architect is in
the construction administration process, the more quickly questions can be answered. A very important
requirement for the effcient resolution of issues is to have people with decision-making authority involved in
the resolution process. If authorized decision-makers are not involved, the process will not move as quickly.
In addition to the ongoing tasks of interpreting the design documents and issuing clarifcations, the architect
must manage a number of routine tasks during construction. These are outlined in the following text.
Managing and Reviewing Submittals
Although the submittal review process is typically administered in the architects offce, as discussed in
Chapter 3B - Construction Administration, some submittal-related tasks must be undertaken on the project
site. Since submittals are detailed depictions of how the contractor will execute the work, they are essential
to reviewing the work for conformance to the construction contract. The contractor typically is required to
keep an up-to-date set of approved submittals on the job site, and the architect can reference these when
performing site observations and duties. If a full-time project representative has been employed, a complete
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Submittal Stamp Examples
Ask to see your frms submittal
stamp as an example.
You can also view an example
submittal stamp via the
AIA Architects Knowledge
Resource (AKR): www.aia.org/
akr/Resources/Documents/
AIAB079691
set of approved submittals is usually maintained in the architects on-site
offce.
AIA Document A201, General Conditions of the Contract for
Construction, requires the contractor to review and coordinate the various
submittals of its subcontractors. General conditions documents preceding
A201 required the contractor to provide a signed approval stamp on
the documents before the architect was obligated to review it. The 2007
revisions do not require the stamp and signature, but instead state that the
submission of a submittal by the contractor is a representation that he or
she has reviewed or taken appropriate action on the document.
Contractors stamp or no stamp, the true indication of the contractors
review of the submittal is marks and notations. Remember that one of the
contractors primary duties is to coordinate the subcontractors and prepare
a plan for the work. It is only logical that submittals prepared by separate
subcontractors will require coordinating marks and notations.
Accordingly, pristine submittals should be viewed with caution, and if the
contractors review is not taking place, the documents should be returned
for proper review as required by A201. However, care should be used
to avoid delaying the review process with these actions. A more expedient
response would be to take the submittal to the site and confront the
contractor face to face.
Since the submittal process typically does not end until well into
construction, the status of submittals should be a standard agenda item
during project meetings. The requirement for the contractor to provide a
submittal schedule should be strictly enforced, and the architect should
stay on top of outstanding submittals and endeavor to avoid delays in
reviewing and processing them.
Delinquent and poorly prepared submittal schedules are more common
these days than we all would like, and immediate action should be taken
to enforce this important contract requirement. The architects will be held
accountable for the RFI review and response status, which will likely be
advertised in the project meeting, so it is only proper that the contractors
are held accountable for the submittal schedule as well.
One approach to enforcement is to send an RFI to the contractor
requesting the submittal schedule. Remember that A201 requires
that the schedule be acceptable to the architect, and an unacceptable
schedule is as much in default as a nonexistent one. RFIs originating from
the architect are still somewhat new to many owners and contractors,
so establishing this process in the preconstruction conference is
recommended.
Reviewing and Approving Applications for Payment
Payment for the contractors work must be timely to avoid disrupting
the labor force or supply of materials and to enable payment to the
contractor in accordance with contract terms. The payment process has
many participants and takes time to administer. The architect is required
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to be aware of the general progress and quality of the work and act timely in reviewing and approving the
contractors applications for payment.
The AIA standard documents provide two forms for certifcation of the contractors application for payment
G702, Application and Certifcate for Payment, and G703, Continuation Sheet. The contractor flls out
G703 to show the status of the work to date, broken into portions in accordance with the schedule of
values (costs) submitted in accordance with the requirements of the general conditions of the contract for
construction. A summary of these fgures, as well as a statement of previous payments, is then entered
on G702 to serve as the contractors application for payment. The contractor certifes under a notarys
seal that the document is correct and the work has progressed as represented. The architects approval (or
certifcation) of this application is also made on the G702.
The payment process takes time, and delays in processing the contractors payment can result in protective
actions by the contractor in the form of liens or a work stoppage. AIA Document A201, General Conditions
of the Contract for Construction, requires the architect to respond to the application for payment within
seven days of receiving it from the contractor. The architects certifcation represents that the architect has
evaluated the work and the data comprising the application for payment and determined, to the best of the
architects knowledge, information and belief, that the work has progressed to the point indicated by the
contractor, and that the quality of the work is substantially in accordance with the contract documents.
An effective way to handle this task is to schedule a site visit just before the application is submitted. This
will allow the architect to walk the site with the contractor using a draft, or pencil copy of the application to
compare to the work in place. Any revisions the architect requires to more accurately refect work conditions
can then be made by the contractor, avoiding subsequent reviews or challenges after the application is
submitted.
Certifcation of the application for payment allows the contractor to be paid for stored materials that have not
been installed on the project. These materials are often stored off site in an approved bonded warehouse.
The architect should schedule time during a site visit to observe the stored materials indicated on the
application. Evidence is typically required from the contractor that the warehouse is bonded and that the
listed materials are stored there.
If the size of the project site allows, the materials may be stored on-site. In this case, the architect should
conduct a review to determine if the materials are present and properly stored. It is not the architects
responsibility to count rebar or metal studs, so written confrmation by the contractor evidencing the
materials may be required.
Work performed under the construction contract that is the design responsibility of licensed engineers must
be reviewed and certifed for payment by these design professionals for completion and quality. Consultants
such as structural and M/E/P engineers must visit the site and review the progress and quality of the work at
payment time just like the architect does.
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interns.
Garner, Bryan A. Blacks Law
Dictionary, Standard Ninth
Edition. N.p.: West, 2009.
Architects. Integrated Project
Delivery: A Guide.
Some State licensing boards have ruled that certifcation of payment for
the engineering design scope by the architect constitutes the practice of
engineering. Accordingly, the architect must require these engineers of
record to provide independent certifcations for payment for their portion of
the work. This can be accomplished with a letter or a memorandum. It is
recommended that all design professionals reviewing the work coordinate
their visitation schedules for this purpose.
Sustainable Design and LEED Certifcation
Sustainable design and construction practices are gaining in popularity
and frequency. When a project is pursuing a LEED certifcation, there
are opportunities for the contractor to achieve certifcation credit through
sustainable practices and the use of sustainable materials during
construction. It is important that the construction administrator be aware of
related sustainable activities when administering the construction contract
on a LEED certifed project. It is also important that the architect reviews
and observes that the sustainable aspects of the design, particularly those
required for LEED certifcation, are being executed as called for in the
Integrated project delivery (IPD), is quickly becoming the rule rather than
the exception. For many years, related components of IPD such as design/
build and fast-track scheduling have been practiced. When IPD is fully
developed, the architects activities during the construction phase may vary
signifcantly from those practiced in todays market.
Project Completion And Closeout
Determining Completion
During the construction phase, the architect is responsible for determining
two types of project completionsubstantial completion and fnal
completion.
Substantial completion is the stage in a project when the owner can
occupy or use a building for its intended use, as defned in the general
conditions (A201, 9.8). AIA Document G704, Certifcate of
Substantial Completion, is a standard form for recording the date of
substantial completion.
The certifcate establishes the date of substantial completion and the
responsibilities of the owner and contractor for security, maintenance,
heat, utilities, damage to the work, and insurance requirements. It also
establishes a date by which the contractor must complete all items on the
punch list that relates to the certifcate. Warranties required by the contract
commence on the date of substantial completion of the work or designated
portion thereof unless otherwise agreed.
On larger projects, several substantial completion certifcates may be
used to cover designated portions of the work. In this case, the project
is typically certifed substantially complete by defned areas, such as
individual foors in multi-level buildings or separate wings of a single-story
building. The contractor and the architect typically agree on a schedule
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for the substantial completion inspections. Although the contractor is contractually responsible for preparing
the list of items for completion or correction, the architect and architects consultants must review the list for
completeness and add any missing information. The architect is not responsible for the completeness of the
list, however, and subsequent discoveries of incomplete or incorrect work can be added.
The list of items for completion or correction, also known as the punch list, can take a variety of forms.
The most popular is the narrative, and it is typically prepared initially on a hand-held voice recorder. The
information is transcribed on site or at the architects offce and published to the contractor.
Other methods of preparing punch lists include the plan method, where a copy of the foor plan is used
in conjunction with a numbered or lettered key indicating repetitive conditions. Yet another method is the
room data sheet, where a list or enlarged room plan is prepared on a single page for each room or area. A
numbered or lettered key, a list, or a narrative of conditions is entered on the page and affxed in the room or
on the door. As the contractor and his subcontractors complete or correct the items on the list, they sign off
on the room data sheet. This is a popular approach with contractors.
Nonconforming Work
Completed projects almost always contain nonconforming work that has been accepted by the owner, as
permitted in the general conditions (A201, 12.3). Although these conditions may be minor in nature, they
should be documented in the certifcate if known by the architect. Lenders and purchasers typically rely on
certifcates of substantial completion as accurate representations of the status of the work, and omitting
information about non-conforming work accepted by the owner can increase the architects risk should the
certifcate be challenged.
The nonconforming work can be documented by listing it on a separate page that is attached to the
certifcate of substantial completion. Owners and lenders typically do not realize that the nonconforming
work must be documented, so advance discussions are recommended, preferably in the preconstruction
conference.
As in review of applications for payment, consultants who work under the architects contract must review
the work that is their responsibility for substantial completion. These consultants should review the project
at substantial completion and certify to the architect that their portion of the work is substantially complete.
This review includes going over the contractors punch list and comparing it to the work in place. Since AIA
Document G704, Certifcate of Substantial Completion, has no place for consultants to sign, a separate
letter or memorandum attesting to this condition is acceptable.
The inspection of the work to determine substantial completion is different from scheduled reviews of
the work by the architect, which are considered to be observations. This distinction is made because,
according to Blacks Law Dictionary, the term inspection means more than just observation. To inspect is to
examine carefully or critically, or investigate and test offcially, especially in a critical investigation or scrutiny.
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Undertaking Project Closeout
The owners needs increase with occupancy of a project. Building sophistication and complexity require that
necessary records and easy-to-use documentation be available when a building is ready to be occupied.
A smooth transition to building occupancy will strengthen the relationship between architect and owner
because ultimately the owner will remember more about building start-up and initial operations than the
issues that were argued and debated during construction.
Upon written notice from the contractor that the work is ready for fnal inspection and acceptance, and
upon receipt of a fnal application for payment, the architect and appropriate consultants inspect their
respective portions of the work. When the work is found acceptable under the contract documents and it has
been determined that the contract was fully performed, the architect issues a fnal certifcate for payment
supported by the respective consultants payment certifcations. Both the inspection and the issuance of the
certifcate are to be carried out promptly.
The conditions for fnal completion and fnal payment are defned in 9.10 of A201, General Conditions of
the Contract for Construction. The architect does not issue a certifcate of fnal completion but only a fnal
certifcate for payment. This is because certifying fnal completion would legally represent that the architect
has more than general familiarity with the work completed, which is a services limitation explicitly stated in
4.2.2 of A201. Only the contractor is responsible for the completion and conformance of the work.
Before the owner makes the fnal payment to the contractor, 9.10.2 of the general conditions requires
submittal of specifc documents and representations. These include a certifcate from the contractors
insurance provider that insurance required by the contract documents will remain in force after fnal payment
and will not be cancelled or allowed to expire without 30 days prior written notice to the owner. A written
document is also required stating that the contractor knows of no substantial reason the insurance will not
be renewable to cover the periods required by the contract documents. AIA Document G707, Consent of
Surety to Final Payment, is also typically required for fnal payment.
The owner may require other data establishing payment or satisfaction of obligations, such as receipts,
releases and waivers of liens, claims, security interests, or other encumbrances arising out of the contract.
AIA documents G706, Contractors Affdavit of Payment of Debts and Claims, and G706A, Contractors
Affdavit of Release of Liens, may be used for these purposes.
The architect cannot fnd the contract to be fully performed until all required closeout documents and
services have been completed. The specifcations typically set out the requirements for closeout. Closeout
documents include record copies of the contract documents, as well as required markups made by the
contractor to indicate the as-built conditions and warranties.
Substantial completion certifcates and the fnal certifcation for payment are critical documents for the owner
and the contractor. The owner assumes control and responsibility for the building at substantial completion,
including the cost of insurance, maintenance and utilities. The owners loan may be affected, and lenders
are naturally very interested in the certifcates. Contractors often receive their proft for the project with the
fnal certifcate for payment as well as make fnal payment to their subcontractors.
Considering these signifcant documents that are fnalized by the architect, it is an opportune time for the
architect to settle any outstanding accounts. If the architect or its consultants has a fee outstanding for
additional services, or if there is a balance remaining in the basic services fee, this is a good time to resolve
these issues while everyone has cards on the table.
Documents And Tools For Construction Observation
Construction administration services consist of many intangible activitiesmaking decisions, communicating
instructions, observing the workand participants are judged by the timeliness and the accuracy of their
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performance. Accordingly, these activities are recorded in writing or in digital form, even if they have frst
taken place orally. This record is then available to support the quality of services rendered should anyones
actions later be called into question.
Meetings, discussions, decisions, and approvals can be recorded in meeting reports, document logs,
transmittal letters, memoranda, or a personal journal. A number of AIA documents are available for use
in important communications between the architect and the contractor. Today, the architect in the feld
often has a laptop, a mobile phone and/or a tablet to help him or her stay on top of the details involved in
construction contract administration.
Reference Contracts
The architect has a contract with the owner that requires him or her to administer the owners contract for
construction according to established general conditions. Accordingly, the architect must be knowledgeable
about these key documents.
The architect should become completely familiar with the owner-architect agreement before becoming
involved with the project. How can the architect administer duties if they do not know what those duties
are? Next, the architect should become completely familiar with the owner-contractor agreement and the
general conditions of the contract for construction if he or she expects to know how and what to do during
the construction phase.
To facilitate this objective it is recommended that the construction contract administrator keep copies of
these key documents with their journal or in their laptop. Issues can and usually do arise that require
reference to these documents. Should the requirements of these documents differ from the language of the
AIA documents, it is suggested that the construction administrator note the differences for easy reference.
Owners may not understand the importance of the architect having a copy of the owner-contractor
agreement, and they may be reluctant to provide it. AIA Document B101, Standard Form of Agreement
Between Owner and Architect, 5.11, requires the owner to provide a copy of the owner-architect agreement
to the architect including the general conditions. If the general conditions agreed upon between the owner
and the contractor differ from A201, the construction administrator should become familiar with the
differing requirements and determine if architectural services consistent with the standard of care can still be
provided. If not, negotiated revisions in the owner-contractor general conditions is advisable. In any case,
the owner should be advised of this discrepancy.
Reference Set of Contract Documents
The architect who visits the project site during construction will want to have a personal set of drawings and
specifcations for reference. This can be a hard copy set of drawings, or it can be digital media stored on
the laptop hard drive. When a sheet is re-issued in a hard copy set, the new sheet is placed in the set on
top of the old sheet, and the old sheet is marked to indicate that it is no longer valid. This set of documents
provides a complete record of revisions so the architect can quickly reference old details and conditions.
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your Activities.
Transmittal Letters
Because architects are judged on how quickly they act and react during
the construction increment of project delivery, the transmittal letter is a
valuable tool for documenting time sensitive administrative activities.
Memoranda
Memoranda are used to record instructions, notices, decisions,
conversations, or other important information. If you do not have a
standardized format, a blank sheet of paper or an email will suffce to
document a message or event.
Personal Journal
To keep a personal record of project communications, architects may
choose a sketchbook, binder, or some form of digital documentation. As
long as the information is organized and accessible, the format is less
important. Such a journal is used to keep track of critical topics or activities,
and it becomes a log of events and decisions.
Request for Information
AIA Document G716, Request for information (RFI), used to ask for
information on a project, can be initiated by the owner, architect, or
contractor. The contractor is typically the most active sender, and since
contractor questions are often time sensitive, it is important that all RFIs be
responded to in a timely manner. A frequently required turnaround time for
reviewing RFIs is two business days.
RFIs are discussed in more detail in Chapter 3B - Construction
Administration as they are typically administered from the architects offce.
However, if the architect has an on-site project representative, that person
should receive copies of all RFIs in the event a physical observation is
needed to resolve an issue.
An effective way of maintaining uniform site observation reports is to
use AIA Document G711, Architects Field Report. This form can also
be used by an on-site project representative to maintain a daily log of
construction activities. Each report should be dated and sequentially
numbered. A report should be easy to follow and have appropriate
references to project areas; photographs are often included. A feld
observation report should be fled after each visit to the site.
Architects Supplemental Instructions
The architect can issue additional instructions or interpretations or minor
changes in the work that do not change the contract sum or time by
using AIA Document G710, Architects Supplemental Instructions.
This document is intended to help the architect perform its obligations
as interpreter of the contract documents in accordance with the owner-
architect agreement and the general conditions. Like all recorded project
information, it should be numbered, tracked, and logged.
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Documents for Changes in the Work
The documents required for changes in the work are addressed in detail in Chapter 3B - Construction
Administration. Activities related to changes that occur on site can include:
Observation and research of change issues
Delivery of change documents to the owner and contractor
Contractor pricing review meetings
Observation of change-related construction
Review of constructed changes for payment certifcation
Managing the change process is one of the architects most important tasks because of the effect changes
can have on the contract sum or time. Any change initiated after the start of construction has a potential
for extending time and increasing general conditions costs. Unanticipated changes can increase the
construction cost beyond the owners established budget.
The most traumatic contract change for the architect is one that is caused by an error or omission in the
drawings. The best recourse is to respond quickly and keep communication open, with the goal of avoiding
delay or demolition costs. Many errors and omissions, if acted upon quickly, can be resolved without
affecting the contract sum or time.
The construction phase is the time in the project when critical activities are time-driven and the owners
money is being spent at a high rate. Proactive construction administration allows the architect to better fulfll
construction phase responsibilities and it demonstrates to the owner that the architect is actively involved
with contracted construction phase responsibilities.
Written by James B. Atkins, FAIA
Jim is a senior vice president/principal with HKS Architects in Dallas, where he is involved with project management, construction
services and risk management. He chaired The Architects Handbook of Professional Practice, 14th Edition Task Group, and he has
served on the AIA Risk Management Committee and the AIA Documents Committee.

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Tracking Issue Resolution During Construction
A primary characteristic of effective construction contract administration (CCA) is the ability to identify, take
action, and resolve problematic issues during construction. This characteristic marks the difference between
just getting the job done and being a truly effective CCA.
This activity will track the identifcation and resolution of problematic issues that arise during construction.
Resolution requires specifc steps to be effcient and to move the process toward conclusion.
1. Identify the problem
2. Gather information
3. Assemble relevant participants
4. Develop options
5. Determine solution
6. Implement
Activity - Core
Select a project your frm or your mentors frm completed with records that document issue resolution.
The documents can include meeting reports, action item lists, journal entries, RFIs, and feld observation
reports. Prepare reports on three issues that were resolved during the construction phase. Use a
chronological, timeline approach that addresses meetings held, details generated, documents used,
changes made to the contract and the resolution of the issue.
As you prepare your timelines, answer the following questions:
What caused the problem?
Was the problem avoidable?
How long did it take to resolve?
Who were the parties involved?
Did it cost the owner money?
Did it cost the architect money?
The objective of this exercise is to identify similar trends or actions in how the issues were resolved.
Necessary components for achieving resolution are:
Involvement of relevant parties
Participants must have authority
Everyone must have a desire to resolve the issue
Evaluate the three reports for anomalies such as missing participants or missing steps. Summarize your
fndings.
version as a PDF.
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Tracking the Change Process on Site
The change order is the primary method of making changes in the work after the owner-contractor
agreement has been executed. AIA Document A201, General Conditions of the Contractor for
Construction states, The Architect will prepare Change Orders and Construction Change Directives, and
may authorize minor changes in the Work
The administrative tasks for preparing a change order with related construction documents are typically
done in the architects offce. However, the cause of the change and the change itself typically occurs on the
site. There is also follow-up required on the application for payment.
This exercise involves tracking the change process on the project site. This process will be a confrmation
that the change was fully administered and the owner received full beneft.
AIA Document G702, Application and Certifcate for Payment
AIA Document G711, Architects Field Report

Select a project in your frm that is under construction and has experienced change orders. Review
the change order log, and select two areas where the project scope has been changed. Assemble all
documents related to the two changes. These can include emails or notifcations of the need for the
changes, the work changes proposal requests, the change orders, feld observation reports noting the
construction of the changes, and the application for payment that includes the change order summary.
Prepare a summary of the two changes following the path of the changes from their origin through the
certifcate for payment. Give complete information including nature of the changes, trades involved, and
include all related documents.
Establish a time line noting the time required for the following activities:
Time to prepare the change orders and related contract documents
Time for the contractor to price the change
Time for the change to be approved in a change order review session
Time for the change to be constructed
Time for the owner to pay for the change
As you prepare your summary, answer the following questions:
Did the changes add to the contract time as well as the sum?
Did they originate from an RFI?
Did they originate from an ASI?
Were allowances or contingencies involved?
Activity - Core
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Performing a Payment Application Site Review
AIA Document A201, General Conditions of the Contractor for Construction states, the Architect will
review and certify amounts due the Contractor and will issue Certifcates for Payment in such amounts.
Review is accomplished by visiting the site at appropriate intervals to, determine in general if the Work
observed is being performedin accordance with the Contract Documents.
The accepted interval for applications for payment is monthly, so on at least one site visit each month the
architect observes the overall work to compare it to the amount represented in the application as being at
a specifc stage of completion. The contractor may accompany the architect in the review in the event the
architect requires substantiation or has questions about portions of the work.
The contractor often provides the architect with a pencil copy of the payment application to use in the review.
This is a draft copy on which the architect can make changes if the status of work completion does not match
the application. This activity involves the preparation and execution of a payment application site review.
Activity - Core
MASTERSPEC, Sections 012900, 012100, 012200, and 012300
AIA Document G702, Application and Certifcate for Payment
AIA Document G703, Continuation Sheet
Select a project in your frm or your mentors frm that is in construction. It is preferred that the project is
far enough along so that the applications for payment include architecture. If possible, accompany the
construction contract administrator on the site visit to conduct the payment application site review. As you
conduct the review, answer the following questions:
What is the status of work completion?
What is the represented status refected on the application?
Are stored materials involved?
Is the contractors application signed and notarized?
Is the Schedule of Values in order?
Are allowances involved?
Are contingencies involved?
Are Waivers of Mechanics Lien forms attached?
Is the Change Order Summary accurate and up to date?
When observing the work, make notes as to the completion status and whether or not it aligns with the
application. Take note of items in the application that are represented to be complete. If stored materials
are listed, ask where they are stored, and if they are off-site, check to see if documentation is included
that confrms storage in a bonded warehouse. Write a report summarizing your fndings. If you have
found that the work represented to be complete is not accurate, list the request amount that you feel is
reasonable for the work actually completed. If you reduce the certifed amount, write an explanation for
those actions to the contractor. Check the retainage amounts to determine if they are being administered
properly. When early work has been completed, such as pier drilling or concrete reinforcing, the retainage
for that work is often released early. Check the application for such conditions.
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Preparing a Certicate of Substantial Completion with Amended Punch List
Substantial completion is a signifcant contractual milestone in that it determines if the contractor has met
contract completion requirements, it allows the owner to occupy that portion of the project, and it begins the
tolling of legal statutes for the architect.
AIA Document G810, Transmittal Letter
Choose a project your frm or your mentors frm is close to completing and ask to accompany the team
members when they perform their inspection to determine substantial completion. Observe carefully and
take notes as you walk through the project, and listen carefully to the observations of others.
After the inspection, use your notes to prepare a punch list by room. Sequence the rooms geographically
so you can move through the building in a linear fashion. As you review each room, note any defciencies.
Use active statements; for example, Touch up paint on door at east wall instead of Paint on door at east
wall should be touched up. Put the project name and the date of the inspection at the top of the list. As
you prepare your punch list, answer the following questions:
Is this portion of the project ready for substantial completion inspection?
Has the contractor prepared a punch list to review during the inspection?
Should I use narrative, foor plan, or individual room plan as the format?
Are some discrepancies repetitive, and if so, should I use a key with a symbol?
How many certifcates of substantial completion are appropriate on this project?
Complete AIA Document G704, Certifcate of Substantial Completion. There should be two dates on the
formone indicating the date of substantial completion, and the other indicating the date the certifcate is
issued. An entire project can be certifed as substantially complete, or multiple certifcates can be issued
covering designated portions. The decision should be based on the size of the project, the sequence of
completion, or the stages of owner occupancy. If multiple certifcates are issued, the designated area
on the fnal certifcate should include the wording, all remaining portions of the project, to avoid the
possibility that an area was not specifcally described.
The certifcate in this assignment applies only to the building interior, and the designated area described
on the form should indicate as such. The building shell in this case is covered by another contract and will
require a separate certifcate.
A section at the bottom of the form indicates the time period within which the contractor agrees to resolve
the punch list items. Mark a time limit of two weeks. There is also a section where the owner can indicate
specifc conditions for assuming the costs for operating the building. When all parties sign the certifcate,
they are agreeing to the conditions set forth in it.
Draft a transmittal letter for sending the certifcate and punch list to the contractor for signature. Provide
instructions to forward the signed certifcate to the owner. If possible, compare your work with the
certifcate and punch list actually prepared for the project.
Activity - Core
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Evaluating Project Closeout in Preparation for Final Completion
Project closeout is a critical step in the ultimate success of a project. The owner will remember more about
this stage of the project than most others because it is the fulfllment of their investment of time and money.
At this time the architect must determine whether unfnished punch list items are completed and whether the
client has all of the project documentation required by the construction contract.
This activity is intended to help your determine if a project has been constructed as it was designed and
if the client is satisfed with the fnal result. The level of completeness of project closeout will infuence
the extent to which you will be able to make your evaluation because accurate and complete records are
necessary for comparing as-built conditions to as-designed plans.
Activity - Core
With the guidance of your supervisor or mentor, select an appropriate completed project for a project
closeout evaluation. Assemble all project records and review them thoroughly. In particular, include the
following in your study:
Note signifcant scope changes, problematic issues, and late arrival or completion of products or systems.
Read the requirements for project closeout in A201 and in MASTERSPEC, Section 1. Review the
contractors closeout documents and compare them to the requirements of the project specifcations. Has
the contractor met these requirements? Review the punch lists and certifcates of substantial completion
to determine the amount of work required to inspect for fnal completion. Prepare a schedule for walking
the building to review punch list items. Will the review take more than one site visit?
If your frm or your mentors frm agrees, contact the building operator and schedule a visit to the project to
review completed conditions. Your frm or mentor may wish to have the project manager make the contact
and accompany you. As you review the project, answer the following questions:
Have the punch list items been resolved?
Is warranty information available for the owner?
Is the contractors closeout information neatly assembled and easy to follow?
Was a fnal change order issued?
Was a fnal certifcate for payment issued?
Prepare a written report and submit it to the project manager or principal in charge. Note how the research
you prepared before your visit did or did not correspond to what you encountered on site or was noted
by the building operator. Retain the report in your personal portfolio for use in future project closeout
evaluations. Share your work with your IDP supervisor or mentor and make suggested changes.
Meeting reports
Field observation reports
Change order log
Record drawings
Certifcate(s) of substantial completion
Punch lists
Correspondence related to closeout
Warranties and guarantees
Field observation reports and
correspondence after project completion
Final application for payment
Final change order
403
3C
The Owner-Architect-Contractor (OAC) Meeting
The Owner-Architect-Contractor meeting, also known as the project meeting, is the primary means of
communicating between the three parties during the construction phase. It is typically conducted based
on a standard agenda, and it usually contains actions items assigned to specifc team members with set
completion dates. It is typically held on the project site at the same time of the week or month. Attendees
typically include the owners representative, the architect, the architects consultants, owner consultants, and
the contractor.
In the meeting, project issues and activities relating to project completion are discussed. These issues are
typically critical and time driven. Tasks are assigned to specifc parties with defned completion dates.
In this scenario, you are providing contract administration services on a retail strip center. The contractor
has been selected through a negotiated contract, and the frst OAC meeting is scheduled for next week.
The meeting will be held weekly, and it will follow a set agenda. You will conduct and report on the meeting.
Your objective should be to generate the meeting report as soon as possible after the meeting so that team
members can act upon their assigned tasks.
Typical attendees at the meeting will include the following: Owners designated representatives, Architects
designated representatives, Architects consultants, Architects site representative, Contractors designated
representatives, and Contractors prime subcontractors. Others may attend such as the owners separate
contractors, testing lab representatives or special consultants.
AIA Document A101, Standard Form of Agreement Between Owner and Contractor
AIA Document B101, Standard Form of Agreement Between Owner and Architect

