2.4.3 Setup and Maintenance of Plans, Specifications, and Changes

The discussion that follows applies to the project files to be managed during the construction phase of projects constructed under the Lump Sum General Contracting and various forms of Construction Management methods of project delivery. It is also to be used for projects constructed under the Design-Build delivery format, with the distinction that the design function has been added to the Design-Build Contractor’s total responsibility. Accordingly, projects constructed under the Design-Build arrangement will have a separate but coordinated file that will accommodate the activities of the design function, as well as its interaction between the designer, the owner, and the construction force. Beyond this distinction, the design entity should be considered distinct from the construction operation—even in the Design-Build project delivery format for internal management purposes. If the relationships are preserved in this manner, the file management system described in this section and throughout this Operations Manual will continue to apply to virtually every project delivery method.

1) Initial Setup a) Consolidation of Drawings i) Generally, the bid documents will contain a provision that identifies the number of complete sets of Contract Documents that will be given to the Prime Contractor upon execution of the Agreement. Immediately after any contract is awarded, arrange to secure all such copies of the contract documents for distribution to the various subvendors for the project. ii) Arrange a single set of plans marked “Office” to be maintained at the central office. Use a single plan stick if possible for a small project, or separate the plans into their major sections to be arranged on several organized plan sticks in the case of a larger project. iii) Arrange two (2) duplicate sets of the plans for use at the jobsite. One set will be clearly marked “Jobsite,” and the other set will be clearly marked “As-Builts.” The uses of the sets will be described in the respective sections of this Operations Manual. iv) Place three (3) complete copies of the specifications including the General Conditions, Supplementary General Conditions, Working Procedure, and Technical Specifications into hard-cover three-ring binders. Each binder will be clearly labeled and distributed with the respective matching set of plans as described above. These will later be matched with the file tabs of other binders for the project in order to keep the color-coding of all project documentation consistent. v) Both the “Office” and “Jobsite” copies of the plans and specifications must be maintained in those respective locations and never removed. They will be managed from this point forward in a way that will help coordinate all relevant information properly during the construction period. The “As-Built” set of plans and specifications will be maintained at the jobsite and be developed throughout the life of the project. The set will serve as a complete record of all actual work and will be maintained in a form that will include at a minimum any specific requirements that may be identified in the Contract Documents. Beyond those minimum requirements, the As-Built set will be maintained as described in the appropriate section of this Operations Manual. At the appropriate time, a complete As-Built set of documents will be turned over to the owner at the conclusion of the project. b) Post Each Addendum. i) Prior to any other activity being performed on the contract, post each addendum on both the “Office” and “Jobsite” set of plans and specifications. Photocopy each addendum onto a light-colored paper (preferably pink or yellow). Physically cut out each addendum note, including its numerical reference. Paste or tape the note at the specific area of plan or specification altered by it. Do not cover or otherwise hide the original requirement, but add a clear reference to the addendum change. Immediately adjacent to each such posting, note which addendum number it came from. Short notes or very minor changes can be made directly in red pen, with the appropriate addendum reference. This process is crucial to ensuring that no change made during the bidding process will be overlooked during the buyout, submittal, and construction processes on the project as they proceed. Failing to post the addendum items in the manner indicated here will exponentially increase the amount of work necessary to ensure that each addendum is properly accommodated every time any actions are taken, and it will greatly increase the probability that an addendum change will be overlooked sometime during the life of the project. It will be sufficient on the “As-Built” set of plans and specifications to simply attach a copy of a complete set of addenda for the record. ii) The posting of each individual addendum remark in each item’s correct location is absolutely essential to the avoidance of serious and costly problems resulting from simple oversight of officially changed items and conditions. The method indicated here is the simplest, most secure, and time-tested procedure that will virtually eliminate the need throughout the project’s life for constant hunting through an entire set of an addendum every time any specification or plan note is referenced in order to be sure that it is correct and had not been officially changed.