Read the reference documents thoroughly; you may wish to consult relevant documents from an existing project
as a guide. Prepare a standard agenda for the OAC meeting. In preparation, answer the following questions:
What are the owners typical issues?
What are the ongoing issues, such as submittal status, RFI status, and change status?
What are the contractors issues, such as project schedule and quality control testing?
What special issues may arise, and how can they be accommodated by the agenda?
There will be ongoing issues that require attention by specifc team members and required resolution
dates. Include a means of tracking these issues until resolution. This is called the action item format, and
they include specifc responsibility, assigned party, and date to complete.
Prepare the meeting report format that will be used throughout the project. Determine the copy distribution
for the report and the content format. As you prepare the report, answer the following questions:
Will images be included?
What will be the format, action item or narrative?
What others in addition to the owner and contractor will be on the distribution list?
Activity - Elective
404
3C
The architects feld report is the document commonly used for keeping the owner informed about the
progress and quality of the work. Preparation of a feld report requires knowledge of the contract documents,
knowledge of construction, and access to the work.
A feld report may contain brief statements addressing the work status and work conformance. Images can
be included in the report to give the reader a visual point of reference on the project. Images can also be
used to indicate a nonconforming condition.
Field reports should be succinct and factual, without emotional commentary. The information should be
logical and progressive with clear subheadings. It should be easy for the reader to identify the portion of the
project being addressed.
Reports should be numbered, dated, and indicate the project name and number. Distribution should include
all primary participants on the project unless otherwise directed by the owner.
In this scenario, you are visiting a project site to perform site observations and prepare a feld observation
report for the owner. The project is United Development, and the project number is 1400.
Note: If a project under construction is not available, use a completed building such as your offce or your
home.
Prepare a feld report addressing the status of construction, and list discrepancies in construction and
fnishes. Format the report with subheadings for each room, building faade, or exterior area.
As you prepare your report, answer the following questions:
Who will be reading the report?
Will images be included?
To whom will it be distributed?
Are there areas that were not observed on the last visit?
Should consultant feld observation reports be attached?
version as a PDF.
Activity - Elective
405
3C
Understanding Construction Activity Pollution Prevention
The prerequisite for sustainable site credit in LEED certifcation is construction activity pollution prevention.
The intent is to reduce pollution from construction activities by controlling soil erosion, water sedimentation
and airborne dust generation.
This is achieved by implementing an Erosion and Sedimentation Control (ESC) plan for all construction
activities associated with the project.
The Plan describes the measures implemented to accomplish the following objectives:
Prevent loss of soil during construction by storm water runoff and/or wind erosion, including
protecting topsoil by stockpiling for reuse.
Prevent sedimentation of storm sewer or receiving system.
Prevent polluting the air with dust and particulate matter.
ESC plans are created during the design phase of a project, and they are implemented during the
construction phase.
LEED Reference Guide for Green Building Design and Construction. U.S. Green Building Council, 2009. If your company
does not have a copy it can be ordered at www.usgbc.org.
An example Erosion and Sedimentation Control plan
Review an ESC plan from an existing project pursuing LEED certifcation. The plan is submitted as
a construction submittal during the construction phase. Review the plan and check for the following
documentation:
Copies of project drawings documenting the erosion and sediment control measures implemented
on the site.
Confrmation of the compliance path taken by the project.
A narrative describing the erosion and sedimentation control measures implemented on the project.
Review the civil engineering documents for notations and instructions regarding the plan.
Prepare a report on your fndings. Include discussions with the project team members regarding the
additional efforts required to administer the ESC along with typical construction phase activities.
As you prepare your report answer the following questions:
Did the contractor meet all of the LEED requirements?
Did the civil engineer give the ESC plan a favorable review?
Did the project achieve its LEED certifcation objective?
version as a PDF.
Activity - Elective
406
3C
Omitted Fireproong on Structural Steel
The work you design as an architect must conform to code. If the design is not in conformance, occupancy
certifcates could be withheld until corrections are made. In this exercise, a nonconforming condition is
discovered late in the construction process. The exercise illustrates the need for timely, decisive action.
In this scenario, you are providing construction administration services for the renovation of a historic
building. The renovation includes the addition of structural steel columns and beams to support a concrete
deck balcony around the perimeter of the lobby. The steel frame is wrapped with a high-fnish Venetian
plaster. The underside has a gypsum board ceiling with recessed light fxtures and sprinkler heads.
The project is on schedule and nearing completion. You are visiting the site to prepare an architects feld
report when you discover that the required freproofng on the steel frame was omitted on the drawings.
The plaster is in place, along with the rough-in of the lights and sprinklers. The only work remaining is the
gypsum ceiling and the lighting and sprinkler trim.
The citys code review apparently missed the absence of freproofng, but the citys failure to fnd the
problem will not exonerate you from your errors or omissions.
Prepare an outline for a plan to correct the problem. It will be necessary to inform the owner and the
contractor of the problem. List the steps required to evaluate the problem and develop a solution. As you
prepare the plan, answer the following questions:
What are the options for achieving an approved solution?
Who should be involved in the resolution?
What consultants are needed?
What subcontractors will be affected?
What will be the impact on the construction schedule and project completion?
What temporary work may be required to avoid a delay in the project opening?
Write a memorandum to the owner and contractor describing the problem. Explain that you have
developed a plan for correction and request a meeting to review and discuss.
The solution will be implemented by the contractor and must be approved by the city. Develop agendas for
the required meetings.
version as a PDF.
Activity - Elective
407
3C
Owner Decision Affecting Public Safety
Owner accepted nonconforming work exists on almost all projects, and the AIA documents allow for the
owner to accept such work. However, nonconforming work that affects health, safety and welfare is another
matter. The architect must reject such work and insist that it be brought into conformance.
In this scenario, you are providing construction contract administration services in a retail center for a 10,000
square foot stand-alone shoe store. The client has elected to provide some of the building products for
contractor installation. One such product is the building door hardware; however, it was included in your
contract.
As the project nears substantial completion, the client informs you that you are not to inspect owner-
furnished, contractor-installed items for substantial completion. The owner advises that he will do that with
his own forces.
Your certifcate of substantial completion covers all portions of the construction contract, including owner-
furnished, contractor-installed items. You think about how you will explain to the owner that you must inspect
all of the work under the contract.
As you are preparing your punch list, you notice that the exit door from the stock room to the building
exterior does not have panic hardware, an obvious code violation. Instead, it has been ftted with a less
expensive lockset.
Review A201 to determine the requirements for the work to conform to applicable codes. Review the
architects responsibilities for inspecting for substantial completion and citing all nonconforming conditions.
Prepare a memorandum to the owner rejecting the condition as nonconforming work and informing her
of the requirements for code compliance. Cite the AIA Code of Ethics requirement for you to contact local
building offcials if the condition is not remediated.
Prepare a memorandum to the local code offcial to send in the event the owner does not cooperate. As
you are preparing your work, answer the following questions:
What type of documentation is required for the nonconforming work?
If a change order had been written deducting the panic hardware, what actions would be required
to correct the construction contract?
Can the correct hardware be installed on the rated door without violating the rating?
How can you best explain to the owner that this situation is not a matter of choice for either of you?
version as a PDF.
Activity - Elective
408
3C
ADA Noncompliant Doors
One of the most important aspects of architecture services is their impact on the health, safety, and welfare
of building occupants. These exercises illustrate the importance of your professional design responsibilities
as they affect use by the general public.
In this scenario, you are providing construction contract administration services on a health care facility.
The fre separation in the building is achieved in part by rated doors in the hallways. The hallways are 5-0
in clear width and the door width is 3-0. In order to comply with ADA, the latch side of the door must be at
least 15 inches from the hallway wall. This will leave a balance of less than one foot on the hinge side.
You are walking the project performing a site observation, and the light-gauge interior metal framing has just
begun. As you move through the hallways, you notice that the framed opening for the rated hallway doors is
centered in the hallway.
You return to the job trailer and check the contract documents. They indicate that the doors are centered.
This condition will not result in the 15 inch offset required by the ADA. You sit back in your chair and think
about the appropriate actions to take.
Review the documents in a similar project to determine which drawing sheets are affected by such a
discrepancy. List the affected sheets.
Write a memorandum to the owner and contractor identifying the discrepancy. Provide a time line for
revising and reissuing the documents. Request that the contractor provide a cost for re-framing the
hallway doors as well as an assessment of the impact on the construction schedule. As you prepare your
Which change document is appropriate to use in this instance?
How do you best explain to the owner how the mistake occurred?
Should you mention in the memorandum that you are not charging fee for the correction?
When preparing your memorandum, answer the following questions:
Should you avoid referencing the project in the communication to keep from creating risky
documentation?
How can you present your critique in a non-threatening accusatory way?
Should you suggest hiring an ADA consultant on future projects?
What quality control (QC) approach should you recommend on future projects?
version as a PDF.
Activity - Elective
409
3C
Mold Discovered at Site
This activity involves the discovery of a sensitive environmental condition and the actions required for
mitigation.
In this scenario, you are walking the site, observing the work and preparing your feld report. It has rained
heavily over the past week. Although the contractor has taken measures to protect the building with plastic
sheeting, water has pooled in some areas on the building slab.
You walk through the stacks of drywall and metal studs stored on the foor, to the northeast corner, where
drywall already has been installed. As you move toward the stair at the edge of the building slab, you see
wet drywall with black mold two feet up from the slab.
AIA Document G716, Request for Information (RFI)
Prepare an architects feld report noting the mold on the drywall at the northeast stair tower. Cite specifc
locations and reject the work where the mold is present. Note that the drywall containing the mold will
have to be removed and replaced, and the metal studs at the mold location will require antimicrobial
treatment. As you prepare the report, answer the following questions:
How will you format the report for clarity?
What article(s) of the general conditions should you reference?
What wording should be used to reject the work so that it is consistent with contract requirements?
Should you recommend that an environmental consultant be retained to manage the remediation?
Prepare an RFI to send to the contractor, requesting a complete description of locations where mold is
present. Set a time limit of one week for receipt of a response. Request a plan for drying in the building
and remediating the wet drywall and mold. The contractors Plan of Action must address the following:
Extent of mold contamination
Source(s) of water intrusion
Method of cleanup and decontamination
Future preventive efforts
Construction phasing (dry-in/work sequencing)
Collateral damage to work
Time line for accomplishing the work
Write a memorandum to the contractor rejecting the damaged area. Advise that the areas in question may
require destructive investigation to determine whether mold is inside the walls.
version as a PDF.
Activity - Elective
410
3C
Nonconforming Ceiling Grid
The purpose of site observations is to report the progress and quality of the work to the owner. Sometimes
the work may appear to be correct, but on closer review discrepancies may be observed. The nonconforming
condition may function as well as the original design, but unless the owner chooses to accept the
nonconforming work, it must be corrected or replaced.
In this scenario, you are providing construction contract administration services on a medical offce building.
The job is a little behind schedule, and the contractor is working extra hours to complete on time. The
contractor has informed you that the ceiling grid has been installed, and if you want to do an above-ceiling
punch, you should do it before the ceiling tiles are installed.
The project has a reception area with a 2-0 x 2-0 suspended acoustical ceiling that has a higher ceiling
height that the remaining areas of the building. The grid has been installed, but not the ceiling tiles. No shop
drawings were submitted for the ceiling grid layout. The contractor informed you that the grid would conform
to the refected ceiling plans.
As you observe the grid you notice that it is installed with a full tile against one wall and a 6 inch wide tile
on the other. You remember that the specifcations call for centering the grid so that the partial tiles on
each opposing wall will be equal. You pull out your half-size set of drawings, and you note that the grid is
centered.
Write a feld observation report noting the nonconforming condition. Reference the location of the work in
the building.
Prepare a memorandum to your MEP consultant requesting they confrm that the lights and mechanical
grills will function properly with the nonconforming grid in the event the owner chooses to accept it.
Prepare a memorandum to the owner and contractor rejecting the nonconforming work and requesting
a meeting to discuss the condition. The owner can decide in the meeting if she wants to accept the
nonconforming work.
As you prepare the report, answer the following questions:
What section of MASTERSPEC should be cited for enforcement of the nonconforming work?
What article in the general conditions should be cited for the contractors requirement to correct
nonconforming work?
What article in the general conditions should be cited relative to the owners acceptance of
nonconforming work?
How can I best present the options to the owner for acceptance or rejection?
version as a PDF.
Activity - Elective
411
3C
Consultant is Also Subcontractor
Because contractors have specialized knowledge about their products and systems, designers sometimes
use them as consultants. A common example is the hardware supplier who may assist in preparing
the hardware specifcation only to appear later as the installing subcontractor. As both consultant and
subcontractor, he prepares his own shop drawings and answers his own requests for information.
In this scenario, you are providing construction contract administration services on an offce building on
the Florida coast. In this locale, wind loads are much greater than in inland areas. There is a requirement
for hurricane shutters on all windows, and you have designed a large ornamental window at the building
entrance. You have researched available markets, and you can fnd only one company that has built a
hurricane shutter of this size, so you are compelled to use this company as a design consultant. You obtain
approval from the owner, cautioning her that this supplier may inevitably be the installing subcontractor.
Construction progresses and soon it is time for the hurricane shutters to be installed. The window supplier
has submitted shop drawings through the general contractor, and you have routed them back to the supplier
for review and approval. When your offce reviewed the suppliers comments on the drawings, no one
notices the note in the corner of the sheet that read, Attachment as required.
Soon after the window installation begins, the general contractor informs you that larger metal clips are
required to install the large window due to the wind loads. She says that no clips were shown on the
drawings, and they will be an addition to the contract. The owner, who is already unhappy about the cost of
the large window and the shutters, refuses to consider an add change order. She asks why you used the
supplier to design the window in the frst place.
List the conficting issues that can arise when a subcontractor is also the design consultant. Consider
confict of interest, contract status, communications, approvals, and design quality. Review the documents
for requirements for subcontractors. Prepare a memorandum to the general contractor and owner
summarizing the development of the shutter design, and request a meeting to resolve the issue.
Prepare a meeting agenda for the resolution meeting with relevant topics listed in the order of importance.
Prepare a narrative for presenting this issue at the meeting. Be mindful that the owner does not work in
construction and your terminology and jargon must be understandable. Explain thoroughly for those that
may not easily understand. As you prepare your work, answer the following questions:
Who should attend the meeting?
The contract anticipated a complete system, and the designer is also the contractor. Shouldnt the
clips already be in the price? How do I express this at the meeting?
Shouldnt the contractor have coordinated the shutter attachment?
What documents should be cited for contractor coordination requirements?
version as a PDF.
Activity - Elective
412
3C
Late Glass Installation Results in Water Intrusion
The contractor is responsible for the sequencing and procedures used to put the work in place. However, if
the sequencing is such that the work is damaged, or may become damaged, the architect may question the
contractors means and methods.
In this scenario, you are administering the construction contract of an eight-story offce building. The
contract has a bonus clause for the contractor for every day the project is completed in advance of the
contractually scheduled date. The building frame has been topped out, and the roof has been installed. The
work is several days ahead of schedule, and the contractor vows to fnish a month early.
The contractor allowed the curtain wall subcontractor to start early, and the curtain wall frame has been
installed to the sixth level. The glass delivery is not scheduled for three more weeks.
The day is overcast, and you want to get your building walk-through completed before it starts to rain. As
you enter the building, you hear the buzz of an electric screw gun. You remember that metal studs were
already in place on your last walk-through. You wonder if they are fnishing up the stud framing or if they are
correcting a problem.
As you walk through the door, you see the drywall subcontractor installing drywall in the perimeter offces.
The sound of thunder can be heard in the distance.
Compose an email to send immediately to the contractor, with copy to the owner, citing the contractors
responsibility for protecting the work. Advise the contractor of the consequences if drywall is damaged.
To prepare for this notice, review AIA Document A201 for the contractors responsibilities for protecting
the work. Also review MASTERSPEC, Section 1 for contractor responsibilities for sequencing and
protecting. As you prepare to send the notice, answer the following questions:
What language in MASTERSPEC should be cited?
What language in A201 should be cited?
What will be required to document damaged drywall?
Should inclement weather be accepted as an offset for lost time in remediating damages work?
Assume that the weather damaged the perimeter drywall.
Prepare a memorandum to the contractor rejecting the damaged work and requesting an action plan
and schedule for remediation. Advise the contractor on your decision as to whether the rain constitutes a
weather delay. Remember that if the building had been protected, the damage would not have occurred.
version as a PDF.
Activity - Elective
413
3C
Work Installed Without Approved Shop Drawings
Shop drawings are the means by which the architect determines if the contractors interpretation of the
design concept is acceptable. Accordingly, A201 prohibits the contractor from performing work that
requires a shop drawing until the shop drawing is approved by the architect or its consultants. When the
contractor installs work without an approved shop drawing, he is in breach of his contract and he performs
the work at his own risk.
In this scenario, you are providing construction contract administration services on a replacement hospital,
and the building structural frame has just been topped out. The contractor has begun installation of light
gauge metal framing at the lower level. You have received and approved the shop drawings for the metal
framing, but you have not yet received the submittals for the hollow metal door frames.
You are performing a site visit to observe job progress to review an application for payment. You notice that
the contractor is requesting payment for hollow metal door frames. You remember reviewing a substitution
request for component knocked down (KD) hollow metal door frames, but you rejected it because your
specifcation requires full profle welded frames.
As you walk through the frst foor you see workmen installing component metal door frames. The contractor
has not only purchased nonconforming materials, but he is installing the work without approved shop
drawings.
Prepare a memorandum to send to the owner and contractor rejecting the nonconforming work and
advising that no payments will be certifed for the hollow metal frames. Cite language from A201
that prohibits the contractor from installing work without approved shop drawings. Cite language from
MASTERSPEC, Section 013300 that sets out the requirements for submittal procedures and a submittal
schedule. Cite language from MASTERSPEC, Section 081113 requiring full profle welded frames.
Request a submittal schedule and a schedule for removing the nonconforming frames from the site and
submitting complying shop drawings for frames that meet all specifcation requirements. The schedule
must address the impact to the overall construction schedule. As you prepare your work, answer the
following questions:
What actions can be recommended to expedite the review of the hollow metal submittal?
Should the next payment certifcation be contingent on the contractor providing a submittal
schedule?
How do I best explain to the owner the quality difference between the two types of frames?
What actions need to be taken if the owner elects to accept the nonconforming hollow metal door
frames?
How would the credit for the cheaper frames be determined should the owner accept them?
Activity - Elective
414
3C
Revising the Design Review Board Standards & Zoning Code
In this scenario, you are a member of the Our Town Planning Commission. The Town Council has appointed
you to lead a Task Force of Commission and Design Review Board members (and with the assistance of
certain staff members) to revise and update the towns Design Review Board (DRB) Standards and Zoning
Code for new housing. The Council is particularly interested in the Standards and Zoning Code as they
relate to the design, density and massing for projects where the property is zoned for multiple housing units.
The reason for the rewriting of the Standards and Code is that there is a lack of affordable housing in the
community. As the value of property increases it has become harder and harder for the town to create new
affordable housing without increasing the density. The Council would like you to study the problem and
report back with your task forces recommendations.
Some civic groups in Our Town are backed by developers and residential contractors that are pushing to
allow greater density. In addition, they would like to see the DRB reduce or eliminate most of the visual
and design requirements presently in place because this just adds money to the project. They are calling
for 25% Design. A project that utilizes 25% Design has the front or street facing elevation meet the DRB
standards for detailing, materials and colors. The other 3 elevations are stripped of the detailing and use
materials not currently allowed by the Standards such as stucco. In most of these projects, there is a lack of
screening and so these views are highly visible from the street and to the neighbors of the development.
The staff is not convinced that the DRB Standards are helping to create better design. They tend to agree
with the 25% Design approach outlined by the developers and contractors but think that heavy landscape
grading and planting to screen the sides and rear elevation is the most appropriate solution for these
projects.
Your neighbors and friends who live in the community are very concerned about the effect that the increased
density and lowered design standards would have on their property values. They are also concerned about
traffc, noise, increased infrastructure costs and the impact to an already burdened school district that this
density will bring to the neighborhood.
How will you organize the Task Force and assign priorities? What types of issues will you deal with as you
review the Standards? How do you achieve the goals of affordable housing and address the concerns
of the existing neighborhood? How will you respond to staffs attempts to infuence the writing of the new
Standards? How will you respond to local housing developers and the publics infuence?
Study the design review board standards and zoning codes in a local city or town. Make an appointment
with a DRB member and/or zoning offcial to discuss the issues of this scenario. Use this opportunity to
discuss some of the local politics of the town. Write a 400-500 word analysis of how you would approach
this task. In addition, provide a written response to the following questions:
As a professional, where do you draw the line between the best interests of the property owner
and the needs of the overall community
As a Task Force Leader, what recommendations would you make to City Council
Describe what other pressures you anticipate will be brought to bear on your Task Force and by
whom.
version as a PDF.
Activity - Elective
415
3C
notes
416
3C
3D
General Project
Management
activities - core*
introduction
439
440
441
442
443
444
445
446
447
448
449
450
451
452
453
454
455
434
435
436
437
438
434
418
Technical Coordination Meetings
Attend a Project Meeting & Write a Meeting
Report
Study a Firms Job Cost Budget Process
Prepare a Proposal
Prepare a Draft Work Plan
narrative 420
Devising a Schedule for the Production of
Construction Drawings
Observing Contractor Selection
Understanding Integrated Project Delivery
Terminology in the Construction Phase
Trying to Understand the Contractors Point of View
Matching Delivery Mode to Client Needs
Integrated Project Delivery Team Design
Prepare a Stafng Plan
Integrated Project Delivery Team for a Non-Prot
Housing Corporation
Project Delivery & Firm Direction
Understanding Design Development
Understanding the Contractors Involvement in
When Your Project is Over Budget
Examine Estimating Fees & Consider In-House
Estimating Capabilities
Consultants Who Report Directly to the Client
Being the Clients Advocate: Advising of Fast-
Track Risks
Project Management During Construction Phase
Professional Liability Insurance/Risk
Management
exhibits
-----
General Project Management
418
resources
3D
Internships.aspx.
2008.
Chapter 13 - Project
Management

2001.
Chapter 14 - Project
Management
2009.
Chapter 9 - Project
Management
Introduction
of the activities involved in general project management. The following
Minimum General Project Management Experience: 240 Hours
Defnition: Includes planning, organizing, and staffng; budgeting and
scheduling; leading and managing the project team; documenting key
project information; and monitoring quality assurance.
Tasks
Prepare and manage design contracts (owner/architect)
Prepare and execute professional services contracts (architect/
consultant)
Attend, conduct, and record meetings throughout all phases
Select, manage, and coordinate consultants
Partner with the owners project delivery team
Prepare and manage design team schedule and budget (consultant
and staff costs)
Obtain client authorization to proceed per contract phases
Present at public hearings
Document project status and progress
Monitor project construction costs
Prepare owner/contractor agreement
Conduct post-occupancy evaluation
Identify the project design team members and their required scope
of services, roles, and responsibilities (e.g., architects, engineers,
specialty consultants)
Identify the project delivery teams roles and responsibilities (e.g.,
owner, architect, contractor, program manager)
Identify project delivery method
Construction procurement (e.g., bidding, negotiating)
Electronic communications (e.g., virtual offces, video-conferencing,
web-based networking)
Post-occupancy evaluations
notes
419
3D
420
resources
3D
Ramroth, William G. Project
Management for Design
Professionals. Chicago, IL:
Kaplan AEC Education, 2006.
Narrative
Most building design and construction projects involve multiple frms
and many people. In these endeavors some people do the work and
others direct the work. The latter rolethat of project managercan be
a principal of the frm, director, designer, project architect, or job captain.
Regardless of who takes on this role, however, the responsibilities of the
project manager must be directed toward accomplishing the goals and
objectives of the project. The design and construction industry is a project-
based world. As such, project management is a key component for any
architect or architecture frm.
Project management involves assigning, overseeing, directing,
coordinating and monitoring the work of members of the project design
team. It also involves managing employee, client, consultant, and
contractor relationships. Although exact duties may vary all of these tasks
depend on effective communication.
Some project management responsibilities spring from what is objectively
defned by the architects contract for services. These include issuing
notices; providing certifcations; and reporting fndings, decisions, and
observations. Other objective responsibilities may be viewed as industry
standards, including such things as attending project meetings, preparing
meeting agendas, writing meeting reports, and generally attending to
correspondence and documentation.
Subjective and more intangible responsibilities often require a broader
application of judgment than objectively identifed responsibilities. This side
of project management relies on attitude, personality, behavior, and even
personal habits. It involves people skills, such as being a good listener,
motivating team members, and leading confict resolution.
What Makes an Effective Project Manager?
Attitude
Project managers must have not only the skills to accomplish activities
and responsibilities but also the willingness to bring an appropriate attitude
to their role. Most important is dedication to being a strong leader. The
effective project manager must be willing to make decisions and take
action. The project manager cannot do all of the work personally, and
must delegate tasks and rely on others to do much of it. A willingness to
believe in others is necessary, as well mentor colleagues and clients on
how to view and participate in the project. Many project managers see the
work being accomplished exactly as he or she would do it. Yet successful
delegation of tasks involves understanding when the work being done is
good enough.
In overseeing the work of others as the project evolves, it is often
necessary for the project manager to be a coach or motivator. This calls
for laying the work out in a clear way and setting reasonable goals for what
is to be accomplished. If the tasks or time frame are not reasonable, the
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manager must either revise the work plan until the tasks are more achievable or motivate the team to rise to
the occasion. A project manager must realize that most teams can stretch to meet the demands of diffcult
assignments, but that such assignments should be an exception and not the rule.
Project managers must be willing to see project circumstances from multiple points of view and to maintain
a neutral attitude when conficts arise. Nearly every aspect of project management requires give-and-take;
it should be anticipated and embraced. The project manager who fnds confict threatening or frustrating will
fnd successful outcomes diffcult when disagreements arise.
Problem Solving
Unexpected issues arise as a part of every project. This makes problem solving a critical part of the
management process. Coupled with this is the need for project managers to successfully negotiate solutions
to problems, with either the client or the contractor. Problems can be viewed as meat and potatoes for the
project manager, served in great helpings on a daily basis.
Problems cannot be avoided, nor are they evidence that someone has done something wrong. For the most
part, design, schedule, cost, and quality problems are opportunities to improve the project along the way.
Intuition and the ability to research, understand, and resolve problems are important attributes for a project
manager.
Communication
Communication is the glue that holds all aspects of project delivery together. While the project manager is
a distributor of information, a much more important responsibility is facilitating communication among the
project participants. Since the project manager is in a position to oversee most of what is happening on a
project, he or she is often in the best position to moderate discussions between the client and the design
team or between the client and the contractor.
Client Expectations and Project Management
A signifcant ingredient in project success involves understanding and meeting client expectations. The
foundation of the clients experience is the clients expectation of how the architect is to perform. The
project manager who understands the clients expectations has a better chance of successfully guiding the
project teams effort to meet them. If client expectations are unreasonably high, the architect may not be
able to meet them even if they are fully understood. In such cases, the architect may need to help the client
understand the capabilities of the frm and set more relevant and reasonable expectations.
Setting Expectations
An effective way to meet client expectations is to help set them. This is most often accomplished through
frank discussion of potentially tough issues, before they become problems.
Tackling Diffcult Issues Head On: Architects do not always talk effectively with clients about the services
they provide. Often they try to sugarcoat tough issues in an effort to be viewed as non-confrontational.
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Abramowitz, Ava J. Architects
Essentials of Contract
Negotiation. New York: John
Wiley & Sons, 2002.
For example, although errors and omissions are a normal part of
professional life, many architects avoid bringing up the subject.
However, it is best to discuss diffcult issues associated with project
expectations directly with the client and other project participants.
Determine what each participant believes is true and what is reality.
With an understanding of any different perceptions, the issues can
be debated in the best interest of both the client and the project. If
this communication does not take place, conficts are defnitely on the
horizon.
Explaining consequences: Discussing the potential consequences of
a decision or a change is important. Clients may not always want to
believe what the project manager has to say and, in fact, may disagree.
Nonetheless, they usually want to hear the project managers opinion
because it is part of the service they expect. For example, if a client
decides to eliminate waterproofng on the basement walls, it is not
enough for the architect to simply disagree with the decision. The
project manager should go a step further and explain that the decision
could result in water leaking into the basement, causing damaged
fnishes and expensive repair costs. While such consequences may
seem obvious to the experienced project manager, they might not be
so obvious to the owner. Other client decisions may have less obvious
consequences. For instance, a decision to save money on a building
system may be likely to increase maintenance expenses. The project
manager should share this with the client in plain language.

In all cases, however, the architects belief should be discussed with
the client when a change is requested and not after the change has
been completed. Even if the architect is overruled, the owner is likely to
remember that such concerns were expressed.
AbsoluteExpectations: Architects tend to state things in absolutes
because they want to explain things clearly and without ambiguity. This
use of absolute terms may stem from the fact that most owner-architect
agreements delineate payment of professional fees in accordance
with the percentage of work completed. Thus, the architect may label
a set of construction drawings 100% complete in order to qualify for
payment. However, in fact, a single set of construction drawings is
unlikely to be 100 percent complete, and labeling them as such can
create an expectation of performance that is unintended and even
unachievable.
Risk Management in Project Management
The project manager must always be an advocate for the project design
team. This may include standing by frm employees or the consultants
working on the project. However, at times, the project manager is called
upon to advocate for the client or for the contractor. Loyalty from clients
usually grows from their perception that the architect is doing a good
job. The project manager can build this loyalty by understanding that the
client, not the project, is the frms valuable asset. Delivering the project
through dedicated service, and taking care to understand and advocate
for the clients goals throughout, can help win the clients loyalty. When
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clients consistently feel the project manager is on their side and has their best interests at heart, success is
closer at hand. The project manager also may need to advocate for the contractor. For example, contractors
frequently make suggestions for improving a project or reducing costs but may require the project managers
assistance to explain these suggestions to the owner.
A Word of Caution: If a project manager becomes an overt advocate only for the architect, he or she risks
abandoning and alienating the client. The best approach is to adopt the objective attitude that a good project
is a successful project, with ordinary problems and a satisfed client.
Project Management Activities
In carrying out day-to-day duties and responsibilities, project managers marshal and apply their knowledge
and skills to lead, solve problems, motivate others, advocate, measure, document, and communicate.
The management of architectural projects consists of activities that can be grouped into several broad
categories for which the project manager is responsible:
Planning, organizing, and staffng the project
Facilitating the work
Monitoring progress
Concluding the project
These groups of activities essentially embody the full range of tasks and responsibilities that project
managers will encounter in their assignments.
Planning, Organizing, and Staffng
The project manager usually takes charge of planning, organizing, and staffng a project. This simply means
the project manager develops a primary understanding of how and when the project will be worked on and
what leadership and staff will be needed to perform the work. The project manager usually interacts with frm
leaders, and perhaps with other project managers, as this understanding becomes documented in a work
plan.
Development of a work plan for the project begins with consideration of schedules, ways to organize
relationships between the parties, the frms available resources, and perhaps fees. In addition, how the
leadership for the project will be organized and what experience and specialty levels will be required are
identifed.
The Work Plan
The work plan is a key part of effective project management. To be useful, a work plan need not be
complicated or lengthy. For most projects, it need only include the elements listed on the following pages.
Even on large projects, this information may take up no more than a few pages.
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Maintaining a work plan is an ongoing process. Projections for staffng, schedules, and budgets must be
revisited and adjusted as new information becomes available. When carefully prepared, items one (1)
through seven (7) can be presented to clients to illustrate how you plan to approach their projects. The work
plan should include the following:
1. Project description and client requirements. The work plan includes a description of the project,
including its scope and the clients budget, as well as a record of what work the client has authorized.
The clients primary goals for the scope and quality of the project should also be incorporated into
the project description.

Depending on the project phase, client authorizations may be represented in the work plan by a
simple checklist of authorized work keyed to copies of signed owner-architect agreements. Client
authorizations can include various kinds of documentation, ranging from letters of agreement to
formal contracts to phase-completion sign-offs. The project manager tracks and monitors all of these
authorizations.
2. Statement of deliverables. Projects normally include a work product or deliverable produced by
the architect. Such deliverables may include reports, sketches and drawings, specifcations, virtual
or physical models, and other items. The work plan should include estimates for the types and
quantities of deliverables required to complete the work. The format of this estimate can be a simple
list or a storyboard or cartoon depiction of the deliverables for each phase of the architects services.
This description and estimate provides a basis for developing the project schedule, staffng needs,
and budget for the architects work.
3. Team organization. Owners want
information on how the architect will
organize project staff, and how that staff
will relate to other parties involved in the
project. A chart is helpful for communicating
the relationships between the project team
participants.

A team chart typically refects who the
primary project leaders will be, such as the
principal-in-charge, the project manager,
designers, project architects, and job
captains. While there can be many position
titles in an architects offce, the basic intent
of the team chart is to defne the hierarchy
of the architects team, refect who will
be responsible for what assignments,
and show primary relationships between
members of the project team.
4. Responsibility matrix. A companion task
to defning deliverables is determining
who will do what on the project. When a
project requires consultants, it is important
to have an explicit understanding of what
each consultant will do. For example, it is not enough to have a seat-of- the-pants understanding
that the M/E/P engineer will do the M/E/P engineering. A more detailed understanding would
distinguish responsibilities such as these: The electrical engineer will wire and circuit the landscape
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architects lighting design, or the M/E/P engineer will coordinate HVAC equipment selections with
the acoustical engineer.
5. Preliminary schedule. Most requests for proposals (RFPs) received or tendered by the architect
relate in some manner to the project schedule. This means the work plan should delineate the
preliminary project schedule as clearly and as accurately as possible. Whether the objective is
to complete a retail project in time for the fall shopping season or to open a sports facility for the
opening home game, the owners goals for the project often dictate its major milestones. Into this
mix, the architect must project
the teams ability to perform the
work within the owners set of key
dates. The preliminary schedule
is one of the primary drivers of the
architects assessment of staffng
needs.

Project managers must also
learn that a project schedule is
more than a simple bar chart
that represents time periods.
A project schedule is the
graphic representation of an
organized series of promises
and commitments. It cannot
be developed in a vacuum. It
must be developed through
collaboration and coordination.
6. Preliminary staffng needs.
Preliminary staffng requirements can be estimated once the project scope has been delineated,
the deliverables understood, the consultants responsibilities defned, and a preliminary schedule
developed. The project manager may work with upper management (in a larger frm) to determine
what key personnel will be available and what support staff will be required. If available staffng
becomes a greater constraint on the frms ability to deliver the project than the clients scheduling
goals, the frm may need to revisit the preliminary schedule with the client and perhaps revise it.

When project leaders and staff positions have been identifed, the project manager reviews the
project organization chart and the required tasks to verify that assigned staff members have the
needed skills and experience for the work they will be doing. In fact, staff experience is rarely evenly
matched to the project assignments, so the project manager will always need to make adjustments
to effectively use the talents of everyone assigned to a project.
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Learn more about Project
Management Best Practices
Resource (AKR): www.aia.
org/practicing/bestpractices/
AIAB091185
7. Project directory. A project directory with current listings for all
project entities and their key personnel should be included in the
work plan. This can be prepared in a format the frm normally uses,
or the entries can be printed from an e-mail management program
such as Microsoft Outlook. More simply, organized copies of
business cards can be used to develop a directory.
8. Project budget and proft plan. The project manager may
sometimes be assigned the duty of apportioning the project fee to
the various tasks required to produce the work to help estimate and
plan for the frms proft. Often referred to as a job cost budget or a
project budget, a copy of this should be included in the work plan.
9. Code information. Code information is optional.
Facilitating the Project
As the role of the project manager has evolved, what was once thought
of as controlling the project has come to be more a role of facilitating
the project. The delivery of design services is facilitated through
communicating effectively; developing good working relationships with the
client, contractor, and consultants; providing assistance to parties whose
decisions are necessary to keep the design services moving forward; and
developing and using effective documentation.
Managing the Project Team
Managing the project team? This sounds like an overwhelming
responsibility. However, the basic requirement boils down to a few key
ideals. The frst calls for understanding what the team is to accomplish.
The second requires an understanding of who on the team has the skills
to do what tasks, and where additional resources may be needed. The
third is fostering a communications environment in which all parties are
kept informed of what is expected of them and when their assignments
are due. The key tools and techniques for accomplishing this are the work
plan, effective management of project meetings, and reasonably thorough
documentation of key project decisions and actions.
Managing Project Meetings
Successful project managers must learn to orchestrate and administrate
project meetings. All project managers have faced the frustration of
disruptions, lack of preparation on someones part, or disruptiveeven
angrypeople while trying to run a meeting. It is possible to take an
analytical view of managing meetings and look at some ways a project
manager can be more effective. A frst step is to frst understand the
obstacles to a successful meeting, which include the following:
Too many people in attendance
A disruptive participant
People who dont pay attention
Unprepared attendees
Sidebar conversations
Cell phone or PDA interruptions
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You will have to fnd a way around such obstacles, even if it means bringing a gavel to the meeting. You
dont want the meeting so out of control that you have to raise your voice to get attendees to pay attention.
Meetings Schedule: Arguably, for any projectbut particularly for projects with more than three or four
participantsit is important to hold regular meetings. Setting a routine by conducting the meetings on
the same day of the week at the same time is advisable. Personal schedules tend to fall into a groove,
and the participants will adapt more effectively to regularly set meetings. On smaller projects, it will save
time and expense to organize the meeting via conference call if the agenda is short. Remember, it is
important not to skip meetings. Missed meetings erode communication, and lack of communication is at
the root of most problems on architecture projects.
Effective Agendas: Many project managers commonly arrive at a meeting with a single sheet of paper
titled an agenda. This approach refects a misunderstanding of what is to be accomplished by using an
agenda. The actual purpose of an agenda is to facilitate discussion rather than to remind attendees of
what is to be discussed. Therefore, in addition to the typical list of discussion topics, the agenda should
be attached to additional pertinent information, such as e-mails, memoranda, schedules, budgets,
reports, and the like. While this consumes more paper, attaching pertinent backup information to the
agenda removes the risk that an important discussion item will be tabled because a particular attendee
cannot recall the details to be discussed.

The list of agenda topics should be distributed a day or two in advance of the meeting, along with a
request for comments. Although some recipients wont bother to read them, at least everyone will have
an opportunity to infuence the structure of the meeting.
Reporting on Project Meetings: Meeting reports, sometimes called minutes, are a record of the general
discussion, decisions made, directions given, and assignments accepted during the course of a project
meeting. With time-driven assignments, it is advisable to publish meeting reports as soon as possible
after the meeting. A copy of the agenda and any meaningful handouts presented during the meeting,
along with copies of drawings or sketches, should be attached to the meeting report. With the advent
of digital fles and sheet-fed scanners, the entire information package can be distributed quickly and
inexpensively via e-mail. Meeting reports may be prepared by the project manager or a team leader
appointed by the manager.

Although some managers believe meeting reports are primarily prepared for risk management purposes,
the effective project manager understands the primary purpose of minutes is to facilitate communication
among project participants. Meeting reports should be distributed to all pertinent personswhether
in attendance or notso they can stay up-to-date on the project status, recent decisions, and what is
expected from members of the project team. Reports should record discussions in enough detail so that
decisions and directions giveneven if not expressed verbatimcan be reconstructed.
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your Activities.
Managing Information
The project manager must be the driving force behind creation of the
documentary record while the project is ongoing. Documentation includes
preparing proposals and agreements, meeting agendas and reports,
phase sign-offs, memoranda, and other correspondence that facilitates
and explains communications between and among project participants. If
a project manager has poor documentation habits, the rest of the team will
tend to mimic those habits.
Managing and directing the fow of project information and saving
that information in an orderly manner is perhaps the most important
responsibility of the project manager. Of course, not all project information
is created internally. As information is received from outside sources, such
as the owner, consultants, or contractors, it must be processed. Processing
includes noting the date the material is received, determining who requires
copies, and deciding how the information will be preserved and fled.
Monitoring Progress
The project managers best efforts will not be suffcient if he or she
does not monitor the progress of the project against project goals
and objectives, the responsibilities established in the owner-architect
agreement, and what is required by the standard of care.
When monitoring the progress of a project, the project manager must
gauge and measure how well the client, contractor, consultants, and staff
are accomplishing the goals established in the work plan. Here, more
than in any other activity, the project manager must not adopt a passive
stance. If monitoring the progress of the project against the work plan
reveals inconsistencies, adjustments in course must be made. The project
managers lines of communication must be energized, and appropriate
decisions put in place to bring the project back in line.
Tracking Required Services
Project managers should be actively involved in the development of
proposals and agreements. Both small and large offces require a certain
discipline when developing these documents, since they set forth the
foundation for project success or failure. Ideally, the project manager will
be included in both the initial preparation of proposals and agreements as
well as in the negotiation of fnal agreements. Participating in this process
will give the project manager an intimate knowledge of both the frms
and the clients goals, and his or her familiarity with the issues will help
the frm maintain continuity throughout the delivery process. Encouraging
involvement of the project manager during this crucial stage of relationship
building with the client also demonstrates the frms confdence in the
leadership and authority of the project manager.
The Agreement: Project managers should keep a copy of the owner-
architect agreement in a notebook at their desks at all times. As
questions about services arise, the manager can refer to the contract to
see if the issue is addressed. The manager should make a checklist of
any contract-mandated reports or notices, schedule them, and monitor
whether they are being implemented. For example, the contract may
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require written notice of the architects awareness of a schedule delay. Effective project managers
understand that compliance with contract requirements is not optional. Monitoring whether contract
provisions are being met is a serious responsibility. For this reason, the project manager should have
a copy of the agreement at the ready, and read it often enough that it is dog-eared and annotated to
excess when the project is concluded.
Standard of Care: Not all activities the architect carries out on a project are described in a contract.
Things not described might include, for example, making a subjective judgment as to how complete a set
of drawings must be or how often the architect should visit the job site during construction. Such matters
relate to the standard of care concept, which can be stated in many different ways but essentially boils
down to the notion that the architect is required to do what a reasonably prudent architect would do in
the same community, in the same time frame, given the same or similar facts and circumstances.
Monitoring Client Objectives
The architect designs a building to accomplish as many of the clients stated goals and objectives as
possible. Those objectives are generally focused on the scope of the project, its cost, and its desired quality.
Careful attention must therefore be given to how closely the design accommodates these objectives. The
project manager should make frequent comparisons of the current design to the clients objectives. If gaps
or differences between the design and the clients objectives are found, the manager must take corrective
action. This could mean reviewing the differences with the client to determine if the design, the construction
budget, or the level of quality should be revised. Small corrective measures could simply require minor
revisions to designs or candid discussions with the client.
Construction budget targets: Although most architects are not construction cost estimators, the project
manager should understand the relationship between scope, quality, and cost. The manager should
have a good enough grasp of all aspects of the project to be able to make appropriate recommendations
for scope or quality adjustments in the event cost estimates or bids exceed target construction budgets.
By far, the best approach to meeting client expectations for construction budgets is to carefully monitor
the relationship between scope, quality, and cost as a design is being developed. Architects and clients
alike are frequently tempted to look past a potential confict between budget and estimated construction
costs, hoping the confict will be resolved in competitive bidding or subsequent events.
The best practical way to resolve such confictsalthough it may be a painful experienceis to sit with
the client and review and adjust one or more of the project parameters of quality, time, and cost before
proceeding to the next step in the design process.
Internal Budget Tracking and Management
Most project managers are asked to allocate portions of the fee to the various project phases in a proportion
that matches the anticipated workload for each phase. Referred to as a job cost budget or a project
budget, the purpose of these estimates is to budget for the frms labor and other expenses and proft.
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interns.
Expenses include basic service consultants, unreimbursed expenses, and
reimbursable expenses. Producing a realistic project budget requires an
understanding of the frms labor rates and project delivery and staffng
practices. As the work progresses, the project manager periodically checks
actual costs against the budget plan.
Some frms develop their labor budgets using worker-hour estimates only.
When dollar-based estimates are preferred, frms may use actual employee
hourly costs or average hourly costs. The advantage of worker-hour only or
average hourly cost methods is that they remove any incentive to reduce
costs by choosing only low-priced and/or potentially less experienced staff
for the project. Considering that most frms calculate proft for distribution
at the end of the year based on the frms total income and expenses, even
when employee-specifc costs are used, everything averages out by the
end of the year. However, for the frms senior management, having access
to and reviewing actual employee-specifc costs means the exact fnancial
position of each project can be determined at any time.
Tracking employee time records: Project managers in most frms
check the time records of the employees they supervise on an ongoing
basis. The time records are approved and sent to the accountants. If
corrections are required, they are frst returned to the employee.
Consultant invoices: The project manager also reviews invoices from
consultants to determine whether the consultants progress matches
the amount invoiced. To simplify this process, some frms pay their
primary consultantssuch as structural and M/E/P engineerson the
same percentage complete basis as the invoice the architect submits
to the client. In this approach, only reimbursable expense invoices
are required from these consultants. However, some adjustment of
payments is usually required when the consultants work progress
doesnt match the architects progress, as would be the case with
contract administration fees for the structural engineer, who is usually
fnished before the architect.
Reimbursable expenses: Most architects pass on certain expenses to
the client, such as those for out-of-town travel and living, reproduction
and printing, photography, postage and shipping, and renderings and
models. The way reimbursable expenses will be handled or marked
up is typically defned in the owner-architect agreement and must be
coordinated and tracked to match the contract requirements.
Client invoices: Invoices should be reviewed before they are sent to the
client to determine that the amount billed represents the status of the
work that has been completed. This should involve making sure the work
being invoiced matches current client work authorizations. Reimbursable
expenses should be checked against contract provisionsparticularly if
there is a limit on the amount to be reimbursed. Some frms believe the
close working relationship that project managers have with clients puts
them in an ideal position to discuss any overdue invoices. Other frms
prefer not to put managers in an adversarial position with clients if there
are disputes about amounts due.
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Maintaining Project Quality
Managing Consultants
The way to do better work for many projects involves fnding a better solution to coordinating with the work
of consultants. Architects and consultants face similar problems in project delivery, such as:
Reaching the fnish line at about the same time to avoid disruption when documents are issued for
bidding or construction
Making sure all parties are using the same versions of the plan backgrounds
Uncovering and coordinating conficts between the work of different disciplines
Project managers must allot time and resources to attend to challenges such as these.
Quality Management
Some project managers believe that quality management and quality control are relegated to the technical
guys in the back room. Nothing could be further from the truth. In managing and controlling quality at
the project level, quality must be a daily concern of the project manager. As with other management
responsibilities, this does not necessarily mean holding a red pencil and constantly marking up the efforts
of the people producing the work, any more than the project manager is required to actually prepare
the drawings and specifcations, although some project managers may choose to do so. It does mean
the project manager must know the status of the work at all times and must oversee and direct quality
management controls as they are performed.
Responsibility for Document Reviews
The project manager should consider document reviews as an opportunity to uncover mistakes and other
conditions before they create problems during construction. However, many managers are reluctant to
invite the criticism that results when documents are reviewed, possibly fearing they will be perceived as a
poor manager when scrutiny reveals defciencies in the work they are directing. The irony of this thinking
is that the contractor and subcontractorsthrough requests for information and change orderswill surely
discover defciencies that make their way into the construction drawings and specifcations.
The project manager should schedule both time and resources for internal reviews of the project
construction documents, if possible before the project is issued for bidding or negotiation. In small frms, the
review might be made directly by the project manager. In large frms, the manager may select a reviewer,
often a leader from another project. Specifcation writers can provide valuable internal peer reviews as their
familiarity with the project helps them coordinate terminology between drawings and specifcations and
identify areas in the drawings where materials or systems have not been correctly represented.
External review of the project documents can also be useful. The project manager should welcome such
reviews, whether they are provided by owners, contractors or subcontractors, agencies to which application
have been made for building permits, or architects or engineers specializing in plan checking. Most external
reviews provide an excellent opportunity for the project manager to improve the quality of drawings and
specifcations.
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Learn more about project
Quality Management Best
Practices via the Architects
Knowledge Resource (AKR):
www.aia.org/practicing/
bestpractices/AIAB091186
Concluding the Project
This management activity encompasses closeout tasks, such as delivering
warranties and operating manuals to the owner, and housekeeping
activities such as archiving project fles. This activity should also include
investigations to determine the quality of the services that were provided
and efforts to obtain opinions from the owner, and possibly the contractor,
about those services.
Post-Construction Evaluation
The most valuable insight into the effectiveness of the architects services
can come from discussing those services with the owner and contractor
immediately after occupancy of the project. At this time, minor irritations
and recollection of bumps in the road are still fresh in their minds. While
no architect wants to be beat up over minor issues, all want to improve the
quality of their services. If a project is successful, the client and contractor
may later decide not to mention the little things. The reality of professional
service is that what the clients and contractors experienceas users of
the architects servicescounts a great deal in determining the quality of
the experience. Following are several ways to carry out post-construction
evaluation:
Team roundtable and project debriefng. When construction is
complete and the architects services are concluded, the project
team may be scattered to the winds. Still, the project manager
should gather the remaining troops and share insights gained from
discussions with the owner and contractor, as well as detail the
degree to which the frms quality and fnancial goals were met.
An equally important objective of a project debriefng is to allow
members of the project team to discuss their experiences, and to
offer suggestions and ideas for improving work on future projects.
Year-end review with the client. While it is ordinarily an additional
service, many architects make a post-occupancy evaluation part of
their normal services, especially with repeat clients. A walk-through,
or even an inspection is conducted approximately a year after
occupancy. This is done with the owner, supervisory personnel,
and operations and/or maintenance staff to compare programmed
use with actual use, the effectiveness of the design, and the
performance of materials and systems. The year-end review allows
the architect to reinforce the positive aspects of the relationship
with the client. It also provides a heads-up on any problems the
owner may be having with the project. While no one enjoys learning
of problems that may be brewing, it is certain that bad newsif it is
presentdoes not get better with age.
Mistakes are reality. Although no one likes reliving the mistakes
they have made, mistakes are a reality. Architects rarely prepare
perfect sets of drawings or provide perfect services. As the
project team explores what they did wrong or what they can do
differently next time, the project manager should remind them
that the purpose of revisiting project experiences is to improve
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the architects servicesnot to castigate participants. Nonetheless, when discussing mistakes,
particularly with the owner, an attitude of contrition is preferable to one of defensiveness.
Conclusion
Good project management is critical to any architecture frm committed to providing excellent services.
While the expansive nature of project management can be challenging to describe, its basic tasks include
determining who, when, and how the work will be done; directing and leading those who will do the work;
tracking how progress compares to what was planned; taking action to make course adjustments when
deviation from the plan is required; and evaluating and communicating how well the work was performed.
Yet project management is more than just a series of tasks. The project manager embodies professionalism,
accountability, and integrity. In line with these more subtle and less apparent qualities, project management
can also be viewed as an attitude and a way of going about ones work. For these reasons, a wise architect
or other design professional will remain a student of project management throughout his or her career.
Written by Grant A. Simpson, AIA
Grant A. Simpson has served as a project delivery leader for several frms, including RTKL Associates and HKS, where his
responsibilities included construction documentation, project management, and loss prevention activities. Simpson served as chair
of the 2006 AIA Practice Management Knowledge Community advisory group and currently serves on the AIA Risk Management
Committee.
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3D
Technical Coordination Meetings
Participate in a technical coordination meeting during or just following design development, at your frm or
your mentors frm. The meeting should include at least one of the engineering team members, preferably
more. Prepare for the meeting, actively participate in it, and afterwards prepare meeting minutes.
Activity - Core
Prepare for the meeting by reviewing in progress drawings for the engineering disciplines along with the
architectural drawings. Are the engineering systems supporting the architectural design ideas put forth in
the schematic design? Are adjustments to the overall design agreed upon?
During the meeting, listen to the discussion and take notes. Be sure to ask questions if you dont
understand an issue.
After the meeting use your notes and prepare a presentation for the project as if you were giving the
meeting for the client, be sure to include in your presentation:
Projects scope, quality, and cost.
Any alterations to systems or designs.
Any other issues that the client may need to know
Explain details for specifc components.
version as a PDF.
435
3D
Attend a Project Meeting & Write a Meeting Report
Interaction with design team members, clients and contractors during project meetings is one of the most
common activities of the project managers daily professional life. Sometimes it seems that meetings will
never end. Meetings are generally scheduled because there are important project issues to be discussed.
Whenever important project issues are discussed, it is important to document those discussions.
Preparing accurate and detailed reports of meeting discussions is one of the most important aspects of
managing and monitoring the fow of assignments and approvals on a project. The meeting report is one of
the project managers most important tools.
Some managers tend to put off the tedium of preparing reports. Your goal is to begin to develop an attitude
that the report is an import and useful tool that should not be considered tedious or be put off to another day.
The Architects Handbook of Professional Practice, 14th ed. Chapter 13.2 - Managing Architectural Projects
Meet with your supervisor to make arrangements to attend a project meeting for a project in your frm or
a mentors frm. Ideally the meeting would involve 8 to 10, or more attendees, and take place during the
design development or construction documents phase.
Before the meeting, meet with the project manager to discuss the project background. If possible, read
the managers meeting reports from the previous two or three meetings. Discuss the project managers
preferred meeting report format.
Attend the meeting, and as an endeavor separate from the formal report prepared by others, prepare a
report recording your impressions of the events of the meeting. Afterwards compare your report with the
formal report and note the differences.
As you prepare your report answer the following questions:
Is it necessary to record every statement made by attendees?
Is it possible to keep track of the important issues without actually taking down issues verbatim?
Was the meeting well organized and easily followed?
Was the agenda effective in stimulating conversation?
Were the attendees prepared to discuss the issues?
Did the issues that were important to be recorded in the report the subject of suffcient focus during
the meeting?
Were you able to identify report items that would help the team accomplish project management
goals?
Were the next steps agreed upon by attendees?
version as a PDF.
Activity - Core
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3D
Study a Firms Job Cost Budget Process
Most frms require their project managers to monitor the fnancial performance of their projects. Some frms
assess the project managers performance on the basis of the proftability of their projects. However, there
is no hard and fast set of rules for monitoring project proftability. Nonetheless, in most frms the project
manager must understand the relationship of project delivery within the culture of the frm to the frms
proftability.
The architects laborthe project staffis the most expensive cost that the project manager can directly
control. The project labor is further qualifed by the professional knowledge and ability of each team member.
Finally, there is no perfect project team, for the project managers planning purposes; there are only average
project teams.
Activity - Core
The Architects Handbook of Professional Practice, 14th ed. Chapters 13.2 - Managing Architectural Projects and
Chapter 13.3 - Project Controls
Meet with your supervisor or mentor to discuss how their frm allocates expertise, time and expenses to its
projects. Discuss the project managers role in developing performance budgets for its projects. Discuss
the frms accounting system and how costs are allocated and tracked. Discuss how the frm accounts for
indirect expenses and overhead. The frm may have learning tools to help you understand these issues.
Working with your supervisor or mentor, select an example project from their offce, in any service
phase, for which you will hypothetically plan the job cost budget. This will be an iterative process. Meet
and review your work with your supervisor several times to develop an understanding of how time and
resources are consumed as the project is delivered.
Using available forms and processes, prepare a job cost budget and summary that addresses the
questions listed:
How many employees are required to produce the architectural work during each phase of
service?
Building upon the work plan concept, how long will each phase of service last?
What hourly billing rate does your frm budget for each category of employee?
Does your frm have a proft target budget, or is proft budgeted as what remains after expenses?
What is the difference between a proft target and what remains?
How does your frm budget the cost of consultants?
What is the difference between direct expenses and indirect expenses?
How does your frm budget for reimbursed expenses?
How does your frm budget for non-reimbursed expenses?
How often are project management reviews held? Every two weeks?

Compare your completed job cost budget with the frms actual job cost budget and make notes about the
differences in your summary.
version as a PDF.
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3D
Prepare a Proposal
Most architectural frms submit a proposal for architectural services to prospective clients before they are
awarded a new project commission. The proposal is usually proprietary to the frm, with different frms
having different proposal philosophies. Some frms prefer very brief forms of proposal, while other frms
prefer more detailed proposals that refect lessons learned the hard way. The AIA helps architects with their
proposals through the use of AIA 305, Architects Qualifcation Statement.
Proposals should have some fundamental components, including:
1. Description of the project
2. Scope of services to be performed
3. The fee quote
4. Payment terms
5. Discussion of schedule
6. Terms and conditions
The Architects Handbook of Professional Practice, 14th ed. Chapter 11 - Project Defnition
AIA B101, Owner-Architect Agreement
AIA A201, General Conditions of the Contract for Construction
AIA 305, Architects Qualifcation Statement
Working with your supervisor or mentor, select a project in their offce that is in the proposal phase, or a
recently awarded project for which a proposal was recently prepared. Obtain a copy of the frms current AIA
305, Architects Qualifcation Statement. If the frm does not use the Architects Qualifcation Statement,
then obtain a copy of their current marketing material that lists the frms qualifcations. Also obtain a copy of
the frms form of proposal that will be used on this project, or a copy of a recent proposal from a different but
similar project.
Discuss the following questions, and any others about the proposal process, with your supervisor or mentor.
How will fees be quoted (percent of construction cost, lump sum, $ per square foot, etc.)
How will the services to be provided be described?
Who will pay for consultants services?
Who will pay for routine expenses, like travel, lodging, or postage?
What terms and conditions will be proposed?
What will be the payment terms?

Independent of the frms actual proposal preparation, you are to prepare a draft proposal for the project.
As you work through the proposal draft include the following information:
What kind of project is it?
How does the project complexity or schedule affect services and fees?
What services are required?
What fees are appropriate?
The frst time you prepare proposal may be a confusing, possibly intimidating experience. Consult your
supervisor frequently. Compare your draft proposal with the frms actual proposal and mark up the differences.
Activity - Core
438
3D
Prepare a Draft Work Plan
The very mention of preparing a work plan to show a client how a project will be delivered strikes fear in
the hearts of most project managers. This chapter narrative and the corresponding narrative in Chapter
13.2 - Managing Architectural Projects in The Architects Handbook of Professional Practice describe the
fundamentals of a work plan. More information or less information can be compiled at the project managers
option. Preparing a work plan is not particularly tedious, nor is it a burdensome process, but it does require
attention to detail to organize all of the components.
The work plan concept revolves around how you will manage a project. Components can be suggested, but
fnal decisions about the components and their content will be a refection of your own project management
approach.
Activity - Core
The Architects Handbook of Professional Practice, 14th ed. Chapter 13.2 - Managing Architectural Projects
Work with your supervisor or mentor to select a project in their offce that is in the proposal stage to serve
as a working exercise in developing a work plan.
Your work plan is to include, at a minimum, a preliminary draft at least 5 of the following components:
Project description and client requirements
Statement of deliverables
Team organization chart
Responsibility matrix
Preliminary project schedule
Preliminary staffng needs
Project directory
As you prepare your work plan, answer the following questions:
Who are the core players from the various companies who will be involved?
What form of contract is contemplated?
What kind of project is it?
What are the owners schedule goals and requirements?
What consultants are required to assemble an appropriate project team?
How many employees, and at what skill levels are required?
What work is to be done, explained in terms of services and deliverables?
What is an appropriate fee for the professional services you will manage and provide?
Compare your draft work plan with the frms actual work plan in place for the project, if there is one, and
mark up the differences.
version as a PDF.
439
3D
Devising a Schedule for the Production of Construction Drawings
Devising an effcient but realistic schedule for production of construction drawings takes considerable
experience. The following are among the key factors in creating a production schedule for construction
drawings:
Total quantity of drawings to be produced (from assessments made while generating the mock-up set)
Complexity of the work
Clarity and consistency of decisions made during the DD phase
Division of the work among members of the project team
Number and relative experience of the individuals available to do the work
Other work in progress at the offce to which team members might occasionally be assigned
Proper sequencing (some drawings can only be done after others have been completed)
An understanding of the potential of your working tools and methods. (For example: CAD systems
provide the architect with a range of tools to facilitate the drawing, review, and coordination of
documents.)
Document review, coordination, and approval processes by internal and external team members
Consultants working processes and effciency
Mode of project delivery (e.g., fast track or conventional)
At the beginning of the CD phase of a project in your offce, use a mock-up set of drawings to devise a
schedule for the production of construction drawings. Ask your mentor and/or the project manager for help.
Consider the issues enumerated above. Ask senior colleagues in the offce to review your work.
Update the schedule periodically, keeping track of the changes, until the end of the CD phase to refect
changes in the work and in your understanding of the project scope. Assess your ability to foresee the
progression of the work.
Write a brief report on the schedule you created and be sure to answer the following questions:
How similar is your initial schedule to the fnal schedule?
What did you successfully account for in your schedule?
What were you not able to account for initially?
What would you have done differently with your schedule?
version as a PDF.
Activity - Elective
440
3D
Observing Contractor Selection
While contractor selection procedures are well documented in AIA publications, architectural observation
and judgment is a necessary component in choosing the right company for the job.
Set up a meeting to interview one of the senior members of your frm or your mentors frm about their
contractor selection and negotiation process. Look for answers to questions such as these:
Is this contractor selection approach typical for your frm, or are different strategies used for
different kinds of clients and projects?
Does the process unfold smoothly, or are there bumps in the road?
When does the discussion about the mode of contractor selection take place?
Are any other options for project delivery considered, or is the choice obvious?
Now, arrange to attend a meeting where contractor selection will take place. Write a narrative
summarizing the selection process. Was it the same as your original interview revealed? Why or
why not?
Prepare a report summarizing your observations on the process and its overall effectiveness.
version as a PDF.
Activity - Elective
441
3D
Understanding Integrated Project Delivery Terminology in the Construction Phase
In this scenario, you have a repeat client who is very interested in integrated project delivery. The client is
aware that your frm has transitioned over to Building Information Modeling capability. The clients favorite
contractor has purchased 3-D CAD software, and he has indicated that he would like to be part of an IPD
team.
The client calls and asks you to set up a meeting to discuss the possibility of everyone working together in
an IPD scenario. She is aware that everyone is not familiar with IPD terminology, and she suggests that the
frst meeting would be a good time to review the IPD process and terminology. She requests that you send
out a memorandum calling for the meeting and to also research an attached list of IPD terms in preparation
for the meeting. The list includes the following terms:
Integrated Project Delivery: A Guide, by AIA National and AIA California Council
AIA Document A195, Standard Form of Agreement Between Owner and Contractor for Integrated Project Delivery
Research the list and prepare a short narrative explaining each term. Realizing that IPD is a developing
process, attempt to explain each term by relating it as much as possible to existing processes and
terminology.
As you prepare your research, answer the following questions:
What IPD terms are not on the list?
What format can I use to make the presentation simple and easy to understand?
Should I send out the list early for owner and contractor input prior to the meeting?
Prepare a memorandum requesting the meeting and list an agenda for discussion. As you prepare the
What are the primary topics to be discussed?
In what order should each attendee speak?
How can I separate the topics under the categories of owner, architect and contractor?
version as a PDF.
Activity - Elective
Building information modeling
Collaborative estimating
Collocation
Concurrency
Continuous design
Design-assist contracting
Design structure matrix (DSM)
Early downstream information user input
Information dependencies
Integrated practice
Integrated project planning
Integrated project schedule
Intersection criteria
Project extranet
Teaming agreement
4-D Modeling
5-D Modeling
442
3D
Trying to Understand the Contractors Point of View
Relationships between the owner, the design team, and the contractor are especially important in sustainable
projects. Unfortunately these relationships can become adversarial. Efforts by the contractor can make or
break project certifcation.
The sustainable design process used by the USGBC can be a vehicle for developing relationships based
on shared problem solving that can resolve many issues before they fester. Jody Gittell, in her book The
Southwest Airlines Way, describes how Southwest Airlines, the most unionized workforce in the airline
industry, has developed productive relationships with the unions while other companies have suffered.
In this scenario, early in the design process, before the contractor has been selected, the owner and PM are
looking at the LEED for New construction checklist. The owner asks the PM about the feasibility of some of
the credits that are primarily contractor responsibility.
Would selecting a contractor early help facilitate the LEED process? What can the PM say to support the
importance of the owner selecting a contractor early in the process?
AIA Sustainability webpage: www.aia.org/sustainability
AIA 50to50: www.aia.org/about/initiatives/AIAS076530
LEED Reference Guide for Green Building Design and Construction. U.S. Green Building Council, 2009. If your
company does not have a copy it can be ordered at www.usgbc.org. (Note: the Reference Guide for Public Use and
Display that is free to download on their web site does not have the tables you will be using for this exercise.)
The Southwest Airlines Way, Using the Power of Relationships to Achieve High Performance. Jody Hoffer Gittell. 2003,
McGraw Hill.
Working with your supervisor or mentor select a local LEED accredited contractor to interview. Interview
the contractor to identify processes used to achieve the credits. Use the interview process to learn what
contractors bring to the design of sustainable construction projects.
Identify all of the prerequisites and credits that are primarily the responsibility of the contractor by
reviewing the Table 1: Credit Characteristics in the LEED Reference Guide for Green Building Design
and Construction (there are 6 total listed on page 2 of the overview of each major category).
Questions you should answer:
When is best for the contractor to become involved in the project?
Are any points lost if contractor selection doesnt happen until Construction Documents phase or
later?
How is documentation different from non-LEED projects?
How does LEED certifcation affect the value engineering process?
What outcomes did the contractor like versus ones they didnt like?
Do they have any lessons learned to share with the design team?
Write a report identifying successful contractor strategies for dealing with sustainable projects, and how
the Contractor can help facilitate the design and construction of LEED certifed projects.
version as a PDF.
Activity - Elective
443
3D
Matching Delivery Mode to Client Needs
Client #1
Stratocaster School of Music is a small educational institution. It is governed by an executive director and
a board of directors for major decisions and an administrative staff for day-to-day operations. Faculty, staff,
students, alumni, and community members are the schools major constituent groups, and each has its
own needs and agenda. The school plans to build a performance facility on a prominent site that will have
an impact on both the campus and the surrounding neighborhood. The budget, funded by a private gift and
alumni contributions, is fxed and too small to accommodate all of Stratocasters needs, but the board values
building function and aesthetics. Nonetheless, the executive director is under pressure from the board to get
the facility built as quickly as possible. At the same time, the board is risk averse and thus unlikely to agree
to begin construction before overall costs have been determined.
Client #2
Ivana Proft is a real estate developer who seeks the highest return on her real estate investments in the
shortest possible time frame. Currently, she has an option to buy a site on which she plans to build an offce
building. The design will be determined by well-established criteria for commercial real estate development.
Aesthetic requirements call for a moderately high level of fnish and materials but mostly straightforward
detailing. Tenant ft-out will be handled under separate contracts. Profts fnances must be in order before
she can close on the property, but she is currently negotiating with a major tenant and has not determined
a fxed construction cost. Consequently, Proft is paying for design services with speculative, out-of-pocket
funds. As soon as the fnancing is set, the squeeze will be on for design time and money because Proft will
want to get construction under way as quickly as possible.
Client #3
Magneto Systems is a growing automotive parts manufacturer with extensive operations in North America.
It maintains a fairly lean in-house facilities engineering division that manages real estate, design, and
construction services for manufacturing, administration, and research and development in North America.
Magneto plans to build a large manufacturing facility in Malaysia, its frst foray into overseas manufacturing.
The company is under enormous pressure to get the facility built quickly and to get products manufactured
and shipped to its Asian customers. The facilities engineering staff can provide detailed information about
their needs, including preliminary drawings and specifcations, but they do not have the expertise to manage
design and construction overseas.
Consider the preceding client types and projects. For each client, determine which mode of project
delivery seems most appropriate, and then write a memo describing the most suitable option to the client.
Include a discussion of which type of project would be best suited for integrative project delivery. Be sure
to include specifc reasons the delivery method is best for the clients situation.
version as a PDF.
Activity - Elective
444
3D
Integrated Project Delivery Team Design
In this scenario, your frm has been selected to join a design and construction team that will use Integrated
Project Delivery (IPD). The owner has asked you to be the Integrated Project Coordinator and the prime
designer. The construction team will have a prime constructor and trade contractors that will provide cost,
schedule and constructability information for the team during the criteria design (expanded schematic
design) phase.
The project is a 15 story offce tower you have designed in a downtown urban zoning district. To date, you
as the prime designer, your engineering consultants and the prime constructor have formed an effective
team working through the conceptualization (expanded programming) phase together and staying on the
demanding budget and schedule the client has set out for you.
You have just completed a preliminary BIM (Building Information Model) showing the design with a bank
of 4 elevators to service all foors of the building. The prime constructor has designated a local elevator
trade contractor to provide the team with cost and scheduling information for the proposed design. Upon
reviewing the model with the team, the elevator trade contractor hesitates when asked about the current
elevator design. He does not agree with the choice of elevator manufacturer you have shown in the model
because of the lead times required to deliver the elevator from that manufacturer. The elevator he proposes
has a larger cab than the cab you have chosen and requires a larger shaft size. You start to wonder if there
is some other issue that is affecting his decision making process about the elevator. If you enlarge the area
to accommodate this new cab it will affect other programmed spaces that in turn will force a rethinking of the
structural system. This, in turn, will impact the net rentable area negatively.
Ultimately, the team becomes very concerned about how this will impact the owners fnancial model and the
project in general. In short, you realize this is an issue of money versus time.
Who is right? Which issue should take priority? When do scheduling and constructability issues trump the
concerns of the design? What do you say to the client as a team? How does the team resolve this confict
and set priorities for the review process as a team? Should the team replace the trade contractor? Who is
going to make the fnal decision in this type of project delivery environment?
Review the above source for IPD principles as the relate to Criteria Design (Expanded Schematic
Design). Review the outcomes and primary responsibilities for criteria design phase. List the differences
between this type of project delivery and traditional design-bid-build during this phase of the project.
List the additional team members that are involved in the project during criteria design and would not be
present during a typical schematic design phase.
Outline in memo form how you (as the prime designer) propose to resolve this dilemma regarding the
elevators and address the questions posed above.
version as a PDF.
Activity - Elective
445
3D
Prepare a Stafng Plan
An integral part of the project managers work plan is determination of which employees are available to
work on the project, what are their capabilities and qualifcations, and when and how long are they available.
The capabilities and qualifcations of the people available to work on the project rarely match the project
managers exact assessment of the needs of the project. An effective project manager will often have to
work with the employees that are available, matching their personalities and skills to the assignment at
hand, as best they can.
Accordingly, assessing the needs of the project, and arranging for appropriate staff is no simple matter. It is
an issue imbued with availability, subjectivity, opinion and sometimes second guessing.
The Architects Handbook of Professional Practice, 14th ed. Chapters 7.2, 7.3, 7.5, 7.6, 13.1, 13.2, and 13.3.
Work with your supervisor or mentor to select a project that will serve as a working exercise in learning
to develop a staffng plan. For purposes of this application, much like actual practice, you will prepare
an ideal staffng plan without regard to each employees actual availability. Your primary focus will be to
estimate the number and skill set of the ideal project team required to produce the work on your project.
In order to begin preparation of a staffng plan, obtain a copy the staffng/organizational chart template or
form used by the frm (or you may use the chart in the The Architects Handbook of Professional Practice,
14th edition, page 705, as a guide). Discuss how the form works in everyday practice at the frm.
Discuss the following questions with the actual project manager:
What positions are required (draftsperson, job captain, project architect?)
What levels of experience are necessary for each position?
What actual employees are ideal for each required position and why?
Is it appropriate to assign employees to positions requiring more than their current level of
experience so they are continuously challenged?
Obtain the frms resumes for each employee to be considered. As you prepare your staffng plan, answer
the following questions on your own:
Do you agree that they are the right person for your assignment?
Is the employees experience commensurate with the experience required?
Compare your draft staffng plan with the frms actual in place staffng for the project and mark up the
differences.
version as a PDF.
Activity - Elective
446
3D
Integrated Project Delivery Team for a Non-Prot Housing Corporation
In this scenario, you serve as a Member of the Board of Directors for a community based non-proft corporation
named Housing for Sale. The Charter for the Corporation includes language that describes the goals for
Housing. Among these goals is a promise to deliver good quality projects that creates below market housing
to the community. Also included in the delivery of a project is a promise to bring fair wages to the construction
workers and others involved with the project.
The Board has authorized the start of a new 15 story housing project. Housing has been considering a
particular Architect and General Contractor to team up to deliver the project. They are unsure how the team
should be formed and want more information before a decision is made. In the past, Housing has used the
Traditional Design-Bid-Build method and on more recent projects, Design-Build. The Board likes that single team
approach and quickness of delivery of Design-Build but do not like the lack of control over any of the project
aesthetics and detailing once most of the budget is committed and the construction of the project intensifes.
Housing for Sale is a very progressive organization and your friend, the Executive Director, has heard about
Integrated Project Delivery or IPD. In fact, the interest in learning more about this has generated much
conversation among members of the Board of Directors. They are hoping that this type of project delivery can
improve the team aspect of design and construction while allowing the Board to have control over some of the
aesthetic decisions that come up later in the project.
The Board has decided that before the Team can be selected, that you and the Executive Director make a
presentation to review your understanding of the project, explain to the Board how this type of project delivery
would be used for this project, discuss the advantages and disadvantages, and answer any questions they may
have. The Executive Director shows his concern about how some of the Board policies could be enacted with
IPD being used.
There are three concerns that almost all Board Members share about the project. The frst is that Board policy
requires open and competitive bidding for all trades. The second is that the project must embrace Fair Labor
practices and in particular meet local union wage scales for all work performed. The last item relates to the Board
being very proactive at the project level. Since it is a community-based corporation, they are very sensitive to
how the overall community receives the project. As a result, the Board is interested in having control over the
outcomes of the project.
Is IPD a good method of project delivery for this type of client and project? Or would another mode of delivery suit
this project better? How will IPD beneft the project? How does the Owner control the outcomes of the project?
How do you add good design to the list of desired outcomes? What is your obligation as a Board Member?

Review the principles of IPD in the above source as they relate to this situation and project type. Write
a report to the Board of Directors with a minimum of 500 words that explains three specifc advantages
of using IPD for this project. Write a second report (400 words minimum) that addresses the following
concerns that the Board has regarding the use of IPD: Competitive Bidding Practices, Fair Labor practices
and local union wages, and How the Board will retain control of the outcomes of the project. Share your
work with your IDP supervisor or mentor and make suggested changes.
Activity - Elective
447
3D
Project Delivery & Firm Direction
While AIA documents provide a solid foundation in traditional project delivery procedures, new alternatives
should be explored.
Conduct research on recent trends in alternative project delivery approaches, including integrated project
delivery. Then interview principals and others to fnd out what these approaches may mean for the frms
future work. How might alternative delivery strategies affect the frms:
alliances and partnerships,
client base and marketing,
technologies and quality control,
hiring and human resource management,
and liability and insurance needs?
Create a short presentation on the range of project delivery alternatives available, highlighting their
usefulness and particular characteristics. Discuss with your project manager if this would make a useful
frm-wide lunchtime presentation.
version as a PDF.
Activity - Elective
448
3D
Understanding Design Development
As an emerging professional, you should have the experience of preparing a set of design development
documents, with all the related activities. This process typically includes the following tasks, which often
overlap:
Attend consultant coordination meetings and client meetings.
Establish fnal program verifcation and cost documentation.
Participate in cost control and value analysis exercises.
Coordinate and cross-reference documents.
Identify conficts between building systems, and coordinate the work of consultants to resolve those
problems.
Ensure that specifcations and drawings conform to applicable codes.
Overall, advance the design of the building, as approved from the schematic design phase.
Choose a project in your offce or your mentors offce that has recently completed design development
and prepare a case study of the activities performed. Speak with the team members, including the project
designer, project architect, and project manager. Your overall job in this assignment is to illustrate in
graphic format the timeline of this project for the DD phase, showing the various overlapping tasks. Follow
the steps below and make a narrative of your fndings. The narrative should be a more detailed look at
specifc changes to systems and functional abilities.
Download a sample copy of AIA Document B101, Standard Form of Agreement Between Owner
and Architect. Review the scope-of-work tasks outlined in AIA contract documents between owner and
architect as well as the contract for the project. Do they differ with respect to the scope of services for
design development? If so, why?
Speak with one or more technical consultants on the project. How was their work synchronized with that
of the architectural team? See if you can add the tasks of some of these team members to the timeline.
Evaluate the timeline, as well as the design development documents. Was there suffcient time to
address all of the design development issues, or were some of them addressed during construction
documentation?
What would be the ideal timeline for this project?
What changes would you have done in DD?
Keep track of the approximate cost for each design task
version as a PDF.
Activity - Elective
449
3D
Understanding the Contractors Involvement in Integrated Project Delivery
The elements of integrated project delivery (IPD) have been evolving for many years. Collaboration between
team members has been effectively demonstrated in design/build, fast-track and currently with the building
information model.
The contractors participation in integrated project delivery varies signifcantly from that in traditional project
delivery methods. In order for the architect to effectively utilize IPD he or she must fully understand how and
when the contractor is involved as well as their role in the overall process.
The purpose of this exercise is to understand the resources and the benefts that the contractor brings to
IPD and how the owner and the architect interact, collaborate, and work as a team to deliver the project.
In this scenario, your supervisor has informed you that your frm has agreed to participate in an integrated
project delivery on a small project with a repeat client and a well-known local contractor. You will be
providing construction administration services, and you have been directed to become familiar with the
contractors involvement in IPD so that you can eventually set up offce policies for the construction phase
on IPD projects.
Review the reference documents to understand the relationships between the owner, contractor and
architect in integrated project delivery and the differences from a traditional project delivery. Prepare
a description of responsibilities of the owner, architect and contractor during the project phases:
conceptualization, criteria design, detailed design, implementation documents, agency coordination/fnal
buyout, construction and closeout. As you prepare your work, answer the following questions:
How does the architects relationship with the owner differ from traditional project deliveries?
How does the contractors involvement with the building design differ from traditional project
deliveries?
What types of collaboration occur between the owner, contractor and architect during the
conceptualization phase?
Describe in detail the development of the following contractor issues and prepare a comparative timeline
to the overall project delivery:
Project cost
Contractor submittals
Project schedule
Project buyout
As you address the four items above, answer the following questions:
How are project costs affected by IPD?
How is the project time affected?
How will the architects submittal review time be affected?
Activity - Elective
450
3D
When Your Project is Over Budget
Management of the project construction cost budget is complicated, involves many different parties, is an
area over which the architect often has little control, and can be intimidating. It is also an area of practice
where the architects opportunities and obligations may be heavily controlled by the owner architect
agreement.
The Architects Handbook of Professional Practice, 14th ed. Chapters 12.11 - Value Analysis and Chapter 14.2 -
Maintaining Design Quality
AIA B101, Standard Form of Agreement Between Owner and Architect
Meet with your supervisor or mentor to select a medium sized project from your offce that has already
been constructed and closed out. Obtain PDF fles of a completed set of drawings and specifcations for
study and review. Assume that the following hypothetical events have now occurred on the project:
Your owner architect agreement is an AIA B101 that has not been modifed.
The owner has appropriately maintained the budget as required by 6.2.
The owner has elected to proceed on the basis of 6.6.4 and 6.7.
Construction documents have been issued for bids.
The project has been bid by several contractors, and the client has identifed one contractor with
whom to negotiate a fnal construction cost.
The lowest bona fde bid is 20% over budget.
As you move to the next step of project management answer the following questions:
What is the defnition of construction cost applicable to this circumstance?
Which owners budget is the lowest bona fde bid to be compared with?
What are your responsibilities for revising the design to meet the budget?
What are your responsibilities for the construction cost?
Are there options other than 6.6.4 that the owner could consider?
Prepare a summary of your obligations as the architect for making adjustments to the design in order to
comply with the requirements of B101. Review the plans and specifcations and begin preparing a list of
design modifcations (sometimes called value engineering or value analysis) that could be considered to
reduce costs. After you prepare your summary of contract obligations and review the documents, outline a
plan of action that addresses the following issues:
Is it possible to modify the project scope to reduce costs?
Will it be necessary to reduce the project quality to reduce costs?
Is the contractors bid reasonable? Is the architect the appropriate party to determine if the
contractors bid is reasonable?
What is an effective way to present your suggestions to the client?
How will redesigning at your own expense affect the frms profts?
Prepare a report that enumerates your fndings. Include a concluding discussion on the challenges of
managing a project that is determined to be over budget late in the process.
Activity - Elective
451
3D
Examine Estimating Fees & Consider In-House Estimating Capabilities
In this activity, you will examine how your current frm or your mentors frm handles cost estimating services
and the potential benefts and risks associated with cost estimating services through a consultant and as
an in-house service. To do this, have conversations with the frms principals and managers. Since the
vast majority of frms use outside consultants to provide cost estimating services, a cost consultant should
also be interviewed. Explain to them that this is an IDP activity to examine issues and not necessarily to
recommend a frm wide approach.
Begin this activity by interviewing experienced individuals in your frm or your mentors frm who routinely
handle cost estimating services and coordination with cost estimating consultants. Follow up with a cost
consultant with experience with the frm. Develop a list of questions and discussion topics in advance so
you make the most of your time together. Interview at least one principal, one senior manager and one
current cost consultant on the following topics:
Experiences: What has been the general experience working with cost estimating consultants?
Has anyone internally prepared a cost estimate for a project? If so, at which stage(s) of the
project?
Attitudes and inclinations: What are the attitudes and characteristics of successful cost
consultants? What are their attitudes toward working with your frm? Are they more or less
comfortable and confdent in dealing with specifc people? What are the opinions of your frms staff
to cost consultants?
Coordination: How much time is typically invested in coordinating the work of cost consultants in
each phase of the project from conception to completion? How is this time spent, by whom and
how is it spread throughout internal disciplines and engineering consultants?
Communications: What special considerations or challenges arise in communicating the work,
thought, and language of the design team to the cost consultant and vice versa especially during
early project stages? How are work product requirements and schedule communicated?
Scope of work: Which tasks and work scope do cost consultants accept most and which do they
tend to oppose? How are unanticipated changes handled?
Fees: How much of the overall fee is typically allocated to cost estimating? Is there interest in your
frm to hiring a cost consultant directly and/or conducting some of the work internally?
Examine the fles from two projects completed by your frm, and summarize the preparation of estimates,
particularly the fow and exchange of information. Review emails, memos, letters, agreements, and other
written communications directly involving cost estimates. Examine the actual cost estimate work products
for consistency, accuracy and format. Check for end client satisfaction.
Ask to attend several project meetings with cost estimating consultants on a project you are working on.
Take notes and ask questions after the meeting.
version as a PDF.
Activity - Elective
452
3D
Consultants Who Report Directly to the Client
In this scenario, your frm has been retained to design a large apartment complex. The developer wants to
use the same engineers he uses on all his projects. They are not frms with which you have a relationship.
The developer wants these frms to be consultants to you, so he can hold you responsible for a completed,
coordinated design.
There are problems from the beginning. The consultants have regular, direct design discussions with the
client that do not include you or the architecture team. In addition, they are accustomed to providing much
less analysis and documentation than you expect from other consultants you work with regularly.
The latest issue is the selection of the structural system. Based on experience with other projects you
assumed that the building would use a fat plate concrete slab system with columns and shear walls.
Instead, the structural engineer and the owner have decided to use a masonry bearing-wall system with
a proprietary concrete plank foor structure. You are convinced that they have not thought through all
the implications of using this system. The building will be 10 stories tall, and local contractors rarely use
masonry bearing-wall systems for buildings of this height.
This system choice was made between the engineer and the developer before the architects were brought
into the discussion. It is early in the design phase, but you can see a pattern developing that will lead to
more serious problems in later phases.
The Architects Handbook of Professional Practice, 14th ed. Chapters 6.2 - Communicating with Clients, Chapter 6.3 -
Building Client Relationships, and Chapter 9.1 - Risk Management Strategies
Ask your supervisor or mentor to help you arrange an exploratory discussion of the issues with a structural
engineer and/or a major masonry contractor. Make notes of your discussions. Answer the following
questions:
What critical issues are involved in building a bearing-wall structure of 10 stories in height?
Are there likely to be issues about the proposed bearing wall system that will be particularly
problematic for the proposed apartment use?
Is the concrete plank foor structure appropriate for apartment use?
Write a memo to the client outlining your concerns related to the proposed bearing-wall structural system.
As you prepare your studies, answer the following related questions:
Why shouldnt the structural engineer have private meetings with his client about the project?
Why should you be concerned that the developer and the other consultants are making design
decisions without including you?
Are their potential liability issues inherent in this scenario?
version as a PDF.
Activity - Elective
453
3D
Being the Clients Advocate: Advising of Fast-Track Risks
Architects tend to be and must be advocates for the design team. It is also a tenet of modern practice that
architects can beneft in their relationships with their clients if they are advocates for their clients.
Some clients are pleasant to work with and make it easy to advocate on their behalf. Other clients like to
point fngers and are more diffcult. Nonetheless, all clients are more likely to appreciate your efforts if they
believe you are looking out for their interests and concerns.
In this scenario, you are the project manager on a new $30 million lifestyle retail center for one of your frms
best clients. As the project has developed, the client has signed up major new retail tenants. The tenants
require certain changes that will take time to make, but they also must be open for business by the major
end of summer shopping cycle. These changes will push the project into a fast track design and construction
schedule.
Even though this is a repeat client, they are traditionally design-bid-build oriented, and your frm has no fast
track experience with them. Youve heard war stories of clients asking the architect to pay for mistakes that
are virtually inevitable in a fast-track scenario. You resolve to try to educate the client about risks inherent to
fast-track.
The Architects Handbook of Professional Practice, 14th ed. Chapter 13.4 - Managing Fast-Track Projects
After reviewing the above source, prepare a report comparing options for discussing the issue of fast-track
with the client. Prepare a memo or a letter to the client explaining the risks inherent to fast-track.
As you prepare your report and letter, answer the following questions:
Can an architect who prepares designs based on assumptions about future issues, ever be entirely
accurate?
How would you respond to an owner who demanded that each fast-track package be complete and
completely coordinated with all future packages?
Should an owner budget the contingency funds to cover the risks inherent to fast-track?
Can an error, made solely to support the owners quest for speed, be considered betterment?
Who benefts most from the owners quest for speed?
How does the architects service as an advocate for her client beneft the architect in this scenario?
Does the letter or memo help set the clients expectations for the architects services?
version as a PDF.
Activity - Elective
454
3D
Project Management During Construction Phase
Construction administration is one of the most complex and risk intensive areas of architectural practice for
the project manager. Duties and responsibilities are defned by contract during this phase of service more
so than in any other phase. Some frms augment the project manager with a dedicated construction contract
administrator during this phase. Some frms assign the originating project manager to provide the services
during this phase.
Many questions about the services to be provided by the architect arise during construction. These questions
can generally be answered by a thorough review of the owner-architect agreement and the general conditions
of the contract for construction. These documents are not always AIA documents. For this activity we will
assume that they are.
AIA A201, General Conditions of the Contract for Construction
AIA G702, Application and Certifcate for Payment
After reviewing the sources above, prepare an outline report delineating the architects primary
responsibilities during the construction phase as related to means and methods, answering questions
about the architects documents, shop drawings and certifcation that the work is being constructed in
accordance with the contract documents.
As you prepare your report, answer the following questions, and cite the AIA document section that
addresses the issue:
Who is responsible for means and methods of construction?
Who is responsible for deciding how the Work will be apportioned among the bidders?
Who is responsible for scheduling and sequencing the Work?
Is the Contractor responsible for attempting to answer RFIs before they are sent to the Architect?
Who is responsible for initially checking shop drawings and submittals?
Who supervises the Work?
Who sequences the Work?
Who inspects the Work to determine that subsequent Work can proceed?
Who initially certifes that the Work is in accordance with the contract documents?
Who warrants the Work, and to whom is the Work warranted?
version as a PDF.
Activity - Elective
455
3D
Professional Liability Insurance/Risk Management
Understanding your contractual responsibilities is paramount to initiating a successful project. There are
numerous variations of the services to be provided. Additionally, how a consultants work is incorporated and
how a consultant is contractually obligated to a project can be established in various ways. This activity is to
determine what to include in the preparation of a proposal, and most importantly, which consultants will share
your liability. Consider the following critical questions:
Who is the clientwho is paying the architectural fee to my frm?
Is the site location confrmed? Are documents available that legally describe the project site
dimensions, elevations, setbacks, right of ways, zoning regulations, and any other restrictions which
may apply to the site or the project?
Has the client contracted with a civil engineer?
Has the client provided you with a zoning report prepared by a zoning attorney?
Has the client provided a space program for the project?
Has a geotechnical investigation been provided for the project site? Has the client contracted a
geotechnical consultant?
What consultants will be required for the project? Will they be contracted to the client or the architect?
Do I have suffcient information to prepare my proposal, or how must I clearly identify my contractual
responsibilities for my work and my consultants work?
There are many additional questions that apply, but for our purposes we will limit the list to the items above.
Consult with peers who have experience in this area, and be sure to consult your legal counsel prior to
signing any contract. Gain as much information as possible about a project prior to fnalizing your proposal.
Be unambiguous about your duties and responsibilities and of your consultants.
The client has provided you with a draft of his typical contract for architectural services, used on similar
projects and modifed for this project. You have received and reviewed the draft contract with your legal
counsel and you will meet with the client to review the draft contract. The following contract clauses are
presented for your use in the proposed contract for this project:
The contract has the standard wording related to project schedule, which says the architect will
deliver the project by a certain reasonable date. There is also wording which states the architect
is responsible for managing all of the consultants on the project, and for the accurateness of their
work, and for their work being properly coordinated in the construction documents.
The architect is responsible for the accurateness of the construction documents for the project in a
manner consistent with the degree and skill ordinarily exercised by design professionals practicing
in this state.
The architect is responsible for receiving the shop drawings submissions from the contractor,
logging and tracking and distributing the shop drawings to all of the consultants, also for all of the
consultants timely and accurate review of the shop drawings, and for receiving the reviewed shop
drawings and returning them to the contractor and other parties.
Write a letter to the owners attorney identifying the above problem clauses and include the reason why it
is a problem for you and a suggest alternate clauses for each.
version as a PDF.
Activity - Elective
456
3D
4A
Business
Operations
activities - core*
introduction
486
487
488
489
490
491
492
493
480
481
482
483
484
485
480
458
Public Relations
Firm Organization
Financial Operations
Ownership & Transition
Human Resources
Marketing Strategy
narrative 460
Economic Trends & Strategic Planning
Human Resources/Staff Planning
Compensation
Legal Issues for Architects
Financial Operations Management
Lack of Experience Affects Credibility
All in the Family
Design Excellence vs. the Clients Best Interest
exhibits 494
494
494
495
496
497
498
499
Exhibit 4A-1
Exhibit 4A-2
Exhibit 4A-3
Exhibit 4A-4
Exhibit 4A-5
Exhibit 4A-6
Exhibit 4A-7
Business Operations
458
resources
4A
Internships.aspx.
2008.
Chapter 10 - Firm
Operations

2001.
Part 2 - Business (All
Chapters)
2009.
Part 2 - Practice (All
Chapters)
Introduction
of business operations. The following information is taken from the NCARB
IDP Guidelines:
Business Operations
Minimum Business Operations Experience: 80 Hours
Defnition: Involves allocation and administration of offce resources to
support the goals of the frm.
Tasks
Obtain and maintain professional and business licenses
Manage project revenues and expenses
Calculate hourly billing rates
Negotiate and establish fees for basic and additional services and
reimbursable expenses
Invoice for services rendered and reimbursable expenses
Develop and manage positive client relationships
At the completion of your internship, you should be able to actively
participate in the following tasks: (Actively participate is the
expectation that you will collaborate with your supervisor in learning
how to perform the task.)
Business Operations
Maintain record management systems
Develop and manage frms strategic and business plans
Develop frms fnancial plan
Develop, implement, and manage marketing and communications
plans
Obtain and update computer technology, including security systems
and licenses
Investigate and use new digital technologies
Human Resources
Develop and manage human resource/offce policies and
operations
Conduct performance appraisal, career development, and
compensation reviews
Recruit, retain, and manage staff
Develop training and professional development plans, including IDP
and continuing education requirements
Legal & Insurance
Establish frms legal structure
Consult legal counsel
Secure liability and other insurance
Business Operations
Business planning
notes
Business Operations
459
4A
Current software applications
Electronic communications (e.g., virtual offces, video-conferencing, web-based networking)
Entrepreneurship
Ethics and integrity
Financial management
Information management (e.g., hardware and software maintenance, offce standards)
Legal and ethical issues pertaining to contracts
Legal and ethical issues pertaining to practice (e.g., liens, taxation, licensure)
Marketing and communications
Recognized ethical standards of the profession
Requests for Qualifcations (RFQ) and Requests for Proposal (RFP)
Strategic planning
Human Resources
Human resources management
IDP mentoring and supervising
Mentoring and teaching others
Personal time management
Supervising
Business Operations
460
resources
4A
Learn more about AIA Research
and Reports, including the most
recent fndings of the AIA Survey
Report on Firm Characteristics:
www.aia.org/practicing/research/
AIAB090039
Narrative
The business management of an architecture frm, or the ability to make a
proft, is not an optional task. Even if you are the best designer the world has
ever seen, if you lose money practicing architecture you wont be designing
for long, or you will be working for someone else who can run an offce
proftably. According to the annual AIA Firm Survey, only 10% of U.S. frms
make a proft of less than 5% of annual revenues. Does this prove that 90%
of all frms make a decent proft, so you should hurry and open your own
frm? No. It shows that shows you will cease to exist if you dont make a proft.
The intent of this chapter is to help you to prepare to open your own frm,
be promoted to a management position in your existing frm, or, gain an
appreciation for what it takes for the principals of your frm to manage it.
This chapter will cover the following topics:
General frm types
Firm organization
Marketing and business development
Collaboration and partnering
Financial operations and management
Project planning
Human resources
Risk management and professional liability insurance
Legal issues for architects
Firm Types
The principals of a frm must decide what services they want to offer
and what type of frm they want to establish. An architecture frm cant
be all things to all clients, so it must focus on providing a limited range
of services. Business experts, who agree that this century will be the
era of the expert, promote the scattershot vs. focused approach. With
scattershot, you fre hundreds of shots, but only a few will hit something.
With a focused approach, frms can generate more work by concentrating
on areas of relative advantage. Firms that dont focus will fnd they spend a
lot of time and money generating a little work.
Your organizational framework must be clear to you and to others outside
of your frm. In her topic Firm Identity and Expertise in The Architects
Handbook of Professional Practice, Ellen Flynn-Heapes explains her
adaptation of Carl Jungs six heroic archetypes to the design professions.
Each archetype, or frm type, has a distinct personality and distinctive core
values and underlying driving forces defne the frm. The archetypes as
applied to frms are briefy described here:
Einstein Archetype: These are high-profle idea frms with an
original styles or philosophies like Frank Gehry and Buckminster
Fuller.
Niche Expert Archetype: These frms are specialists dedicated to a
specifc project type or service in a broad market like Populous and
Duany Plater-Zyberk. Both have cornered an impressive portion of
the market for their type of work.
notes
Business Operations
461
4A
Market Partner Archetype: A Market Partner frm is a leader in one or more markets, such as
airports, or higher education, or hospitals.
Community Leaders Archetype: These are frms whose owners have leadership roles in their city or
town such as Carde Ten Architects in Santa Monica.
Orchestrator Archetype: Project Management is the focus of Orchestrator frms. Askew Nixon
Ferguson Architects is a good example.
Effciency Expert Archetype: These are frms that pride themselves on rapid and effcient solutions.
Home Depot, BestBuy, and Wal-Mart look for these types of frms.
Early in frm planning, principals must identify a focus, that market sector, idea, process, or style that will set
you apart. The driving force should be something you love doing. It should be something you can clearly
articulate and are passionate about. One newly founded frm I know struggled early with focus. They did
any project they could get their hands on, and they had to pursue twenty projects to get one. Some of their
projects had challenging ADA issues to solve, and they found they had become expert at it. So, rather than
continuing to pursue a scattershot marketing approach, they decided to focus on ADA renovations and
retrofts. Their frm has expanded nicely, and they now spend little time on marketing because they are
known nationally as ADA experts.
Firm Organization
The types of legal organization architecture frms can establish are limited to four basic types: Sole
proprietorships, partnerships, corporations, and limited liability companies. Each type has different
requirements relating to ownership, liability, and taxes.
Sole Proprietorship
A sole proprietor is an individual conducting business without incorporation. Because the individual and
the frm are legally one entity, there are no frm tax returns to fle. All fnancial information about the frm is
included with the owners tax return.

A sole proprietor has unlimited liability for business debts and for professional or other liabilities. Anyone
making a claim against a sole proprietorship, for non-payment of a debt or for an error or an omission,
can obtain any assets of the frm and of the individual owner. A sole proprietor can, and should, obtain
Professional Liability Insurance, which will help if such a situation arises.
Partnership
A partnership is similar to a proprietorship in that it is unincorporated; however, it allows for two or more
individuals to operate the business. Determining the respective payments, liabilities, and debts of each
partner is much more complex in this arrangement. The partnership fles an informational tax return with the
IRS but does not pay taxes on any profts. The return, a copy of which is fled with each individuals personal
tax return is a schedule that shows each partners share of the profts or losses.

Each partner becomes jointly and severally liable for the business and professional liability of the frm.
Business Operations
462
resources
4A
Pickar, Roger L. Marketing for
Design Firms in the 1990s.
Washington, D.C.: American
Institute of Architects, 1991.
Herrmann, Robert F. Law for
Architects: What You Need to
Know. New York: W.W. Norton,
2012.
Should anyone make a claim against the partnership, the personal assets
of each partner may be at stake if the partnership is found to be liable.
Again, professional liability insurance is highly recommended.
Corporations
Corporations are separate and distinct legal entities that can conduct
business on their own, a fact that makes them more stable than
partnerships and proprietorships. A corporation has a separate existence
from the individuals who own and manage it.

Corporations can be general business corporations or professional
corporations. Professional corporations are established specifcally for
professional service frms, providing professional services like architecture.
In some states, architecture cannot legally be the primary business of
a general corporation. Most states require ownership of professional
corporations to be held or controlled by a professional licensed to practice
in that state.

A corporation is a separate taxable entity. Owners who are also employees
pay personal taxes on their salaries. The corporation fles a tax return, and
it pays taxes on the gross income, which includes deductions for salaries
and other expenses.

Unlike an unincorporated entity, a corporation protects the shareholders
personal assets from general liability, such as for the purchase of goods
and services.
Limited Liability Companies
Limited liability companies are hybrid entities with characteristics of
corporations and partnerships. Specifcally, they are separate entities
with many of the characteristics of a corporation but are classifed as
partnerships for tax purposes.

LLCs are unique in that they do not need to be managed by employees
of the frm. Often, professional managers are hired to run this type of
company. LLCs are often useful for one-time projects involving numerous
players and investors. The managers are afforded limited liability for their
acts on behalf of the company.
Marketing and Business Development
By far the greatest challenge for any practicing architect is to consistently,
year after year, bring in enough work to keep a frm going at its present
size, even if that size is one. By comparison, starting a frm is easy. All
you have to do is fll out some papers and start working in your basement.
Designing great buildings is easy, too; you were taught to do that in
architecture school. Chances are, though, you were taught little, if at
all, about marketing in school. Not only that, most interns get very little
opportunity to participate in or learn about marketing and strategic planning
for the frms for which they work.
Marketing is the term for the process by which work is brought into the
frm. If you are lucky, or extremely good, you wont have to market the
notes
Business Operations
463
4A
services of your frm. You will receive enough requests for your services to keep you busy. But only a small
percentage of frms can operate that way, and even they did not start out so lucky. Firms generally earn a
reputation over time, so most frms have to engage in a marketing process.
The process of marketing for design frms is primarily carried out in three ways: increasing awareness of the
frm by engaging in public relations or pre-contract activities, responding to requests for proposals (RFPs),
and maintaining good relationships with existing clients who may hire the frm again. Some frms succeed
using just one or two of these techniques, but for consistent growth, frms should consider all of these broad
marketing categories.
Excellent marketing requires an understanding of and a strident focus on the uniqueness of the best
qualities of the frm. It also requires early identifcation of projects suited to your frm. In communicating the
strengths of your frm, however, you must also communicate that the frm is trustworthy. In a 1988 survey
of clients performed by MRS/Pickar, 88 percent of the respondents reported that trust was by far the most
desired quality considered when they selected architects.
Another Pickar survey of design frms showed that 82 percent of projects lost were lost to another frm who
got there frst. Employing a proactive marketing effort can minimize the number of times a frm encounters
this situation.
The following steps will help you plan your frms proactive marketing efforts. They are excerpted from
Roger L. Pickars book Marketing for Design Firms in the 1990s, published by the AIA Press in 1991, with
summary explanations added.
1. Determine the frms mission. Establish a statement of purpose that refects why your frm is in
business and gives broad parameters for the future and basic guidelines for further planning.
2. Set company goals. Determine the overall results your frm wishes to achieve. These will guide the
marketing plan.
3. Perform internal analyses. Determine the strengths and weaknesses of your frm to determine what
needs to be changed and what should be further encouraged. Conduct a survey of existing clients to
help you with your analysis.
4. Perform external analyses. Research trends in your marketplace. Develop an understanding of
market needs and trends.
5. Establish marketing goals. Plan for your accomplishments. Write a description of your frm, including
size, income, etc., in three- , fve- and 10- year visions.
6. Generate strategies to accomplish these goals. Create plans for activities that will help the frm reach its
goals. They can include pursuing a new building type, expanding geographically, or adding a specialty.
7. Research and refne strategies. Focus, focus, focus. Select only those strategies that will help you
attain your goals.
8. Create and refne promotional and sales tactics. Tactics are immediate, short-term actions designed
to implement your strategies. Limit tactics to those that will most effectively accomplish your
marketing goals.
Business Operations
464
resources
4A
Piven, Peter, and Bradford
Perkins. Architects Essentials
of Starting a Design Firm.
Sons, 2008.
9. Implement the plan. Act, publish, make phone calls, and give
speeches. Do whatever it takes to get your message out all day,
every day.
10. Evaluate the plan in action. The entire marketing process must
be continuously evaluated and updated. Continue to survey your
clients, and potential clients, and record successes.
Making good on your promises also contributes to your marketing effort.
When you promise to deliver a project on time and on budget, make sure
you do.
Collaboration and Partnering
Another way to get new business is by collaborating, or partnering, with
other frms. In this way, a frm can receive commissions it might not get on
its own. This approach is particularly helpful when a frm plans to move
into a building type it has little or no experience with, or when a frm wants
to obtain projects of a familiar type but on a larger scale. Often a frm
considering a relationship with another frm looks for one in a different
geographic region.
The two basic types of the project collaboration used by architects are joint
ventures and associations.
A joint venture is a collaboration in which a separate company is
established to pursue a particular project. If a project is awarded to a joint
venture, the participating frms lend their employees to the new company
so they can pursue and complete the project. This type of association may
be most useful for two frms of similar size but different experience that can
be meshed into a formidable team.
In associations, one of the frms is the prime architect, while the other acts
as a consultant under contract to the former. The decision as to which frm
will be the prime architect can be based on a number of factors, including
the various abilities of the frms, the perceived strength of the team
compared to the competition, and the desires of the client.
In both types of partnership, it is crucial to identify the roles and
responsibilities of each party. The scope of work should be divided not by
the desires of the parties but according to the skills and resources of the
frms. The goal is to present a team that looks strong to a prospective client
and has the best chance of obtaining the commission. The frms must
determine their roles early and be able to explain them clearly to a client. If
the client is confused about which frm is doing what tasks, the chance of
the partnership getting the job are decreased.
One way to delineate the roles of frms in a partnership is to use a chart
that shows the division of responsibilities for architectural services such as
that used by Ayers Saint Gross. The Division of Responsibilities chart on
page 465 outlines the scope of work by phase and lists the responsibilities
of each frm.
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Division of Responsibilities
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Learn more about Firm
Operations Best Practices
AIAB091182
Prospective clients want a well-managed team of experienced people
to design and manage their projects. One way for a joint venture or an
association to offer such a team is the 80/20 method used by Ayers Saint
Gross. This method assumes one frm serves as the design frm and one
as the production frm, although this may not always be the case. Often,
the out-of-town frm is the design frm and the local frm is the production
frm. The 80/20 split refers to the percentage of effort and associated
fees of the two frms. For instance, the design frm will receive 80 percent
of the fees for the schematic and design development phases, while
the production frm receives 80 percent of the fees for the construction
document, bidding, and construction administration.
In this manner, the production frm becomes familiar with the design
process and design decisions, and the design frm maintains continuity
during the production phases to ensure the design is implemented as
planned. The client is pleased because this arrangement presents a team
committed throughout the project for the clients beneft.
Once a joint venture project has been successfully completed, each frm
will have taken a step toward improving their marketing position. The
large frm will have a new project, perhaps in a new area of the country,
to use in marketing. The small frm will have gained experience in a new
building type or size. After performing two or three projects of similar type
in association with another frm, the small frm may be ready to compete
effectively on their own.
Financial Operations and Management
If you dont want to manage your frms fnances, hire an MBA. Someone
has to do this work, and it must be done effectively. The day-to-day
management of income and expenses, project by project, is the basis
on which profts are made. Architecture frms often have too many loss
leaders, projects that dont bring in a proft. Many other businesses would
never operate this way. Get in the habit of making a proft on every one of
your projects.
Proftability in the form of retained earnings or reinvested earnings is
required for the frm to prosper. Profts can be used to maintain growth,
bridge down cycles, and invest in the frm. An important element of proft-
making is keeping those who produce the proft happy and employed at
your frm rather than somewhere else. Investment in employees, however,
must provide a return on the investment of the owners or they will invest
their money elsewhere. Proft is used for retirement or proft-sharing funds,
to fund stock purchases for new owners, to convince the bank that you
are capable of borrowing for operations, to manage cash fow, and for staff
bonuses.
Sources of Design Firm Revenue and Expense
To understand frm fnances, begin with the source of a design frms
revenue. A typical frm receives revenue from project fees, other business
ventures like printing and plotting, interest payments on invested cash, and
from miscellaneous sources. Most revenue (usually more than 90 percent)
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comes from project fees, however, so projects cannot be run at a loss with the expectation that other capital
and interest will make up for it.
The other side of the fnancial picture is frm expenses, which can be divided into direct and indirect
expenses. For most design frms, indirect expenses are likely to be more than 50 percent of all expenses.
Fortunately, to some extent the frm can control most direct and indirect expenses.
Direct expenses include the items listed just below. Of these, most frms are likely to spend the majority of
their direct expenses on consultants and engineers fees, with the remaining frm-controlled direct expenses
largely going toward salaries.
Salaries
Consultants
Engineers
Travel
Reproductions
Telephone
Payroll Taxes
Postage and overnight delivery
Supplies
Photography
Project-related insurance premiums
Project-related meals
Other items purchased on the clients behalf, such
as permit fees, bid advertising, etc.
Models and renderings
Indirect expenses are sometimes called general and administrative expenses, or overhead. The following
items are often included in this fgure:
Salaries not related to projects, such as for
marketing or administration
Payroll burden (fringe benefts)
Data processing
Depreciation
Professional and other dues
Insurance - liability, general and health
Rent
Supplies
Printing for internal use or for consultants
Maintenance
Taxes
Telephone
Travel
Utilities
Computer expenses
Interest payments
Public relations
Marketing
For most design frms, salaries for administrative and marketing personnel are the greatest single indirect
expense. If you are having trouble controlling expenses, look there frst. Rent probably will be the next
largest indirect expense.
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So, how do you make a proft? Its simple in concept. Bring in more than you spend. The remainder of this
section will give you the tools to control expenses.
Controlling Expenses
Businesses generally account for their fnances on a cash basis or an accrual basis. An architect will need to
understand both, and you will probably use a little of both to understand your fnances completely. You may
already understand cash-basis accounting, as it is what you use to keep track of your checking account.
Money comes in, money goes out. If you are doing it properly, you dont write checks until you have enough
in the account to cover them. The same should be true for your frm.
An architecture frm accountant or bookkeeper should maintain a cash fow forecast. Your monthly revenue
will fuctuate, but your expenses will be regular. This type of report gives a glimpse of the future by
estimating receivables. Below is a sample cash fow projection for your reference.
Monthly revenue fuctuates, but expenses are regular. So your forecast will be reasonably accurate, but
you should still obtain a commitment from each client about the time you can expect between their receipt
of your invoices and your receipt of their payments. The cash fow report will compare your expected
monthly actual income with your regular expenses. Keeping an eye on this chart far in advance will alert
you to potential cash fow problems. With enough warning, you can make decisions to decrease or delay
expenses, obtain bank credit, or whatever it takes to meet your fnancial obligations.
A more accurate, but more complicated, way of looking at the fnancial health of a frm is to understand it
on an accrual basis. Instead of watching your cash-in/cash-out, the accrual method tracks the amount of
revenue that you have earned, or the amount that you are able to invoice to your clients. If you track your
notes
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fnances with cash-basis accounting, your monthly statement might look like the accompanying chart. It
shows that during the month of July you received payments from clients of $25,000 relating to April invoices,
$80,000 for May invoices, and $175,000 for June invoices. Compared to your July expenses of $220,000,
this month looks like a winner, right? However, looking at the same month on an accrual basis presents a
slightly different picture
Your expenses for July are the same $220,000, but the work you and your employees accomplished during
the month allowed you to invoice a total of $200,000. In other words, the frm is operating at a loss. Instead of
rejoicing over your July cash, you should be making adjustments in August to prevent another accrual loss.
When trying to control frm expenses, another issue to consider is how to charge for services. Design frm
use numerous methods including the following:
Hourly Billing Rates: The more clients who agree to this fee structure, the better a frms chances
of making a proft. With this method, you take the hourly rate you pay employees; add the payroll
burden, overhead, and proft; and develop a billing rate for each employee.

Often, however, clients insist on an upset, or not-to-exceed, limit to this type of billing so they can
anticipate expenses. Before agreeing to this, the frm must carefully analyze the risks vs. rewards of
doing so. If the frm does agree to such a limit, the hours must be developed and managed carefully to
ensure the limit is not exceeded.
Stipulated sum: Sometimes called lump sum, this is by far the most common method of payment
for professional design services. It is a negotiated agreement for a fxed sum related to an agreed-
upon scope of services. A clear description of the proposed scope of services is required, and an
understanding of exactly how many hours the frm will need to complete that scope of services.
Normally, it also includes the services of a number of consultants.
Professional fee plus expenses: This method is similar to the stipulated sum, except it includes
expenses in addition to the lump sum fee. This method should be used when it is diffcult to estimate
the amount of total expenses on a project, such as when you and your client are a long distance
from each other, requiring extensive travel, or when there will be a complex process of obtaining
approval for a project or a design.
Percentage of the cost of the work: With this type of fee structure, the professional fee is a
negotiated percentage of the cost of construction. For example, you may agree on an 8 percent fee
for a proposed $6 million project. Your total fee would then be $480,000. This fee type works well for
projects with fxed funding in place. Some clients are wary of this type of fee structure because they
feel architects may realize a beneft from over-designing a project so there is no incentive for the
architect to keep the construction costs down. Also, many clients and architects use this method to
develop a stipulated sum because it makes fee comparisons easier.
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Tools for Offce Management
Any frm, large or small, would
be wise to invest in some type of
accounting software. Software
designed for small businesses
can produce meaningful reports
that will assist in the proper
management of staff and
expenses. These reports allow
for the insertion of a budget by
phase and real-time tracking of
expenses as a project proceeds.
They will compare actual
expenditures with your budget
and show the differences.
Note in the sample project
progress report, Exhibit 4A-
1, the four major columns
of information, given in both
man-hours and dollars. The frst
column tracks current expenses
for the reporting period. In the
second are cumulative job-to-
date (JTD) totals, and the third
shows budgeted hours and
amounts. The fgures in columns
2 and 3 are compared with the
shown in the fourth column.
Another helpful tool is a weekly
tracking chart, which shows the
progress of a project by task.
The chart is updated weekly
to show percent completion of
each task. See the example
chart in Exhibit 4A-2.
Square footage: Real estate developers and others who make
their living on a square foot basis are the primary users of this
method of determining a fee. A developer who is constructing a
spec offce building will sell his product by the square foot, obtain
his funding by the square foot, and want to pay the architect by
the square foot. This is a fair way to develop fees, but be aware
that fuctuations in the size of the project, and thus in fees, can be
expected. For example, you may agree to a fee of $3 per square
foot for architecture only, or $5 per square foot for architecture and
structural and mechanical/electrical engineering.
Unit Cost: This method makes sense when the program for a
project involves the repetition of similar units, such as hotel rooms,
apartments, condominiums, or parking spaces. Often when this
type of project is begun, the fnal size or unit count is unknown
although the goal will be to maximize use of the site. A fair method
in this case would be to base the fee on the unit count, such as
$500 per car for a parking garage.
Whatever method of charging for your services is agreed upon by frm and
client, you should understand how the choice affects your costs and man-
hours. Each method may require a different type of record-keeping, control
of expenses, and method of invoicing your client. In each case, however,
the goal is to make a proft by spending less than you receive.
Project Planning for Prot
The heart and soul of making a proft at the end of the year is in a frms
projects. Each should be able to stand on its own as a proft-maker. To
achieve this requires an understanding of how the negotiated fee breaks
down, which is demonstrated using the following fctitious example.
Paradigm University plans to build a philosophy building. The program
includes 50,000 gross square feet and has a $10 million construction
budget. The architect was successful in negotiating a stipulated sum fee
of $1 million. She starts shopping for a new Mercedes, but then looks at
where all that money has to go.
First, she realizes that approximately 40 percent of the $1 million must go
to the engineers and consultants, leaving her with only $600,000. Seeing
how fast the fee is being reduced, she decides she had better scoop out
a proft frst. She decides she would like to make a 20 percent proft on
this job, so she sets aside $120,000, leaving $480,000 to do the work.
Then she realizes that this amount must cover an overhead factor of 62.5
percent to pay for rent, insurance, and other administrative expense, which
leaves 37.5 percent for direct salaries for her staff (known as raw labor).
The result is only $180,000 of the $1 million fee to do the work!
Saying goodbye to her Mercedes, she also realizes she has to further
breakdown the $180,000 into the projects fve phases. Using the AIA-
suggested breakdowns by phase (although many frms alter these
percentages to suit their own practices), the raw labor is as follows on
page 471:
notes
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Schematic design 15% $27,000
Design development 20% $36,000
Construction documents 40% $72,000
Bidding 5% $9,000
Construction administration 20% $36,000
TOTAL 100% $180,000
The next step is to break down each phase by week and by employee. The architect quickly realizes the
project schedule is crucial. She feels the project needs a principal, of course, a project manager, a project
architect, an architect 1, and an intern to complete the work. If each worked full-time on the project, she
would run out of money quickly. So, she develops a work plan chart for the schematic design phase.
The work plan shows the frm can complete schematic design within this raw labor budget in eight weeks
if the principal spends eight hours per week on it and the project manager works 24 hours per week. This
becomes her plan, and she completes the other phase charts in the same manner.
This looks great, you say, so why dont architects make more money? The answer is that the fees often run
out before the work is complete. If this happens in a frm, it is important to carefully examine why. Each frm
is different, but there are some common problems. Many redesign their projects until they are satisfed, only
to fnd later that they exhausted the fee in the process. In some cases, schematic design is not completed
until the project is in design development, and design development is not completed until construction
documentation, and so on. Also many frms do more work than the contract requires in an effort to please
the client. You may choose to do this, but be aware of its effect on your fees.
Human Resources
Architecture frms have material assets. Typically, all a design frm owns that has any tangible, capital value
is computers and furniture, and these depreciate rapidly. Architecture frms sell very little actual products, so
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they have no inventory. What they sell are professional design services, which are measured and billed as
time, or man-hours. Therefore, the most important assets of any frm are its staff, and their expertise.
Properly managing human resources requires knowledge and skill in three key areas:
Recruiting and Hiring
Compensation and Benefts
Legal Issues and Termination
Recruiting and Hiring
Accurately predicting the future staffng needs of a frm is extremely diffcult if not fat-out impossible;
nonetheless, it must be attempted on a regular basis. Many variables beyond the direct control of the frm
will infuence the future workload, including economic conditions, changing project schedules, results of
competitions for projects, and staff turnover. The frm must at least have a look into the future so educated
decisions can be made about hiring and layoffs.
Assessing the need for more (or less) staff begins with the project work plans described in the section above
on fnancial operations and management. The work plan (see graphic below), based on the negotiated fee, is
a plan to complete the work, within a budget that allows the frm to make a certain proft, making this plan the
best look into the future of the frm.
To help you look at the big picture, work plans for all projects currently under contract should be assembled
and compiled into an offce-wide staffng chart. At the bottom of the chart add any potential projects that
seem promising. Update this chart and review it on a regular basis.
If the frm needs more help, you can consider other options besides hiring a full-time, permanent employee,
especially if you consider the need to be short-term. Many architecture schools have co-op internship
programs for a semester, or longer, and a student may be able to fll your short-term need. Firms also may
consider hiring someone on a contractual basis, with the length of employment is determined at time of
hiring.
notes
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When you decide to hire a full-time, permanent employee, the issue becomes one of recruitment. Several
proven methods of recruiting new staff are used by many architecture frms. Employee referrals are
generally a very effective way of fnding good people. Some frms offer bonuses to current employees for
referring their friends to the frm. Advertising in local, regional or national newspapers or publications has
worked well in the past, although advertising on Web sites is becoming more and more common. Many frms
beneft from a relationship with an architecture school, either a local one or one or more schools with alumni
at the frm. A relationship like this can bring in a steady stream of good interns. Firms may also consider
hiring search frms, or recruiters for certain positions. Search frms require a fee, usually a percentage of the
negotiated salary, which can be as much as 25-33 percent.
When a pool of applicants has been identifed, it is time for the interview process. A job interview is not only
the way for you to obtain information about the applicant; it is also a way for the applicant to fnd out about
you and your frm. If you are even a little bit interested in the applicant, you must remember that you have a
little selling to do also. If you are very interested in an applicant, move quickly into your best salesmanship
mode.
When you are ready to make an offer, it is imperative for you to be crystal clear about its details. State the
pay and whether it is an hourly, weekly, or yearly rate. Clarify details of your benefts package. The offer
should include information on the proposed roles and responsibilities of the position and establish a starting
date. It should state if any bonuses are possible. Finally, the offer should be made in writing. The offer letter
should have a signature line for the applicant to indicate acceptance of the offer and a signature line for a
representative of the frm, to confrm you both agree with the terms of the offer.
Plan an orientation process for each new employee. Introduce the new employee to all current staff, review
the employee handbook, explain offce procedures and the use of offce equipment such as copiers, fax
machines and plotters; convey the frms mission, goals and objectives; and so on. Consider an offce lunch
to welcome him or her.
Compensation and Benefts
Today compensation and benefts have now come to be known as the total compensation package.
Prospective employees carefully consider offers, and benefts are becoming increasingly important in their
decisions. To attract good people, a total compensation package needs to be competitive in the market in
which the frm recruits. If the frm recruits locally, its compensation must be competitive with the local market.
If the frm recruits nationally, its compensation must be competitive with other frms nationwide, accounting
for regional differences. The employer must be acutely aware of the range of salaries in its competing
marketplace. For example, see the accompanying excerpts from Compensation at U. S. Architecture Firms:
1999 AIA Report, Exhibit 4A-3.
Base salary rates are often very close for new graduates and interns in a geographic area. However, as
an employee gains experience, develop areas of expertise, and make varying contributions to the frms
success, the salary range widens. The salary rate for the most experienced architects in the frm is usually
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Learn more about Human
Resources Best Practices
AIAB091192
Visit the AIA Research Resource
Center to learn more about the
following resources:
Architecture Billings
Index (ABI): The ABI is
a diffusion index derived
from the monthly Work-
on-the-Boards survey,
conducted by the AIA
Economics & Market
Research Group. The
ABI serves as a leading
economic indicator that
leads nonresidential
construction activity
by approximately 9-12
months.
AIA Home Design Trends
Survey Articles: The AIA
Home Design Trends
Survey is conducted
quarterly with a panel of
600 architecture frms
that concentrate their
practice in the residential
sector. The surveys cover
topics such as home
characteristics, home
features, neighborhood/
community design trends,
and kitchen and bath
features/products.
based directly on the value the employee is perceived as contributing to
the frms success and thus can vary greatly.
Beneft packages are becoming increasingly complex and creative,
and it is often diffcult to compare beneft packages from one frm to
the next. However, in order to attract top talent, a frm must have a
competitive benefts package. The basic package usually consists of
health insurance, life insurance, paid time off, and a retirement savings
plan. The cost of these benefts can be paid in full by the employer or
shared in some manner with the employee. Other common benefts
include dental and vision plans, short- and long-term disability insurance,
health and dependent care reimbursement accounts, 401k plans, tuition
reimbursement, continuing education reimbursement, payment for
professional dues and licenses, and other benefts. Some frms have
employee stock ownership plans (ESOPs) which allow staff to purchase
shares of company stock. Some frms provide a fexible benefts package,
in which a certain amount of money is offered for benefts, and the
employees choose the benefts most useful to their personal situation.
Legal Issues and Termination
Staff changes occur for a variety of reasons. During your career, chances
are you will have to fre one or more employees and you will lose
employees whom you treasure. No matter how they come about, situations
must be handled professionally, and legally.
Terminating a problem employee is never easy. In certain situations,
however, this may be the best course of action. Except for gross
misconduct, termination should not come as a surprise to the employee.
There should be a mound of paperwork documenting the problem
behavior, including warnings given with a period for correction. Make these
time periods short, and dont let the situation drag out. In most cases, the
terminated employee should be asked to leave immediately.
Necessary reductions in staff are another diffcult part of the human
resource management. The architecture industry has a history of periodic
slowdowns. If you sense one coming, try the following to avoid or postpone
letting staff members go:
Attempt to alter project schedules so as to keep staff working
Eliminate overtime
Allow natural attrition to occur
Consider reducing overhead or benefts
Encourage the use of vacation or other time off
Encourage early retirement
Contact other frms to see if they would like to borrow any
employees
Consider pay reductions, starting with the partners
Reduce working hours
No matter what you may choose to do, you must communicate clearly and
often with your employees. You dont want good people to leave out of
panic. If you must release good employees, promise them that you will give
them a good reference and give them a letter explaining that they were laid
notes
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off due to lack of work, not for any performance reason. And indicate a willingness to hire them back when
and if conditions improve.
Risk Management and Professional Liability Insurance
All businesses are subject to risk, which is defned as the probability of an unfavorable outcome. Risks
common to all businesses are the destruction or theft of business property, accidental injury to workers,
damages caused by business operations and, of course, the fnancial risk of business failure. Architects and
other design professionals, however, are subject to additional risks because they practice a profession that
affects the health, safety, and welfare of the public; their projects cannot be tested before being put to use;
and their work is usually performed under changing conditions and is affected by clients, contractors, public
authorities and others whose actions they cannot control.
Managing Firm and Project Risk
Risk management is a process that includes analysis of potential risk and development of responses that
can control it. Sources of risk in a design frm may include the following:
Nature of the project: The program, site, schedule, and budget all affect your risk.
Architects experience: The experience of the frm and its staff with the project type.
Client: Whether public or private, the clients experience with the building type, the fees they are
willing to pay the architect, and their claims history all affect risk.
Method of project delivery: Risk differs according to the type of project open bid, selected list, a
general contractor or construction manager, or a fast-track.
Type of contract: Risk varies from a standard contract, like AIA Document B1022007, Standard
Form of Agreement Between Owner and Architect, and an owner-produced contract.
Industry infuences: The current bidding climate and the familiarity of contractors with the building
type affect project risk.
Time and cost restraints: An adequate design and construction schedule decreases project risk.
The magnitude of project risk is a function of the probability of an unfavorable outcome and the severity of
the consequences of that outcome. Determine if you have the contractual authority to control the sources
of risk. For example, if you are required to observe the progress of construction, are you being paid
appropriately to do so, and do you have the authority to access the work?
After you have assessed and understood your frms risk for a project, the next step is developing your
response. You have three choices: retain and mitigate the risk, transfer the risk to another party or avoid it
completely.
If you choose to retain and mitigate the risk, look for a satisfactory risk vs. reward balance. Make sure your
compensation covers the value of your services in addition to the risk. Understand what standards will
be used to judge your performance. If your performance is not tied to the standard of care (see defnition
below), your risk is much greater. Watch for overlaps in responsibility, and determine the worst-case risk if
disaster occurs.
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Learn more about professional
liability insurance and other
insurance and fnancial
programs offered to AIA
members and components by
The AIA Trust by visiting
www.theAIAtrust.com.
Risk can be transferred in two basic ways: via insurance and via contract
language. Professional liability insurance is the most common and
most highly recommended way of transferring risk, but it should not be
considered the only solution. With professional liability insurance, most of
your risk is transferred to the insurance company, in exchange for premium
payments. Your risk is then limited to your deductible and anything over
and above your coverage limits.
Risk can be transferred via contract in two ways: By indemnifcation and
by agreed-upon limits of liability. Indemnifcation is a tricky and complex
subject, generally means that one party agrees to pay for the liabilities
incurred by another party. It is advisable to consult with your attorney or
insurance carrier if confronted by this issue. A limitation on liability is an
agreement in which a cap on the liability value is determined. This can
be limited to the total amount of compensation, the amount of insurance
coverage, or a specifc dollar amount.
A perfectly reasonable method of responding to risk is to avoid it as much
as possible. Look for problem clients, complex projects outside of your or
your clients experience, and for confusing areas of responsibility. If you
receive any warning signals, consider saying no and passing up on the
project. It may be the best decision your frm can make.
Following are some basic risk management principles adapted from the
Understanding and Managing Risk voluntary education program developed
by CNA/Schinnerer, a professional liability insurance carrier:
Select projects your frms experience and staffng qualify you. If
you branch out into new areas, do so slowly while gaining valuable
experience.
Carefully select clients and research any new clients. Find out their
history of claims against architects.
Provide regular training on contractual and risk management topics,
for all staff, not just principals.
Provide timely and effective problem identifcation and resolution.
Catching potential problems early can greatly reduce risk.
Use indemnifcations and limits on liability, but do not rely solely on
them to reduce project risk.
Recognize that insurance is not a substitute for a comprehensive
risk management program.
If you practice architecture for any length of time, you will no doubt
eventually have to face a liability claim. Dont worry too much you are not
the frst. Your professional liability insurance carrier will help you through it,
and they have a lot of experience with which to help you.
Professional Liability Insurance Basics
Although professional liability insurance (PLI) policies are a risk-transfer
method, they do not transfer all risk to the insurer. These policies have
clauses that describe the scope of coverage and any exclusion from it.
PLI policies cover negligent performance of professional services, but they
typically do not cover the late review of shop drawings, or failure to live up
to the terms of an express warranty or guarantee.
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PLI policies also typically include a deductible. Like any insurance, the architect must satisfy the deductible
before the insurer will pay, and the amount of the deductible affects the cost of the premiums. Generally, the
higher the deductible you pay on the policy, the lower the premium. PLI policies also have a limit of liability,
such as $100,000 or $1 million or $5 million. This usually applies to the aggregate limits of the policy per
calendar year. If you have two claims against you during the term of one policy, and the frst one exhausts
the limit of the coverage, then you will have no insurance coverage for the second claim.
Professional liability insurance comes in two basic types: practice policies and project policies. Practice
policies are written on a yearly or multi-yearly basis and cover claims made during the policy term for all
projects within the frms practice. Project policies cover only a specifc project but may be written to cover
the entire design team on the project. The policy term covered by a project policy usually includes design,
construction, and a discovery period following construction completion. Practice policies can be expensive
and may not always be available.
There has never been a set of construction documents in the history of the world that were completed
without an error or omission. No fee can guarantee a perfect set of drawings.
The law, then, also does not require drawings to be perfect. Rather, it sets a reasonable standard of care
for the performance of design professionals, and is roughly defned as services provided by the design
professional are to be performed in a manner consistent with that degree of skill and care ordinarily
exercised by members of the same profession currently practicing under similar circumstances in a similar
location.
The law grants architects the same leeway it provides doctors, lawyers and other professionals. They are
free to exercise their judgment and skill reasonably and prudently, with the comfort of knowing the law will
support them as long as they act reasonably and prudently.
For an architect is to be found liable, it must be proven that he or she failed to meet the reasonable standard
of care and injury or damage resulted from that failure. For a negligence action against an architect to
succeed, the law requires proof of four things:
Duty: There must be a legal obligation to do something, or to refrain from doing something. This is
often contract language.
Breach: There must be an established failure to perform some required duty.
Cause: The established breach must be the actual cause of the harm to the party making the claim.
Damage: Actual harm or damage must result from the breach. If there is no harm or damage, there
can be no negligence.
Finally, architects must decide when to bring in legal counsel. Often the frst call upon learning of a suit
should be made to your insurance carrier. Your policy probably allows for the carrier to bring in an attorney,
at their cost rather than yours. Do not hesitate to call the insurance company for fear of increased premiums.
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your Activities.
Your policy may have a defense clause, and the carrier will usually fnd that
it is cheaper to be brought in before a problem mushrooms into a major
fght.
Architects must be profcient at design to convince building owners to hire
them. They must be technically profcient to stay out of trouble and protect
the public health, safety, and welfare. But, if they want to do either of these
for very long, they must pay special attention to management of the frm.
Making a proft is essential to any business, including architecture frms.
Written by Glenn W. Birx, AIA
Glenn Birx is a principal with Ayers Saint Gross Architects in Baltimore, where he heads
the frms offce and quality management, educational programs, and delivery of technical
services. He is a LEED-certifed professional and past president of both AIA Baltimore and
the Maryland Society of Architects.

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Public Relations
Positive publicity for a local architect is unusual. Often the only time an architect is mentioned in the local
paper is when the project is over budget or construction is delayed, and then the architect usually gets the
blame. Proactive media relations are not highlighted in architecture schools and are rarely a priority in most
architecture frms. Yet positive publicity is important in obtaining commissions.
Positive media relations begin with a dialogue with the reporters and editors at your local media outlets who
may share an interest in good stories about the built environment, or have written stories about architecture.
Some larger city papers may have an architecture writer or critic. The frst step toward positive publicity is to
identify that person(s) and begin a dialogue.
It is important to understand that media outlets are looking for attention-grabbing stories. That is why
stories about cost overruns and construction delays get a lot of attention. They affect a lot of people and
taxpayers money. Stories about good design solutions for the local fre station dont have the same appeal.
To get a writer or editor interested, you must have a unique and interesting story. Stories about the frst
green building in your area, or about a unique public or private partnership, have a chance for coverage.
Sometimes the best publicity is not directly about the architecture or architect, but a human interest story
indirectly about the building where your frms name is mentioned. The story may be about the local
philanthropist who donated a large sum of money for the project that you are designing. The trick is to get
your name published as the architect.
Activity - Core
Defning Public Relations and Developing A Plan: AIA Leaders, Media Center webpage
Writing for Design Professionals: A Guide to Writing Successful Proposals, Letters, Brochures, Portfolios, Reports,
Presentations, and Job Applications for Architects, Engineers, and Interior Designers. Stephen A. Kliment. New York:
Norton, 2006.
Research local newspaper, television stations, and applicable webpages to fnd stories about buildings. Do
they mention the architects name? Determine the type of story that gets printed or aired by local media.
Your second task is to get published or broadcast. (But please obtain permission from your frm frst prior
to using their name and releasing any information.) Think about the projects on which you have been
working. Find a unique and interesting stories. Using the example of a news release, write your own about
your project. Keep it short and focused. Provide quotes from the owner or from a local dignitary involved
in the project. Include quotes from yourself or the principal in charge. Submit a color rendering, color
photograph, or a black and white drawing or photograph of the project. Send it to as many local reporters,
editors, or respected bloggers as you can. Follow up with phone calls to answer any questions. Then, wait
for publication or broadcast and save it for your scrapbook! The following are some critical questions to
consider:
What is the unique and human-interest story about one of your projects?
How do you get the reporter to mention the frms name (in a positive light)?
Which type of media (newspapers, magazines, radio, TV, blog, etc.) would be most likely to report
on your unique story?
What built environment stories have been published in the past by each type of media in your area?
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Firm Organization
In this scenario, you have worked at your current frm for ten years, ever since you graduated from
Architecture school. Believing you have learned everything that you can from those that you worked for, you
feel you are ready to hang your own shingle. You, Jennifer Ever, and your spouse, Thomas Best, also an
architect, decide to quit your jobs and form a new frm, Best Ever Architects. Your dreams have always been
to be Partners in your own frm, so you set up a Partnership, and register it legally in your state. Filing the
registration papers requires that you state the percentage of ownership so you decide that since you are
already married anyway, that it makes most sense to split the company 50% for each of you. Since you have
no money yet, you decide to set up your offce in the spare bedroom of your apartment, buy some cheap
offce furniture, and do not yet purchase professional liability insurance, until you need it, and can afford it.
Working with some contacts made while working at previous frms, you are able to get enough work to
scrape out a living for a year. Since you have little overhead expenses, you were able to pay yourselves an
amount that works out to approximately $30 per hour, so you feel pretty good about your frst year. You learn
that the frm made a proft of $20,000, after paying yourself the $30 per hour, and you and your spouse start
talking about the new house. Nearing the end of the frst year, you receive the following news:
You did not get the commission on several projects that you pursued, due mostly to not satisfying the
Minority and Women-Owned business requirements of your state.
Your accountant states that you owe $18,000 to the Federal Government and $6,000 to the state
government, in personal taxes, for each of you. But the good news is that you dont owe any
corporate taxes for the frm.
You receive notice that your frm is being sued by both of your previous frms for interference with
their business operations.
You receive a letter from one of your clients saying that they will be holding up a $50,000 payment to
you, to pay for errors and omissions on the drawings of the project.
Law for Architects: What You Need to Know. Robert F. Hermann. New York: W.W. Norton, 2012.
Using the narrative section on frm organization, and other sections, answer the following questions:
Was the Partnership the best legal entity for this new frm?
If a partnership made sense, what could Jennifer and Thomas have done differently to avoid some
of the above problems?
How does the percentage of ownership matter?
How could Jennifer and Thomas have avoided the huge end-of-year tax bills?
How would things have been different if they had set up a professional corporation? A sole
proprietorship? A limited liability company?
Prepare a brief business plan that would have worked better for Jennifer and Thomas. The plan should
defne the creation of a proper organization, and should address taxes, proft, and insurance.
version as a PDF.
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Financial Operations
Understanding the operating cost of an offce involves layers of detail that are not evident to most
employees. When you receive your pay check you must understand the total cost of employment and
operation of an architects offce.
As the offce manager, you are responsible for all aspects of the operation of your frm. Your responsibility
does not stop at staffng assignments and marketing, but includes everything necessary for day-to-day
operations. These can be broken down into three categories. Some examples of things to consider are
available in Exhibit 4A-4, but you must also determine what other items should be added to the list.
For this activity, you will focus on the hard cost of operating your frm for one year. Do basic research to
determine a salary structure for your frm and benefts cost (based on a percentage of salary). The fnal
product will include several exercises to help you understand how you must plan for change and growth.
They can be accomplished using research and a spread sheet. Each exercise will use information from the
frst exercise and make adjustments to the summary of fees required to operate the frm.
Activity - Core
Review the activities noted below and set-up your spread sheet to accommodate the growth of the frm
and the additional furnishings and equipment needed. (Remember that you provide a bonus to your
employees if there is proft.)
The frst exercise is to develop a spread sheet covering the cost of operation of your architectural frm.
From this information, you will determine the amount of fee required to make your frm successful.
Calculate the annual fee, and then break it down on the basis of the average fee per month. To estimate
you staff salaries, download the summary of the most recent AIA Compensation Report via the AIA
Research and Reports webpage.
For the second exercise, you must determine the additional fee necessary to provide a bonus to each
employee at the end of the year. Assume staff will receive 10% and each level above staff will receive an
additional 5%. You should include the bonus in your annual budget planning for this exercise.
Prior to starting, schedule a meeting with one your frms partners, offce manager, etc., to discuss the
items considered in the operation of an architectural practice. You may receive more accurate information
for some of the items from this meeting. Prepare your evaluation material in a spread sheet format.
The following are some critical questions to consider:
How much does your frm need to invoice on a monthly basis to break even? To give out the
bonuses described above?
What is the proper amount of salaries and other costs to devote to marketing activities (as a
percentage)?
How can you fund technology and computer improvements as necessary?
How will you plan for growth of your frm? Do you need additional projects frst? Or do you need
the staff and offce space frst?
How do you plan for unexpected or unforeseen offce costs?
version as a PDF.
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Ownership & Transition
For this activity, you are to learn about the ownership of your current frm or your mentors frm in detail.
To do this, have conversations with the principals or owners of the frm. They may be reluctant to give
you detailed information, but explain to them that it is an IDP task for your education. Tell them that they
may alter the information and numbers so they are not factual, as long as the concepts and methods are
accurate.
First, how is the frm organized? Most likely it will be one of the four legal entities: A sole proprietorship, a
partnership, a corporation (either general or professional), or a limited liability company. Ask the principals
or owners why they selected that type of organization. Then ask about the number of current owners and
percentage of stock that each owns. They may respond without names and with adjusted percentages
if they wish. Ask about the history of stock sales over the life of the organization, if applicable. Find out
why any stock sales occurred over the years. You might be surprised by this answer. Determine if any
deaths of owners have occurred and how the stock was handled. See if there have been any divorces that
affected ownership. Did any owners quit the frm, and then how was the stock transferred, if at all?
The next line of questions should be about the valuation of the stock. Find out how many shares exist,
how many are outstanding, and how many the frm holds. There are many methods of determining the
value of stock in a private organization. Ask your principal or owner what method they use what the
current value of the stock is, and what the history of the value over the past few years. Ask him/her to
share the calculations that the frm is using to value the stock.
Then ask about how stock transfers have been funded. Did the new owners bring in cash from their
own sources? Were there any mergers or purchases of other frms or parts of frms? Did the frm fund
any new owners from within through bonuses? If so, how long was the payback period? Ask about any
interest charges and tax payments if this is the case. Ask if they will share with you copies of any offering
memorandums, stock purchase agreements, promissory notes, stockholder agreements, deferred
compensation agreements or employment agreements, with confdential information deleted. Was spousal
consent required for any of these documents?
Finally, ask him/her if there are plans for future stock transfers. Dont ask for names, but fnd out the
conceptual plan. Does he/she plan to keep all of his/her stock until retiring at age seventy? Is there a plan
to cash out gradually? If so, starting when? Is it his/her intention to keep the frm viable and growing after
retirement, or to shut the frm down? Has s/he thought about it at all?
Record the information in memorandum format, entitled Summary and History of the Ownership of (name
of frm).
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Human Resources
Understanding the physical relationships between the offce environment, the safety of the work space and
the employees is something to be considered in the selection and location of an offce. A manager must be
open minded in considering numerous situations which could manifest themselves on the work place, and
the employees, in the decision to lease or purchase space for the business operation.
In this scenario, you are the offce manager of your frm. As the offce manager you are responsible for the
physical environment in which the frm performs its daily business. Your frm has been successful over the
last 15 years and moved into an old industrial building space on the waterfront in a Mid-Atlantic coastal
city. While your offce is not directly on the ocean, it is in a location susceptible to the effects of major
weather anomalies such as a 100-year storm, and the waterfront fooding that accompanies this type of
unpredictable event.
A storm of substantial magnitude is heading in the direction of your city, and storm surge warnings are being
issued in areas adjacent to the waterfront. Your offce is in an historic structure and a portion of the offce
area is at an elevation below the 100-year food plain, but the majority of the space is level with the food
plain line. You closely follow the changing weather conditions and hope for the best, but the storm continues
to head in your direction and it becomes apparent that your offce space may be in peril of fooding. It is
Thursday morning and you must make decisions about the pending disaster. While there is no guarantee, it
appears that you have about 16 hours before the moment of truth arrives with the high tide.
For this activity you will focus on the employees and how to maintain safe working conditions, a functioning
offce, and continue to operate the business with minimal loss. You will need to determine how to prepare for
the possibility of fooding and the issues it presents. There are several areas of concern, including: the work
space, the employees, the equipment, fles and intellectual data for which you are responsible.
Activity - Core
Human Resources Best Practices, AIA Architects Knowledge Resource (AKR)
Your assignment is to prepare a memo to your staff outlining the steps you will take in preparation for the
storm. Provide a summary for each decision you make.
This activity will require research, information gathering, evaluation, and common sense. Use your offce
manager as a resource as well as local municipal agencies in the preparation of your report.
How will you prepare and protect your computers, network, and servers?
How much work can your employees do to assist in the preparations? Do you need to hire any
professionals and if so, what type?
How will you complete the work under your contracts, invoice your clients and pay your employees
if you are forced to move out of the offce?
How will you make plans for rebuilding if it becomes necessary?
How will you contact your insurance companies and learn what is covered and what is not?
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Marketing Strategy
Read the book Marketing for Design Firms in the 1990s by Roger L. Pickar, or a similar title, and develop
a formal Marketing Strategy for a frm. Assume that the current owners of the frm have suddenly decided
to retire, and that they have decided to appoint you as the new President and CEO. Therefore, develop the
marketing strategy as you would have it, using the historical experience and past clients of a frm your are
familiar with as the foundation. You may choose to do this on your own as a fctitious exercise, or you may
discuss this with the current partners to make this a real plan for the frm.
As you prepare your marketing plan, it should include the following elements, from Pickars book:
1. Determine the company mission. Create a mission statement as to the purpose of your frm. It
should be clear and concise, based on the project history of the frm, and it should contain a vision
that is easily understood by your employees and prospective clients.
2. Set company goals. Based on the mission statement, defne a set of goals that you wish to achieve for
the future direction of the frm. These goals should be broad and will be used to guide the marketing plan.
3. Perform internal analysis. Prepare and send out a survey in order to determine the strengths,
weaknesses and other perceptions of your frm. The survey should go to both clients, consultants,
and your own employees. The answers to its questions should give you a good picture of how you
are perceived, so that you can form your detailed marketing plan with that knowledge.
4. Perform external analysis. Perform a research analysis of your planned market and related
markets. Develop an understanding of future trends anticipated for that market.
5. Establish marketing goals. This is the place to develop your specifc marketing goals. They should
be detailed, and should include things such as amount of fees per year, number of employees,
specifc clients or client types should be named, number of each type of projects, etc. Specifc
goals should be set as targets to work towards. They can be in yearly, or three or fve year plans.
6. Generate strategies to accomplish these goals. Develop a plan for activities that will help the
frm reach its goals. For new markets, it may include research and teaming; for an expanded
geography it may involve a new offce or partnering; for increased market share, it may include
additional employees and space, etc.
7. Research and refne strategies. Take time to go back and review your strategies. Decide which are
most likely to accomplish your goals, and are cost-effective. Focus on those, and consider deleting
other loftier or costlier strategies. For now.
8. Create and refne promotional and sales tactics. Create a concrete, actionable series of tactics that
can be implemented in a short amount of time. These tactics may include promotional material, a
new image or logo or name, creating a new mailing list of potential clients, a series of informational
emails, etc. Limit the series of tactics to those that will most effectively accomplish your strategy.
9. Implement the plan. Create a plan to implement your plan! Describe how, exactly, will you roll out
and deliver your tactics. If you need to hire a graphic designer to create a new marketing piece,
defne how and when you will accomplish that. If your tactics include the creation of a new mailing
list, how will you go about doing that, etc.
10. Evaluate the plan in action. Finally, develop a survey for completion by existing clients, potential
clients, employees, consultants, community fgures, etc., designed to give you feedback on the
results of your plan and strategy. Also develop a plan to track measurable results, such as the
amount of new clients, new market share, fees, proft, etc. Review the data often and make
changes as necessary. Dont forget this important step.
Activity - Core
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Economic Trends & Strategic Planning
In this scenario, you have been working at a medium-sized frm for about fve years. Your frm, DIA (Do it
All) Architects, has about 25 people and designs K-12 schools, fre stations, libraries, speculative offce
buildings, strip shopping centers, and anything else that they can get their hands on. You started with the
frm right after graduate school as a CAD draftsman, gradually gaining experience with design and project
management on several building types. You are tired of the stodgy designs your frm produces and the fact
that the principals insist on their own way, even though your ideas are much better. You notice they take
home all of the profts on your projects, while you do all the real work. So, you have had enough, and you
begin to plan to start your own frm.
The Economics of Building: A Practical Guide for the Design Professional. Robert Ernest Johnson. Wiley, 1990.
AIA Research Resource Center
Your frst step will be to complete market research. You decide that you like working on K-12 schools, fre
stations and libraries, and you feel your potential clients immediately will be attracted to your obvious skills
and experience with these building types. Be sure there is a future market for these buildings before you
leave. Complete research in your immediate area. For at least three local governments (state, county, or
municipal), fnd out who would have information on future funding for these three building types. Place
phone calls, do internet research, and visit the planning departments and compile a list of each type
of project planned for the next three years. Also research the other architectural frms in your area to
determine those able to compete with your new frm. Compile a list of those frms along with a list of their
experience with these building types. Make a determination as to the ability of your new frm to obtain this
future work, taking into consideration the potential new projects and your competition.
Your second step will be to prepare a strategic plan. After determining which of the above three building
types you will pursue based on research, make plans to get that work. Come up with a plan to convince
those hiring the architects that you are the best one to do the job. You may be unable to compete for
the larger, more prestigious commissions with the larger, established frms in your area. From the list of
projects that you developed during the market research, select smaller projects that larger frms may not
pursue. Compile a list of your direct experience related to those small projects. Determine a percentage
of those projects for which you feel your new frm could effectively compete. Include in your strategic plan
the number of staff needed to complete that work and the amount of fees necessary to support them.
Show a gradual plan so that by the end of the third year, you will have enough experience to compete
effectively with established frms for these building types. Your strategic plan should be in narrative form,
with charts showing projects and staffng for the duration of the three years.
Will there be enough projects in your target market to support your frm in the near future?
How will you be able to convince an owner that hiring you will be the best solution to his needs?
version as a PDF.
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Human Resources/Staff Planning
In this scenario, you have risen rapidly and now fnd yourself the managing principal of your 15-person
(architectural staff) frm. One of your responsibilities is staff planning. In Exhibit 4A-5, you will fnd a list of staff
members your frm employs as well as a list of current projects with their respective phase of completion.
Using the techniques and examples described in the narrative of this section, prepare a fctitious offce-
wide staffng plan for the next six months. Determine if you have enough staff to complete the work or if
hiring more staff is required.
Each project must have a principal, a project manager, and other staff assigned to it.
No single person should be committed to a project load that results in more than 40 hours per
week.
Each project must be planned to be completed on schedule.
Each project must be planned to make a proft.
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Compensation
In this scenario, you are responsible for hiring new employees at your frm. You have interviewed a series
of candidates for an Intern Architect position. During the course of the interviews, you began to learn that
the market value in your area of Intern Architects is higher than what you pay your current interns. This is
confrmed when you decide to make an offer to the top candidate, who wont make a move without a salary
that is $5,000 higher than your highest interns salary. This is a common occurrence when the market for
Architects is good, resulting in a buyers market. You have no choice but to hire this intern, in order to
satisfy the requirements of your current contracts, and the other candidates are not less expensive.
Your selected candidate has an existing annual total compensation package that can be found in Exhibit 4A-6.
He is receiving offers of a $50,000 salary from other frms.
Your assignment is to come up with an attractive offer to your selected candidate, and to be sensitive to
the existing interns in your offce.
Be sure to consider the following questions:
Put yourself in your employers shoes. Increasing all salaries across the board is not a viable
business option. What would be a creative plan that would be enough to lure this candidate to your
frm, but that does not alienate your existing staff or break the bank?
Which benefts listed in Exhibit 4A-6 are variable, and which are not, to the extent that changes will
affect all employees?
Which benefts will have the most impact on a young intern?

Prepare an offer letter showing the total compensation package as above. Be aware that policies such
as health, life and dental insurance premiums, paid time off, and 401k plans are usually applied to all
employees, so any changes to that will have other fnancial affects to the frm as a whole. In addition,
come up with a plan that you can present to your other interns.
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In this scenario, your frm has been doing well, and reached the point where the existing staff cannot handle
all of the work under contract. You decide to hire an additional intern to fll the staffng needs.
Resumes have been reviewed and narrowed down to two candidates. Based on the interviews and
materials provided, decide who to hire.
This activity is geared toward understanding appropriate interview questions and the basis upon which you
can make a decision.
The Architects Handbook of Professional Practice, 14th ed. Chapters 7.1 - Human Resources Management and Chapter
7.2 - Recruiting and Hiring
Human Resources Best Practices, AIA Architects Knowledge Resource (AKR)
Society for Human Resource Management, Sample Interview Questions
Review the notes for two different candidates in Exhibit 4A-7. Prepare a memo to the hiring manager/
partner which summarizes the interview process, gives your recommendation for which candidate to hire,
and provides reasons why you have made that selection. Research state labor laws, including maternity
leave, and include that in your memo.
version as a PDF.
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Financial Operations Management
Understanding the fnancial responsibilities associated with the operation of a business includes the complexities
related to employee benefts and their impact on the operating cost and the bottom line. In this scenario, you are
the offce manager at your frm and you are responsible for the selection of the benefts package available to the
employees as well as the basic insurance coverage the frm provides for worker health and safety.
All of these programs have a cost associated with them, which is typically shared between the employer and
the employee. Determining which percentage each party must contribute to these programs is important
to the operation of the frm. Its leadership must make the fnal decision on which vendor to use, which
programs to make available to the employees and the associated costs to be covered.
If you are employed with a frm that provides a choice of the type of insurance programs available, or if your
frm has only one choice available, you will begin to understand the reasons when you complete this activity.
You will focus on the health insurance benefts available to employees. Also, disability and life insurance
benefts are usually available and you should list these along with the health insurance since they are a part
of the total benefts cost exposure to a frm. Schedule a meeting with your benefts director, partner, offce
manager, etc., to learn the basics of the insurance program and the options that are considered and offered.
Understand the offce you work for has invested a substantial sum in the evaluation of the programs from the
standpoint of diversity, availability in your working area, fexibility to meet the needs of all of the employees,
and the cost of the program. Typically, a frm uses specialty consultants to prepare the preliminary
information for evaluation, but the frm is responsible for the fnal selection of the benefts offered.
Research the current program(s) offered, and if possible, previous ones. Using these for comparison
purposes should provide information that is readily available. Prepare a simple chart listing the benefts
offered, but focus on the health insurance program in depth. List the positive and negative points
compared side by side. You should consider all aspects of the program(s) including a minimum of:
Benefts offered health, vision, dental, etc.
Levels of coverage (variety of programs available)
Selection of primary and specialty doctors
Emergency service considerations
Range of service availability (geographical boundaries)
Location of doctors to employees (convenience)
Arranging for visits to specialist (Are referrals required? Does it vary with the program available?)
Deductible (co-pay) cost
Maximum beneft amount per employee
Annual cost of each program, to the employee and to the frm
How does the frm pay for the beneft?
Can the cost be a pre-tax expense? What does this mean to your bottom line?
Cost for a single employee
Cost for a couple
Cost for a family
Option out What beneft is realized if you do not enroll in the program
Add other topics you discover as you prepare your research
Conclusion and selection of the program you would recommend.
Activity - Elective
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Lack of Experience Affects Credibility
In this scenario, you graduated from architecture school a few months ago and were hired by a frm that is
designing a building for construction in another state. This is the frst project the frm has done in that state.
The project architect is a competent person with many years of experience; he does not have much time for
schoolies, as he refers to recent graduates. In your work on the construction drawings, you notice a design
condition that does not violate the building code in your state but does violate an amendment to the code in
the state where the building will be built. You are aware of this amendment because you went to school in
that state and are familiar with the building code.
You bring this violation to the attention of the project architect. He shows interest until you tell him that you
learned about this particular violation in school, at which point he dismisses it. If the drawings go out for
bid and the violation is discovered during the review for a building permit, the resulting delay would cause
additional costs to your frm. If a permit is issued and the violation is discovered during construction (which it
surely would be), there would be more delays and more costs to your frm and to others.
Consider the following circumstances:
Your offce does not have a copy of the amendments to the code of the state in question. The
amendments have been ordered but have not arrived.
If you report the violation to a senior partner, you will offend the project architect, whose evaluation
at the end of your trial period will affect your future in this offce. The frm stresses using the chain of
command to enhance the effciency of its operations. Going over someones head is not looked upon
with favor.
If you persist with your objection to the project architect, you run the risk of annoying him. Your
relationship with him is already shaky.
Your failure to do anything beyond making your original observation to the project architect will likely
result in delays in the project and additional costs that would otherwise be unnecessary. You could
be faulted for failing to pursue the issue. The client is considering your frm for other projects; glitches
in this project would not impress him.
In a narrative, explain whether there are ethical considerations in this situation or it is simply a case of
protecting yourself versus protecting the frm. If issues are involved that are addressed in the AIA Code
of Ethics and Professional Conduct, what are they? What action you would take at this point and why.
Explain how a redesign would affect the project.
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Activity - Elective
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All in the Family
In this scenario, the bids are in for a high-end condominium project for which you have provided architectural
services. The selected contractor identifes the landscape irrigation system supplier for the projectit is your
sister-in-laws frm. Not such a big deal, you think at frst, as her company has over 15 years of experience
in the feld, but it is a large contract.
The Architects Handbook of Professional Practice, 14th ed. Chapter 12.4 - Bidding or Negotiation Phase
AIA 701, Instructions to Bidders
Review the above source. Write a report to share with your frm principal that answers the following
questions and explains your reasoning:
Is there a potential confict of interest?
The appearance of a confict of interest?
Should you disclose your relationship to the subcontractor?
Should you formally object to your sister-in-laws frm as the supplier? Or is it better to say
nothing?
What legal, ethical, and practical issues should you address and how should you record them?
version as a PDF.
Activity - Elective
Business Operations
493
4A
Design Excellence vs. the Clients Best Interest
In this scenario, you are working on the design of a new art museum for a long-time client and friend who is the
executive director for the museum. The client has placed responsibility for the project team in your hands and
made it clear the client will be guided by your judgment about what is best. The entire project team, including
the cost estimator, reports to your frm, and all information from the team to the client goes through you.
The executive director is answerable to the board of directors. Some of the board members are particularly
sensitive to issues that affect the community at large. They insist that they be kept current with any issues
that may cause a controversy or generate headlines in the newspaper, good or bad. The executive director
has asked you to keep her in the loop regarding any issues that may impact the community. She can then
present them to the board and be able to address any controversy. The board will have full knowledge of the
situation beforehand.
During schematic design you develop a concept for the building envelope that includes a dramatic roof
form and extensive use of a curtain wall system. You recognize there are signifcant costs associated with
these ideas, but you can stay within budget by shrinking the galleries to the program minimum, stripping the
interior fnishes and millwork (including storage), and minimizing landscaping and other parts of the budget.
You are aware these cuts will mean the completed museum will not be as good a space to present the art
in the short term, but some members of the architecture team argue that most of the cuts can be added
back over time. Moreover, you know the client will be very pleased if the project is published or wins design
awards.
Does allocating a signifcant part of the project budget to creation of an attractive building envelope violate
the professional code of ethics? Do you owe your client a clear discussion of the costs and benefts of each
major design decision? As a professional, where do you draw the line between the best interests of the end
user and creating a structure that will be an important architectural asset in the community?
What other program options are available to you and your client at this stage of the design?
Write a memo to the executive director of a minimum of 400 words, outlining the situation and include the
following:
The reasons for your approach to the design of the museum.
If any design options are available that might better ft the program requirements of the board.
version as a PDF.
Activity - Elective
Business Operations
494
4A
Exhibit 4A-1
Exhibit 4A-2
Weekly Tracking Chart
Back to Narrative
Business Operations
495
4A
Exhibit 4A-3
Back to Narrative
Business Operations
496
4A
Exhibit 4A-4
Salary Cost
(Use AIA Information)
Salary Cost
(28% of salary)
Operation Cost for Rent, Supplies, Etc.
Partner / Owner Health Insurance Professional Liability Ins. (3.5%)
Senior Staff Life Insurance Offce Rent ($22 per sf / year)
Staff Dental Insurance Utilities ($5 per sf/year)
IS Staff Vision Insurance Computer Hardware - ea workstation $650 /yr
Receptionist Prescription Plan Computer main eqpt. - $200 per workstation
Administrative Staff Disability Insurance Computer Software - $900 each workstation /yr
Accounting Staff Vacation Drafting Supplies - $80 / person
Support Staff Holidays Plotter ($8000 ea) and Printers ($1200 ea)
Maintenance Staff Sick Leave Offce Furniture - $2500 each, $600 /year
Marketing Staff time Personal Leave Offce Supplies - paper, etc $250 per emp./year
401K Phone System - $10000 annual cost
Education / Exam Internet - monthly $200
Other Leave jury, etc. Marketing Cost - travel, supplies (5%)
FICA, etc. Accounting & Tax Preparation Cost (2%)
Attorney Fees for Contracts (3.5%)
Professional Registration Fees for each state:
Estimate at $100 per person/state
Professional Society Fees (AIA, CSI, etc.):
Estimate at $450 per person registered
Estimate at $250 per person non-registered
Training cost computer, etc.:
Estimate $150 per person
CEU training cost - $150 per person
Offce functions holiday party, etc.:
Estimate at $75 per person per event
Professional Meetings (AIA, CSI):
Estimate $20 per person per event
Professional Society Functions, etc.:
Estimate at $150 per person per event
Bonus (optional if proft exists)
Taxes (on proft) assume 35%*
*Assume taxes will be paid on total income remaining after all salaries, beneft, and operating expenses are
deducted. If a bonus is paid from the profts, it will reduce the profts upon which taxes must be paid.
Back to Financial Operations
Business Operations
497
4A
Exhibit 4A-5
Current Employees
Name Category
De Shaun Intern I
Jennifer Intern I
Jay Intern II
Louis Intern III
Juan CAD Drafter
Julius CAD Drafter
TC Architect I
Charles Architect II
Victoria Architect III
Jayne Project Manager
Trey Project Manager
Emily Associate
Laura Associate
Mies Principal
IM Principal
Current Projects
Project Name Current Phase
First Longshoremans Bank Construction Administration
French National Fry Factory Construction Administration
Nicholson County Offce Building Bidding
Gulf War Veterans Memorial Construction Documents
State Road Maintenance Storage Building Construction Documents
Bauhaus University Student Union Construction Documents
Gramps Retirement Community Construction Documents
St. Georges Catholic Church Design Development
Vacation Inn Motel Design Development
Edwards Residence Schematic Design
St. Alices Medical Center Programming
Back to Human Resources/Staff Planning
Business Operations
498
4A
Exhibit 4A-6
Candidates Current Compensation Package
Salary $45,000
Health Insurance (paid by frm) $2,500
Paid Time Off 15 days/year
Christmas Bonus (at discretion of frm) $2,000
Life Insurance (paid by frm) $500
401K plan (match up to $1,000) $1,000
Dental Plan (paid by frm) $750
Total Annual Value $51,750 + Paid Time Off
Back to Compensation
Business Operations
499
4A
Exhibit 4A-7
Candidate A Candidate B
She arrives on time, appropriately dressed, and
appears to be expecting a baby.
She arrives 15 minutes early, appropriately dressed,
and rather nervous.
You ask her about her experience, and from her
answers and work examples it is obvious she has a
level of skill that is acceptable.
You ask her about her experience, and from her
answers and work examples it is obvious you would
prefer a little more architectural offce experience.
Her portfolio shows moderately creative ideas and
excellent drawing ability to express her concepts.
You ask her about career goals and she says
she would like to pass her registration exam and
continue working. She would like to have her own
small frm at some point. She is comfortable during
the interview and is not nervous when discussing
her experience and goals.
She takes time to explain how she worked as a
clerk for a contractor when she graduated from
college. She handled the shop drawing process,
coordinated the subcontractors submissions by
checking them against the architects drawings and
specifcations. You are pleased with the experience
she describes and her answers indicate she has a
good understanding for the shop drawing phase of
architecture and construction.
You explain the position and the need for someone
to start working with the frm soon and to be
available to share the workload in the offce.
You ask her about her career goals and she says
she would like to pass her registration exam and
continue working as she considers architecture her
career. The initial nervousness has given way to a
conversational and respectful discussion.
She says she doesnt see any problem and that
her experience has provided her with the skills
necessary to perform the job. She is planning on
taking sections of the registration exam during the
next six months.
You explain the position and the need for someone
to start working with the frm soon and to be
available to share the work load in the offce.
She asks about vacation accrual and time off to take
the registration exam.
She says she doesnt see any problem in fulflling
the needs of the position, and her work experience
has provided her with in understanding of the skills
necessary to perform the job.
You explain vacation accrual and the frm provides
24 hours per year for registration exam. Anything
else is on the employees time.
She says she is getting married in four months. She
realizes the work load of the frm, but her date is set
and she will need one week off for the wedding and
honeymoon. She offers to put in extra time before
the wedding to share the load.
You thank her and let her know you will contact
her with a decision after the other interviews are
completed and after you contact her references.
You explain you will take that into consideration in
making your decision.
You explain the company benefts package to her
and ask if she has any questions.
You thank her and let her know you will contact
her with a decision after the other interviews are
completed, and after you contact her references.
Back to Legal Issues for Architects
Business Operations
500
4A
4B
Leadership &
Service
activities - core*
introduction
519
520
514
515
516
517
518
514
502
Wii for Seniors
Non-Prot Housing Corporations
Teaching Architecture in Schools
Sustainability of a Historic Structure
Ethical Standards for a Public Ofcial
narrative 503
Becoming a Mayor
Mentoring an Architecture Student
exhibits
-----
Leadership & Service
502
resources
4B
Internships.aspx.
2008.

2001.
2009.
Introduction
This chapter contains expanded opportunities for professional
development related to the feld of architecture. It addresses the ever-
shifting nature of practice, the diverse abilities and roles of architects
and, most important, the potential for interns to assume leadership. This
chapter is also characterized by the freedom to choose how you as an
individual can make contributions in the world as an emerging architecture
professional. The following information is taken from the NCARB IDP
Guidelines:
Leadership And Service
Minimum Leadership and Service Experience: 80 Hours
(Maximum Allowed: 320 hours)
Defnition: These tasks will increase your understanding of the people
and forces that shape society, as well as augment your professional
knowledge and leadership skills. Interns will fnd that voluntary participation
in professional and community activities enhances their professional
development. Community service does not have to be limited to
architecture-related activities for you to receive these benefts.
Tasks
Develop leadership skills to enable successful practice
Identify and articulate leadership traits required to maintain a
successful and healthy offce environment in an architecture frm
Contribute your talents in a community-based organization to
improve the quality of life
Community leadership/civic involvement
Entrepreneurship
Mentoring teaching others
Personal time management
Service to the profession (e.g., AIA, NCARB)
Supervising
notes
503
4B
Narrative
Leadership and service opportunities allow you to contribute your talents responsibly to community-based
organizations with the goal of helping to improve the quality of life in the community. Some opportunities will
be design oriented, some not. This is a beginning, not an exhaustive list, to initiate thoughts and ignite your
passion that will make service worthwhile to you and the community you serve.
Leadership and service are vital components of the architects education in the near term and for lifelong
development. What is not easily understood by the practitioner are the mutually benefcial aspects of
community service that do not tie to project procurement, but those that increase ones skills at leadership,
collaboration, networking and mediation. These skills enhance ones abilities to effectively practice
architecture, lead a frm and be seen as a credible leader on professional and community matters. These
skills may well help you to generate more business, by your visibility as a catalyst for new projects. Service
length can vary from a day to months, to several years. Helping others can be extremely gratifying.
As you do service work remember that in most states the title Architect is protected and reserved for
those licensed to practice. Be certain to check with your states Registration Board before going out in the
community and calling yourself an architect or even an intern architect. The Board should have a term that
is used in your state to designate those with degrees in architecture who have yet to pass the licensure
examination.
Understanding the Term Professional
The term professional may not have been a part of your architecture school education, or you may have
received a partial picture. Classes in professional practice tend to focus on business management or even
more narrowly on contracts and legal concerns. It is of vital importance that you understand the rights and
responsibilities of an architect. Our society has loosely used the term professional. While a professional
athlete may be distinguished from an amateur by the money they receive by playing their sport, there are
fundamental criteria for defning professionals. As stated by Wasserman, et al., in Ethics and the Practice of
Architecture, to be a professional all of the following criteria must be met:
University level education in a special area of knowledge that is central to the profession being discussed
Internship and supervised entry level performance in order to master application of that knowledge in
practice
Knowledge and practices that require the unique exercise of learned judgment for each new situation
(rather than applied technical knowledge)
Establishment of disciplinary identity and uniqueness of the professional group through the
establishment of professional organizations, journals, systems of education, and standards for
licensing
Autonomy, earned by the profession and recognized and granted by society through state licensing,
504
resources
4B
Wasserman, Barry L., Patrick
Sullivan, and Gregory Palermo.
Ethics and the Practice of
Architecture. New York: Wiley,
2000.
Boyer, Ernest L., and Lee D.
Mitgang. Building Community:
A New Future for Architecture
Education and Practice: A
Special Report. Princeton, NJ:
Carnegie Foundation for the
Advancement of Teaching,
1996.
in defning and mastering the knowledge and practice of the
profession, resulting in self-policing with regard to the standards of
practice and ethical conduct having the knowledge and expertise
necessary for the well-being of persons in Society.
By this defnition, the number of professions is reduced to a handful.
Contemporary standards list law, medicine, architecture and engineering
as professions. Traditionally university professors, ministers and members
of the military have been included in this tightly defned group.
In the Carnegie Foundations Boyer and Mitgang report, Building
Community: A New Future for Architecture Education and Practice, says
that beyond this defnition lie the two cornerstones of professional standing
the duty to provide public service and to merit trustworthiness. These are
based on three conditions:
The complexity of the knowledge and expertise that professionals
hold
The complex practices that are requisite for research and
knowledge application
The expectation of provision by the profession of necessary
services and access to them by society and individuals who do not
hold that knowledge
Code of Ethics
The NCARB Core Values pertain to the protection of life safety and public
welfare and the architect is legally bound by the individual state licensing
laws. For example, in Minnesota they include:
Personal conduct
Confict of interest
Improper solicitation of employment
False or malicious statements
Knowledge of improper conduct of others
Action by another jurisdiction
Employment on the basis of merit
Misconduct
Registration
Responsible charge and direct supervision
Within these categories are laws concerning moral turpitude, plan and
document stamping, gifts from contractors, receiving compensation
form multiple parties on one project, and regulations concerning a frms
practice of landscape engineering, engineering, or the like without having a
licensed partner or employee in the feld.
The AIA Code of Ethics and Professional Conduct also concerns life
safety and public welfare and professional interactions between architects
and colleagues but it goes on to discuss broad issues such as seeking
aesthetic excellence and respecting the environment. The Code was frst
written in 1909 and went through several revisions. In the early 1980s it
was suspended following a Supreme Court Ruling, a revised Code was
issued in 1986. The very frst version forbade design build, paid advertising
and entering in design competitions not based on the AIA principles.
notes
505
4B
Trustworthiness is often tested in the area of service. Not only must you be diligent in meeting commitments,
be it appearing on time and well prepared, but you must also avoid any fduciary conficts, real or perceived.
Your ethical behavior is at the root of your trustworthiness and it needs to be upheld in every one of your
actions.
The NCARB Rules of Conduct might be of value on your reading list. While they do not directly apply to
service to the profession or the community, they do lay out rules that will apply to your professional life as
soon as you become registered. Some states have adopted these Rules as Model Law and use them as
is other states have added or incorporated them into their own regulations and statutes. Check your states
code of ethics or code of conduct.
With that background, professional service takes on an entirely new meaning. The professional should
exhibit the benefts of architecture at its highest and best.
In professional service you will be volunteering in situations where you promote or enhance the profession.
You may be working with others who are interested in the feld, working toward their licensure, or those who
are already architects. In this type of service you might be covering some of the same broad areas as in
public service, but there will always be an architectural aspect.
Even though you may not be a member, AIA is an invaluable resource to guide your professional behavior.
As stated in the AIA Code of Ethics and Professional Conduct in Canon II, Obligations to the Public,
Members should be involved in civic activities as citizens and professionals, and should strive to improve
public appreciation and understanding of architecture and the functions and responsibilities of architects.
Below are listed some types professional and community services available to you in most regions. These
are categorized as mentoring, education, politics, civic organizations, affliations with allied felds, and
continuing education. Professional service activities are frst, community service opportunities follow.
Professional Service
Mentoring
Mentoring involves individuals willing to help others to reach their full potential through teaching, coaching
and nurturing. The AIA Code of Ethics encourages members to nurture their fellow professionals as
they progress through all stages of their career, beginning with professional education in the academy,
progressing through internship, and continuing throughout their career. (Canon V).
Mentoring was practiced most often in the tradition of apprenticeship, now best illustrated by the medical
professions internship and residency requirements. There are two positions, the mentor who guides,
teaches and encourages the protg who benefts from this interest and care.
Apprenticeship
Mr. Demeles grandfather was an indentured apprentice to an Architect in late 19th century England. While
todays interns may object to the regimen of the IDP requirements these pale when contrasted to indenture.
506
resources
4B
Learn more about mentorship:
www.aia.org/mentorship
The AIA offers a suite of tools for
effective decision-making when
considering pro bono work:
AIA Pro Bono Services
The formal letter of indenture can be paraphrased as follows: (the then
seventeen year old) of his own free will and with the consent of this parents
is placed and bound as apprentice tofor four yearsshall faithfully and
diligently serveand willingly obey the lawful directivessaid apprentice
shall not nor will at any timeabsent himself from the employment of
... nor will waste, misspend injure or destroy any of the monies, goods,
books, papers, writings, or other properties or effects of the saidand
that (apprentice) shall and will during the said term demean, conduct and
behave himself as a honest, diligent and faithful apprentice and that
(parents) shall and will provide the said apprentice with all apparel proper
for one in his station and with good and suffcient meat, drink, washing and
lodging and in case of his illness shall and will from time to time pay and
discharge all bills and expenses attending such illness in anywise and in
consideration for such service the said doth hereby covenant that he shall
and will according to the best of skill and knowledge teach and instruct
the said apprentice in the profession of an Architect and Surveyor.
Mr. Demeles grandfather traveled to Canada in 1911 and immigrated to
the United States in 1913. He went on to work with Burnham in Chicago
as an engineer on the famous Park and Boulevard system and then as a
Planning Consultant for the Golden Gate Bridge in San Francisco. Later
work brought him to Minneapolis and St. Paul, Minnesota. He eventually
settled in San Francisco, where he was known for his skills as a planner.
Unlike in the 19th and early 20th centuries where a career in one offce
was the norm, in todays job market it is more common to have multiple
jobs over the course of ones career. The more static career allowed for the
tradition of having a senior mentor who stayed above the protg until the
senior professional retired. During the tenure of the relationship more junior
members would fnd a mentor who might still be a protg themselves.
Today, multiple job situations are common and a new mentor is usually
sought at each new work environment.
The result is the same, knowledge and experience is passed from one
generation to the next. In todays ever changing technological world there
is a real chance that the mentoring will actually fow in two directions, down
from the mentor and up from the protg. The term for this up and down
exchange of information is called ladder mentoring. This creates a virtual
chain of mentors and protgs with multiple levels of experience. This is
one example in which the mentor and protg beneft from the experience.
Other benefts include the improvement of communication and leadership
skills, as well as a satisfaction from the experience that provides energy
and enthusiasm to both participants.
Peer Mentoring
The structuring of the mentoring may be formal or casual, often dictated
by the situation in which the relationship is established. A new learning
group model has appeared in response to the dearth of mentors. In these
relationships a single mentor works with a group of three to fve protgs.
Optimum success with these groups has been achieved where the mentor
becomes a partner in the learning as opposed to a teacher. This situation
also allows the protgs to begin a peer network.
notes
507
4B
Peer mentoring is another type of mentoring where you might:
Work with others not yet at your experience level. (Students, other interns, etc.)
Help those that practiced architecture abroad to acquaint them with U.S. practices.
Organize around a common goal in a study or networking group. Studying for the Architect
Registration Examination (ARE
), preparing IDP credits, or simply meeting on a regular basis to

discuss current topics in architecture.
Education
Utilizing your architecture education outside the profession is also an good way to reinforce your skills, and
help the general public learn what an architect does. Architect, much like professional, has been used more
broadly than its true defnition. Whether in the computer feld, where it is used to describe the process of
developing a new software or as a designation for one who develops a plan for diplomacy, education or
legislation, misuse of the title is common.
The educational system appreciates the benefts of introducing the younger generation to architecture.
In elementary schools it is used to teach basic principles of map reading, observation, interpretation and
sketching as well as basic math skills. At the middle school level there are more complex lessons to be
learned. Architecture involves a combination of disciplines sought by teachers striving to instruct students
through integrated learning. The teaching of history, cultures, math, science, and communication are all
brought together at this level. Within high schools more advanced lessons, as well as the linkage with
college career counseling is appreciated.
There are also many books in the marketplace that will help you develop your own curriculum. A few titles
to whet your appetite are Beginning with the simple What it Feels Like to Be a Building, How Things Were
Built, Incredible Cross Sections, Round buildings, Square Buildings and Buildings that Wiggle Like a Fish,
Old House, New House, and The Visual Dictionary of Buildings. Typing in the name of any one of these into
Amazon.com will yield an extensive list of other titles available.
Volunteer to teach at any level about the professions impact on the environment, historic preservation,
history of building or art/architectural history. This might happen in a school or art center venue. You might
participate in Shadow an Architect Days where students follow you through the workday.
Professional Organizations/Boards Requiring Architectural Positions
There are a number of professional organizations as well as Boards with positions for Architects. (Remember,
you are not an architect yet but these boards also have associate and public member positions.)
Local AIA or AIAS chapter: Running for leadership in these organizations will give you a look at
future positions in politics as well as giving you a perspective of how and why your professional
organization serves it members and society.
National AIA or AIAS: This takes the above responsibilities to the national level, with its added scope.
508
resources
4B
AIA Component programs vary.
Locate a component near you:
www.aia.org/about/structure/
components/AIAS078541
Learn more about the Heritage
Documentation Programs
the National Parks Services
administers, such as HABS
(Historic American Buildings
Survey), HAER (Historic
American Engineering Record),
and HALS (Historic American
Landscapes Survey):
www.nps.gov/history/hdp/
Architects, Institute Guidelines
to Assist AIA Members, Firms
and Components in Undertaking
Pro Bono Service Activities
Chapter Committees: Your local AIA Chapter is the source of a
wide variety of committees, such as Building Codes, Design, the
Environment, Government Affairs, Historic Resources, Housing
Advocacy, Public Awareness, residential Architecture, and Small
Firm Practice. There will also be groups covering their magazine,
e-magazine, and convention as well as IDP, Professional
Development, Emerging Professionals and Membership.
State Registration Board: Typically these positions require years
of licensure but almost all offer spots to public members. Learning
about the working of your local board will bring understanding of
licensure, and an opportunity to infuence.
State Designer Selection Board: Some states use this format to
award state fnanced projects over a minimum dollar value. These
boards are typically compromised of engineers, public members
and architects. This would be a public member position for the
architecture school graduate. It offers a valuable insight to frms,
their presentation techniques (both written and verbal), as well as
the number of projects in your state.

Boards often require a great deal of time; especially in years called
Bonding Years when the legislatures pass bills and bonds funding
state projects. Typically a Request for Proposals (RFPs) is released
and frms submit in a prescribed format. One project, depending
upon the economy and other projects available, each project may
attract twenty-fve to thirty-fve proposals. Each must be read
carefully in preparation for the short listing meeting, which usually
entails a vote or series of votes to reduce the list to three to fve.
These frms are notifed and requested to submit a presentation
to the Board. These presentations are usually limited to a strict
duration with a question period to follow. In heavily bonded years
there may be as many as ffty buildings funded. Take the time to
attend these meetings and carefully and thoughtfully make your
decisions as a board member.

You will be exposed to a variety of building types and many of your
states best frms, small and large. There are often out of state
specialty consultants involved as well. Be prepared, however, for
the occasional unhappy presenter that you may run into socially;
often they are not reticent about expressing their opinion about your
decision.
Make contacts to infuence and advise local zoning boards,
planning committees, fne arts review board or similar community
based organizations.
Civic Organizations
Take the profession to your community in a wider setting. In addition to
the activities listed below, consider writing a column for a community
newspaper or website emphasizing architectures impact or soliciting
comments on recent buildings or development projects. When considering
others works, be thoughtful and fair.
notes
509
4B
Planning Commission: Positions are most often appointments. Serving provides an excellent way
to share your design acumen. Depending upon your town or citys governance the commission may
have full authority or serve as a recommending body to the council or administrator.
Design Review Board: Appearing more frequently as suburbs deal with increasing development,
both commercial and residential. This position is well served by your talents and level of experience.
Historic Preservation Group or Association: Are growing in stature as they act beyond preservation
of individual buildings to neighborhoods, parks and the landscape. They potentially take part in the
Sustainability Initiative by the National Trust for Historic Preservation as well as defend the character
of community. The Sustainability Initiative emphasizes the importance of adaptive reuse as an
essential part of sustainability. NTHPS President Roger Moe asked the question of recycling tin cans,
newspapers and glass bottles when we throw away entire buildings.

Your ability to record buildings is an asset to these groups. With additional study and help from
architects you might also be asked to assess and offer renovation advice on important buildings,
neighborhoods or landscapes.
Pro Bono Work: Ethics is a cornerstone of practice and service to your profession. These two
merge the undertaking of pro bono work. Remember that pro bono work must be distinguished from
performing free services. In pro bono work you expect nothing in return for your services rendered.
Implicit in free services is the expectation that you are performing them in anticipation of a future
commission. This is an important distinction. Free services occur where work for an organization is
done to promote your frm; examples include free sketches of solutions or programming work. Free
services may be unethical or illegal in your state.

You may require the assistance of an architect to complete this work (also performed Pro Bono).
There is great satisfaction in helping a crisis nursery, senior daycare or other group facility improve
their facility. Included in this work might be work after disasters or other emergencies.
Civic Improvement Groups: Taking on projects to emphasize community, like place-making. This
might be as simple as designing or building park benches, creating a living arch into a park,
planters or decorating unsightly gas or electric utilities. Topiary can celebrate the local importance
of a geological feature or species. Consider developing a farmers market or sidewalk art show.
See Al Zelinka and Susan Jackson Hardens, Placemaking on a Budget: Improving Small Towns,
Neighborhoods and Downtowns Without Spending a Lot of Money, for inspiration.
The Environment: Another charge to the profession is included in the AIA Code of Ethics is Canon
VI, Obligations to the Environment. Opportunities include advocacy for the design, construction,
and operation of sustainable buildings and communities, as well as the use of sustainable practices
within your frm. Use any of the public forums mentioned above.
510
resources
4B
Zelinka, Al, and Susan Jackson.
Harden. Placemaking on a
Budget: Improving Small Towns,
Neighborhoods, and Downtowns
without Spending a Lot of
Money. Chicago, IL: American
Planning Association, 2005.
Pearson, Jason. University/
Community Design
Partnerships: Innovations in
Practice. Washington, D.C.:
National Endowment for the Arts
with the Support of The Richard
H. Driehaus Foundation, 2002.
Affliations
These are opportunities to work with other felds, learning about them
or contributing your combined talents to the community through a
professional organization. Such associations might be landscape
architects, interior designers, engineers or other design professionals.
Activities may include teaching a course in the interdependence of the
felds, participating on juries, or regularly contributing to newsletters or
websites.
Here is your chance to develop your strengths as well as satisfy your
curiosity about topics of interest. It is a good idea to stretch beyond
architecture and learn about allied felds as well as areas of general interest.
Once you have mastered a new topic, share your knowledge with others.
Community Service
Community service can be more complex than professional service.
Communities have a range of needs. From infants to the elderly, animals
to forests, and ice caps to the tropics, our world is in need. Service can
be as simple as creating a group to provide meals to seniors, maintaining
boulevard trees, or giving lectures to community groups on ways to green
their environment. There are more complex ways to meet these needs that
extend to governing a city or town, or bringing health organizations to rural
area.
Needs exist: some are professional others provide basic volunteer power.
Emphasis should be given to your commitment to service. Being absent or
not fnding a substitute may have an enormous impact on those expecting
you. Matters which seem insignifcant to you can be of great import to
those who are less fortunate. Remember that their time is valuable too.
Mentoring
In the Community Service setting your role as mentor will have the same
structure and defnition as in Professional Service but you will be mentoring
protgs who may be from a completely different educational or cultural
setting. You will also draw upon a wider set of capabilities and skills.
Here are areas you might consider:
Helping students, young or old, with academic subjects. This may
occur either within a school or within a wider community context.
Tutors in math, science, and English as a Second Language (ESL)
are in high demand.
Aiding immigrants in their adaptation to life in this country, as well
as their efforts to learn the language. These activities would cover
such basic skills as shopping, learning the medical system, and
seeking housing.
Assisting seniors in programs of music or even Wii programs for
exercise.
Education
Your willingness and ability to commit and prove trustworthy is emphasized
in this activity. In addition you should practice standing up before others and
making your points in an articulate and engaging manner. While participating
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in juries at school may seem like preparation enough, you should remember that in those situations you were
addressing peers. In most situations you will be speaking to those who are not well versed in the vocabulary
of design. Practice before you present to your class. Becoming a comprehensible, articulate and concise
presenter is essential to a career in architecture.
In this instance, you will be providing educational experiences that draw upon skills from your architectural
education such as sketching or computer skills. An Art Center or Community Education program would be a
place to lend your skills.
Politics
Your personal and professional ethics meet their highest and most frequent tests in the area of politics and/
or governance. At no point should there be perception of impropriety. Your frm may have to pass up projects
that they might have otherwise sought if you are in a position to infuence the selection of the frms. While
abstention is common during voting, it is best if you also abstain from any discussion of the project as well.
Less obvious issues of ethics might include decisions, roadways or projects that might add value to property
or otherwise beneft a current client.
The AIA Code of Ethics and Professional Conduct is a good source for guidance Canon II, Obligations to the
Public, Rule 2.103 is clear, Members serving in a public capacity shall not accept payments or gifts which
are intended to infuence their judgment .
City Council/Selectmen: These positions are important and should be taken with seriousness of
purpose, preferably by those who bring more than one talent or interest to the table. Your presence
will be valuable to most communities as they rarely have anyone with a design background serving.
Development projects are often the most important items appearing on the agenda.
Mayor: Mayoral positions are a higher goal in community politics and one that demands a signifcant
amount of time. It is rare that less experienced people are elected, but this is happening more and
more. Seek experienced counsel before running for political offce.
Civic Organizations
This is the broadest category in Community Service. Habitat for Humanity, the YM(W)CA, Boy and
Girl Scouts, and other such well know groups are the tip of the iceberg. There is a website (www.
communityservice.org) that lists opportunities conveniently organized by distances in which you are willing
to donate your time. Broad categories include human rights, the environment, conservation and wildlife as
well as peace, frearms, drunk driving and drug abuse. Donate Blood, run in a race for cancer cure, write
grant proposals for the arts board, staff the shop at the childrens museum, rake leaves or paint the house of
a senior, clean up a neighborhood eyesorethe list is endless.
A few groups to consider are listed on the following page:
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Learn more about AIA advocacy
efforts at the local, state, and
federal level:
www.aia.org/advocacy
Learn more about assisting on
disaster response teams:
www.aia.org/disasterresponse
Vance, Stephanie D. Citizens in
Action: A Guide to Infuencing
Government. Bethesda, MD:
Columbia Books & Information
Services, 2009.
The AIA is always in need of
volunteers at the local, state,
and national level. Volunteering
can provide opportunities to lead
teams and manage projects,
network with your peers, and
improve the architectural
profession as a whole. Learn
more about volunteering with
AIA at www.aia.org/volunteer.
Park Board: Park Boards see to the construction and maintenance
of parks, playgrounds and hiking and biking trails. This is a good
spot for the playful and nature loving personality.
Emergency Preparedness Organizations: Hurricanes, foods,
tornadoes, fres, etc., call for an organized group to prepare for
them. This may involve your talents as an organizer of people or
goods. You may even be asked to do some preparatory design
work on temporary shelters or other structures should disaster
strike.
Volunteer Fire Department: Another under-staffed segment of our
society. You might also take a course in EMT or the operation of a
cardiac defbrillator.
Also look to these areas to contribute:
Become a research associate
Develop your skills as a graphic recorder or facilitator, with or
without a computer
Gain the skills to practice architectural photography
Explore housing prototypes for the indigent, storm victims or
sustainable living in remote locations
Shadow a leader in another profession
Sit on a jury for allied professions
Develop a new software product or application
Start a gallery specializing in architecture or a local architecture
foundation
Design and present a program for an AIA convention or an AIA
chapter/component meeting
Write a book on an area of interest or one that was neglected in
your education or within the community
Written by Gary E. Demele, AIA, NCARB and Maureen Steele Bellows, RA
Gary E. Demele and Maureen Steele Bellows are Minnesota architects with practices that
include local community based design and completed projects nationwide. Their service
to the profession includes Architecture in the Schools, State IDP Coordinator, local and
national AIA committee work and Master Grader for the NCARB ARE exam. Community
service includes sitting on the state licensing board, state designer selection board, local
planning commission, providing professional pro-bono work to non-proft groups and over
20 years of mentoring emerging professionals.
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Wii for Seniors
In this scenario, a local Senior Citizens Council is developing a program to enhance the lives of local
seniors, whether they are living in nursing homes, assisted living or private homes. They feel strongly that
a physical activity component be included for those who are able, even if assistance is necessary. The
Wii activity seems to be an ideal means to achieve this goal. The council has a modest budget of ffteen
hundred ($1,500.00) dollars to execute the program.
You have heard the Nintendo Wii game system has been used in similar situations. The games are used
as a means of providing physical exercise to engage those who are less able and increase the heart rate of
the viewers. The gentle motion, balance and coordination are credited with strengthening bones, loosening
joints and decreasing cellular aging in the brain. Most importantly, the games are considered an impetus
to socialization. Bowling, golf and even doubles tennis are popular. There are even bowling leagues and
tournaments in some retirement homes. Providing a means of active participation between the generations,
much as board games have in the past. There are games that can be enjoyed by all three generations.

As an involved citizen you are intrigued and fnd the idea worthy of consideration by the Citizens Council.
When you bring this to the council they have not heard of its use by seniors and they look puzzled. They ask
for concrete evidence of successful use of the product. Internet searches arm you with successful examples
and increase your interests. The assignment set by the Council appears easy until you acknowledge the
reality of the budget. With the knowledge that the Wii system is not inexpensive and several would be
required to accommodate the nursing homes, and three assisted living complexes as well as taking the
game to individual homes, you begin to think about how to overcome this hurdle. In addition, scarcity of the
hardware concerns you.
You realize its necessary to fnd an ally that will help. You know of a Santa for Seniors project in town; a
holiday activity that helps seniors and you wonder if this will confict with efforts to provide Wii units. Now
you are convinced that physical activity is important for citizens and want to have this program in your town.
Activity - Core
What games would be appropriate in your program? How do you convince the Council this is a viable
idea? Would there be a better group to train and/or oversee the seniors? Are there additional funding
sources you could include?
Write a maximum 600 word proposal to the Senior Citizens Council advocating for the Wii program. Write
a funding request (minimum 300 words) aimed at a local big box vendor asking for a donation of game
hardware or software. Produce a list of volunteer groups that would be suitable to assist the seniors with
the games.
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Non-Prot Housing Corporation
In this scenario, you decide to invest your time and carpentry skills constructing housing units for a not-for-
proft community based housing corporation this summer. Before you donate time, you would like to learn
more about non-proft housing organizations.
Many housing organizations operate similarly to for-proft businesses. Usually they have an Executive
Director, a Board of Directors setting the direction, goals and vision, and paid staff responsible for running
the daily operations. Most non-profts receive grants from private and public sources. The public sources
may include money from local, county, state or federal government programs. Private foundations may also
provide funding for the general operations, or special projects identifed in the original grant request.
Due to the size and complexity of many housing projects a non-proft corporation must also secure a
temporary construction loan from a bank (if the project is to be sold) or a long term mortgage (if the units are
to be rented). These loans are similar to a loan on your home. They can be adjustable or fxed rate loans,
with 15 or 30 year term mortgages.
Often a non-proft will initiate co-venture projects with government in low income neighborhoods with the
intention of revitalization by providing new housing or infrastructure. A project may be replacing housing
stock destroyed in a natural disaster. The project may be housing components of a larger for-proft, mixed-
use venture. It may include retail, institutional or religious facilities. The corporation then sells units at below
market rates to those eligible. If the project is rental property, low cost or subsidized rental units will be
provided. Qualifcations often include income, a minimum age, and/or disability.
Where does the money come from to fnance such a venture? What other ways are housing projects
fnanced? Are members of the non-proft paid for their efforts? Who hires the architect, contractors, attorneys
and construction team for the project? How does one obtain a position with a non-proft organization like
this?
Research a local non-proft corporation, or select a national community group, such as Habitat for
Humanity. Review the mission of the corporation and its philosophy. How is their leadership organized?
Review available organizational charts online. How long have they been serving the community and what
is the annual volume of housing projects?
Write a report (500 words maximum) documenting how the group is organized, how a typical project
is fnanced and how many units they have built in the last ten years. Visit a project completed or under
construction sponsored by the non-proft group.
Prepare a photo essay (minimum of 10 photos) showing projects scope. Include available drawings such
as foor plans and building elevations.
If possible, interview a prospective units buyer or lessee. Interview non-proft members involved in the
construction, and discuss any special features; sustainable materials, energy-saving or creative solutions
to typical housing problems.
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Teaching Architecture in Schools
Teaching the basics of architecture or exploring design with elementary, middle or high school children is an
excellent way to serve and reinforce your knowledge about architecture in a rewarding way. It also offers a
low pressure environment to practice public speaking and leadership skills with groups of young people.
The American Architectural Foundation and AIA Components offer resources for teaching a program known
as Architecture in Schools. These programs come from local initiatives and volunteers ready to make
their community a better place. Each program must take into account the location and school age groups.
Students will be using local environments as a laboratory to test their knowledge.
Architecture is rarely part of curriculum for most children. Topics vary; looking at street maps, learning about
architectural history, or working with a design team building a model. Others lessons to consider:
Examine or draw a map of the neighborhood and discuss street patterns, parks, pedestrian paths,
zoning, and other restrictions.
Learning about materials, measurements, scale and shapes.
Take a feld trip to learn about utilities, infrastructure, street furniture.
Learn the vocabulary of building elements.
Learn basic structural principles and engineering systems.
Read plan, elevation and section views.
Understand the concepts of environmental preservation and green building.
Visit construction sites or an architecture offce.
Learn how architecture is responsive by engaging families of students to design a new home.
Consider your experiences learning about architecture. Refect on the classes and studios that have taught
the basics of design, theory, planning and construction techniques. What students learn will help them to
become better citizens. What do these children know that can be applied to architecture and design? What
skills are they lacking? What can you teach them? Why does a childs sense of play inform their creativity
and potential to be designers?
Activity - Core
Starting with local architecture foundations, search the internet for prominent architecture in schools
programs. Review the program basics, noting differences based on age of students. Contact your local
AIA Chapter about their programs.
Select one of the topics aboveor a topic of your choiceand prepare a presentation to be delivered to
a class. Decide on an age group and level. Present the topic in a single class period (35 to 55 minutes in
length depending on the age of your students).
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Sustainability of a Historic Structure
In this scenario, you are a member of the Massachusetts State Historical Society called upon to select one
of the ten most endangered buildings listed to renovate and help direct the renovation. Because of your
interest in sustainability, you wish to help the Historical Societys visibility by turning the property into a green
building.
Knowing that only 6% of the current nonresidential building stock has been considered worthy of historic
designation, you want to demonstrate that there is a larger opportunity for preservation. You view the
expansion of the designation into neighborhoods will achieve the goals of The New Urbanism and
Intelligent Urbanism without destroying existing stock. For now, prove the greenest building is one that is
already built, even if it is a hundred years old.
When receiving the Vincent Scully prize Roger Moe was adamant that historic preservation has a role to
play in fghting climate change. Recall the National Historic Trusts Sustainability Initiative. This initiative
centers on revitalization of buildings and neighborhoods as the highest form of sustainability. The initiative
states demolishing an old building, hauling its remains to a landfll, and constructing a new building is
an enormous waste of energy and resources. This process of energy consumption, from the start of
construction is called embodied energy: its wasted if the building is demolished. The process is started
again with the construction of a replacement building.
Carl Enfante, AIA, of Quinn Evans Architects, called accumulated building stock the elephant in the room
and noted that of the over 65 billion square feet of nonresidential building stock in the United States, four
out of fve existing buildings will be renovated over the next generation while two more are added. Many
say the most green buildings we have today are those built before 1920 and those built after 2000. Older
buildings often have thicker walls, natural ventilation, large windows allowing natural daylight to penetrate
the structure, porches, vestibules, as well as landscaping that shades. Many of these buildings were sited
to take advantage of natural breezes to help cooling. Many employed sophisticated methods of natural
ventilation creating virtual chimneys of the entire building, with cool basement air brought up through the
structure, taking advantage of transoms, cupolas and clerestory windows to move the air.
Many buildings are retroftted to green status through variety of means. Some are ftted with new mechanical
systems employing solar panels or photovoltaic panels, others by new windows and improving natural
ventilation. Since the Historical Society is opposed to mounting panels on the building (and likely prevented
from doing so while retaining the buildings historical designation) you must be creative. Solutions may lie
in (say) geothermal heating and cooling systems, which require minimal electricity to operate. You may fnd
other solutions.
Visit the National Trust website and read President Roger Moes acceptance speech for the Graham Gund/
Award. Select one of your states ten most endangered historic buildings and create a plan to recycle the
historic building using the initiative as a guideline. Why is this historic building considered to be a good
candidate for applying sustainable principles to renovate the building? Present your plan in a 500 word
report.
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Ethical Standards for a Public Ofcial
Architects that choose to become public offcials fnd the constellation of ethical standards must be
considered before entering the public arena. What professional ethic rules should apply?
For example, an licensed architect, a member of the AIA, a NCARB certifcate holder, and a city council
member. In addition to the obligations to the public, an architect must follow obligations of the professional
rules of conduct. These situations can create ethical responses in confict with other considerations. How do
you sort through the issues?
In Ethics and the Practice of Architecture by Barry Wasserman, et al, Wasserman addresses the problem of
competing ethics with a method to examine complex problems. Wasserman describes this condition as The
Architecture/Ethics Nexus. Its a theoretical and practical framework for critical examination of this nexus.
The authors propose the 5 Lenses of Inquiry or Framing Lens:
Architectures Purposefulness and Social Beneft: the social purpose to improve life and support
communal construction.
Material Production: includes the use of resources, the understanding of material properties to
support best resource use and design vision.
Aesthetics: architectures relationship to art and beauty.
Architectures Rhetoric and Ideologies: to consider the intentions of say, the Modern Movement of
architecture or other historical periods when a new ideology emerges.
Praxis; Ethics that Emerge in Architectural Practices: mastery of the discipline required in the
everyday practice of architecture.
From these Framing Lenses we can begin to apply the Four Principal Ethical Theories to the problem at
hand. Finally, we examine the problem using the 5 Steps in Ethical Reasoning: Defnition, Assessment,
Speculation, Deliberation, Resolution.
Guiding us through the process to achieve resolution to prepare an ethical path, the 5 Steps in Ethical
Reasoning can inform future decisions. What standard is the public offcial held to by the local citizens?
By the State Registration Board? By the AIA? By NCARB? What is the correct path when one set of
ethics overlaps another? What are the consequences if this person is convicted of an illegal act outside of
professional services? Can this person lose his/her license?
Activity - Core
Your states Professional Conduct standards for Architects
NCARB Rules of Conduct
Create a spreadsheet matrix comparing the various ethical codes in Wii for Seniors, with Ethical Code
Names on the rows and Ethical Topics as columns. Write a 400 word memorandum describing which
conduct requirements are similar in the codes and which requirements are only mentioned in one code.
Compare the professional ethical requirements with the standards expected from a public offcial such as
a city council member. Apply the 5 Framing Lenses outlined above to Teaching Architecture in Schools
and write a 200 word memo explaining changes to the examination completed in that activity.
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Becoming a Mayor
A leader must be organized, have a vision and enjoy working with the public, community leaders, and
municipal staff. A leader must also be a good strategic thinker and public speaker with the ability to articulate
a vision for the city or local government. Gaining these skills and knowledge typically requires years in
public service. During a tenure on public or city boards, a prospective candidate can learn the basics of civic
government; how the city is run, important community problems, and how to build a successful network of
fnancial and issues-based supporters. For an architect in a public role, some supporters may be current
clients of the frm and others will become clients in the future.
Within the city government, a citizen may serve on a number of boards or commissions including the Parks
and Recreation Board, Emergency Preparedness, Planning Commission, Historic Preservation Board,
Design Review Board, or Special Task Forces initiated by City or Town Council. Most of the work of these
boards requires a knowledge of planning, architecture and design that architects possess. All of these
activities require a term commitment to your city or community. The role of mayor is particularly demanding.
Unlike a planning commissioner or DRB member, the mayor is elected rather than appointed. This requires
the ability and money to campaign successfully and have the personality that most people can relate to the
position the candidate has taken on the issues. Once elected, the mayor is in demand by various interest
groups and the public at large.
The demand on ones time may overshadow personal and professional obligations. In addition to
supporters, the mayor will also have voters, members of civic groups, like the Lions Club or Chamber of
Commerce and others that will not support certain mayoral programs for political reasons. The mayor should
be ready to approach opposition with a clear sense of purpose.
In this scenario, you have decided that a career goal is to become the mayor of your city or town. What is
the process for becoming mayor? What is the role of the mayor and how does the mayor impact the public
policy of the city? How many years can a mayor serve? What requirements are necessary for the position?
What other public positions do candidates usually hold before running for mayor? Is it necessary to be a
member of a political party?
Research the questions above relative to a position in your local city government. Draw an organizational
chart or diagram showing the different civic boards in your city or town. Determine which boards, in what
order would lead to becoming mayor. Determine the minimum number of years in public service before
becoming mayor. A conversation with a sitting commissioner or board chair may help you answer these
questions.
Based on your research, write a campaign letter of 400-500 words to the community members expressing
your political ideas and your platform improving the city as Mayor.
version as a PDF.
Activity - Elective
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Mentoring an Architecture Student
In this scenario, you are an architect. An accredited architecture program at a local public university invites
you to become a mentor in their respected mentoring program. They are expecting you to help develop a
student with an understanding of the requirements for licensure as an architect.
You are matched with an undergraduate architecture student currently in a pre-professional degree program.
S/he has not made a commitment to graduate school yet or to becoming a licensed architect. Your protege is
interested in the practice of architecture and designing buildings. Your realize s/he has potential and seems
suited for a career in architecture.
At your frst meeting, you perform the Core Values Activity, where you both select four (4) important core values
from a list. Your protege has selected Security, Balanced Life, Quality and Design as her/his core values. Do
these values suggest certain activities or goals that would be mutually satisfying? How do these core values
relate to your chosen career path?
Your proteges short term goal is to fnish school and work for an architectural frm. S/he seems interested
but is tired of going to school and suggests that after a few years working for an architect, s/he will decide
whether he will return to graduate school and determine his real career goals. You fnd her/his choice
of security not in keeping with his other values and inquire. After a more detailed conversation with your
protege, you fnd out that the issue of money has turned her/him heavily towards this current career
approach. S/he confdes that her/his accrued student debt is $60,000 and that once s/he completes a
M.Arch degree, student debt will be over $100,000. Your protege is clearly at a loss as to how to deal with
this fnancial situation and gain some fnancial peace of mind.
Discuss your proteges choice of Balanced Life as a Core Value. S/he is interested in architecture but
has many other interests to pursue in life. S/he loves sports, music and for now, architecture is just another
interest.
What is your role as Mentor? How much time is involved to make the mentorship a success? What do you
tell your protege about the profession? How do you discuss their career goals? What is your response if
asked about your salary and the prospective opportunities for an architectural graduate? If you are an AIA
member, do ethical obligations include fnding a job for this student?
Write a response (minimum 200 words) considering the questions above. List four Core Values and
address how they may infuence the relationship with your proteges situation and aspirations. List at least
ten appropriate learning experiences to share with your protege based on your combined Core Values.
Consider the following activities: becoming acquainted, career conversations, career observations,
resume/interview exercises, attending school or professional lectures or activities, networking with
professionals, personal fnances.
In a report of 200 words minimum, describe what is required by the AIA Code of Ethics in regards to
mentoring. Explain your obligation to the professional development of your protege in light of her/his lack
of professional goals. Do you advise your protege to go to graduate school? Get licensed?
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Activity - Elective
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notes
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EPC
Resources
additional resources
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526
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531
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538
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1A - Programming
Suggested resources from
the editors and authors.
Resources
524
1A - Programming
The American Institute of Architects, Demkin, Joseph A., ed. The Architects Handbook of Professional
Practice. 14th ed. Hoboken: John Wiley & Sons, 2008. (See Chapters 6.2, 6.3, and 12.1)
The American Institute of Architects, The Architecture Students Handbook of Professional Practice. 14th ed.
Hoboken: John Wiley & Sons, 2009. (See Chapters 6.2 and 6.3)
Cherry, Edith. Programming for Design, from Theory to Practice. New York: John Wiley & Sons,1999.
Duerk, Donna P. Architectural Programming, Information Management for Design. Van Nostrand Reinhold,
1993.
Hershberger, Robert. Architectural Programming & Predesign Manager. McGraw-Hill, 1999.
Kumlin, Robert R. Architectural Programming: Creative Techniques for Design Professionals. McGraw-Hill,
1995.
Laseau, Paul. Graphic Thinking for Architects and Designers, 2nd ed. John Wiley & Sons, 1988.
Means Building Construction Cost Data and Square Foot Costs. Robert S. Means Company, issued
annually.
Pea, William M., Steven A. Parshall. Problem Seeking: An Architectural Programming Primer, 4th ed. John
Wiley & Sons, 2001.
Preiser, Wolfgang F. E., ed. Programming the Built Environment. Van Nostrand Reinhold, 1997.
Pressman, Andy, ed. Architectural Design Portable Handbook. McGraw-Hill, 2001. (See Orchestrating
Client Involvement and chapters on programming.)
Rowe, Peter G. Design Thinking. MIT Press, 1991.
Additional References
The American Institute of Architects: AIA Code of Ethics and Professional Conduct
Ballast, David Kent., and Steven E. OHara. ARE Review Manual: Architect Registration Exam. Belmont,
CA: Professional Publications, 2011.
National Academic & Licensing Study Aids, PASS the ARE: www.nalsa.com
National Council of Architectural Registration Boards (NCARB), ARE Guidelines: www.ncarb.org/ARE.aspx
NCARB Rules of Conduct and Legislative Guidelines and Model Law, Model Regulations:
www.ncarb.org/en/Publications.aspx
Resources
525
Practice. 14th ed. Hoboken: John Wiley & Sons, 2008.
Hoboken: John Wiley & Sons, 2009.
The American Institute of Architects, Committee on the Environment. Energy, Environment and Architecture.
AIA, 1992.
Gauzin-Mller, Dominique. Sustainable Architecture and Urbanism: Design, Construction, Examples.
Birkhuser, 2002.
Hawken, Paul. The Ecology of Commerce: A Declaration of Sustainability. HarperCollins, 1994.
McHarg, Ian, Design with Nature, new ed. John Wiley & Sons, 1995.
Odum, H. T. Environment, Power and Society. Out-of-print, 1921, 1983.
Olygyay, Victor. Design with Climate: Bioclimatic Approach to Architectural Regionalism. Out-of-print, 1963,
1992.
Williams, Daniel. The Design of Regions: A Watershed Planning Approach to Sustainability. In France,
Robert L., ed. Handbook of Water Sensitive Planning and Design. CRC Press, 2002.
The American Institute of Architects, Committee on the Environment, Top Ten Green Projects:
www.aia.org/cote
Environmental Building News: www.buildinggreen.com
NCARB ARE Prep Materials, Site Planning & Design: www.ncarb.org/ARE/Taking-the-ARE/ARE4-Divisions/
Site-Planning.aspx
Resources
526
Practice. 14th ed. Hoboken: John Wiley & Sons, 2008. (See Chapter 13.5)
Hoboken: John Wiley & Sons, 2009. (See Chapter 9.4)
American Society for Testing and Materials. ASTM E 1557-02: Standard Classifcation for Building
Elements and Related Sitework-UNIFORMAT II. ASTM, 1999.
American Society for Testing and Materials. ASTM Standards on Building Economics, 5th ed. ASTM, 2004.
Civitello, Andrew M. Jr., and William D. Locker. Contractors Guide to Change Orders, 2nd ed. Prentice-Hall,
2002.
Charette, Robert P., and Harold E. Marshall. UNIFORMAT II: Elemental Classifcation for Building
Specifcations, Cost Estimating and Cost Analysis. NISTIR 6389. U.S. Dept. of Commerce, Technology
Administration, National Institute of Standards and Technology, 1999.
DellIsola, Alphonse J. Value Engineering: Practical Applications for Design, Construction Maintenance &
Operations. R. S. Means Company, 1997.
DellIsola, Michael D. Architects Essentials of Cost Management. John Wiley & Sons, 2002.
Fatzinger, James A. S. Basic Estimating for Construction, 2nd ed. Prentice-Hall, 2002.
Kirk, Stephen J., and Alphonse J. DellIsola. Life Cycle Costing for Design Professionals, 2nd ed. McGraw-
Hill, 2004.
Mendler, Sandra, and William Odell. The HOK Guidebook to Sustainable Design. John Wiley & Sons, 2000.
National Research Council, Building Research Board, Committee on Budget Estimating Techniques.
Improving the Accuracy of Early Cost Estimates for Federal Construction Projects. National Academy Press,
1999.
Pena, William M., and Steven A. Parshall. Problem Seeking, 4th ed. John Wiley & Sons, 2001.
Building Commissioning Association (BCXA): www.bcxa.org
Construction Industry Institute, Best Practices Series: www.construction-institute.org
Construction Management Association of America Publications: www.cmaanet.org/cmaa-bookstore-browse
Whole Building Design Guide (WBDG): www.wbdg.org
Resources
527
Practice. 14th ed. Hoboken: John Wiley & Sons, 2008. (See Chapter 15)
Hoboken: John Wiley & Sons, 2009. (See Chapter 10)
Ching, Francis, and Steven R. Winkel. Building Codes Illustrated: A Guide to Understanding the 2012
International Building Code. John Wiley & Sons, 2012.
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