2) Maintenance a) Post Changes i) As the job progresses, there will be numerous sources of modifications to the physical construction. Change Orders, clarifications, job meeting discussions, and even telephone conversations will officially alter the contract requirements. Each of these changes will have its own development history and paper trail to varying degrees of complexity, and proper documentation of each is covered in detail in the respective section of this Operations Manual. ii) The most important idea here is simply to be certain that every modification—however simple or complex—is clearly marked in color on both the “Jobsite” and “Office” sets of Contract Documents, along with appropriate references to the correct source of the official change. Such forms of these alterations may include:

• “SK” drawings and other clarification sketches
• Job meeting discussions
• Telephone and other conversations
• Requests for Information (RFIs)
• Construction Change Directives (CCDs)
• Any manner of written correspondence: letters, faxes, etc.

iii) “SK” drawings or other clarification sketches should be added directly to the “stick” sets of both “Office” and “Jobsite” Contract Documents. Clarification sketches of construction details not involving changes in clause or time can often occur as a matter of course throughout the construction phase of a project. As they occur, highlight all areas affected on both sets of plans, noting a clear reference to the new sketch or clarification. Tape the photocopy of the change sketches directly on the plan adjacent to the changed area if there is room directly on the document. If there is no room for the added clarifications sketch (as is more commonly the case), tape the sketch on the opposite side (left) sheet of the plans (onto the back of the previous plan page). At the highlighted area of the original plan, include an appropriate reference to note the presence of the sketch, such as “refer to SK-7 taped opposite.” Many times, changes and clarifications that develop during discussions—and especially subsequent to those discussions—can become more complex than may have originally been expected. In these cases, many designers resist taking the time to make sketches that properly accommodate the changes. If anyone involved with proper coordination (beginning with yourself) is at all confused with the change descriptions, or if you feel at any time that there is any potential at all for confusion now or later, insist that the designer properly issue a complete written clarification, and treat the document as described above. Follow the instructions in Section 2.4.6 Clarification/Change Log in order to keep a chronological record of all changes as they may develop. b) Keep job meeting discussions properly coordinated. i) Job meetings and their minutes are critically important communication and documentation vehicles, not only of project effects and impacts, but of their chronologies. They catalog the conduct of the parties and spotlight who is and who is not living up to their contractual responsibilities. If conducted and documented as described in the appropriate section of this Operations Manual, the job meeting record details will be clear and properly correlated. The logistical difficulty in the timely incorporation of individual items occurring in any single job meeting lies not only in the number of job meeting items, but also in the time that is commonly consumed in the preparation and distribution of the “official” meeting minutes. Unfortunately, it is most common that the earliest one can hope to see the official job meeting minutes is the day of the following job meeting. If we wait until receipt of the meeting minutes before we take action on those items for which we are responsible—or to expect action on the parts of others for those items for which they are responsible—our projects will never move to completion on any timely basis. As the number of items dealt with in our job meetings inevitably increases, the risk of failing to treat one or more items in a timely manner can rise dramatically. Because of these realities, it is critically important that we keep our own meticulous project record notes, act on our own items as quickly as possible after the meeting, and expect the other contracting parties to do the same. The best way to compel action by the other contracting parties prior to receipt of any “official” meeting minutes is to secure commitment from the responsible party to perform a specific action by a particular date, and to require that the commitment (and that performance date) be included in the official meeting minutes. Most job meetings are held at the jobsite. If they are not being held at the jobsite on your project at the present moment, get the location of the meeting changed to the jobsite immediately. Accordingly, have the “Jobsite” set of plans and specifications available at every job meeting. Immediately upon the resolution of any item that results in a change to the documents, consider marking the set of plans and/or specifications right at the meeting, noting the job meeting number and date as the source of the change. In certain cases, it may be very possible (and certainly well advised) to have the meeting participants initial such changes directly on the jobsite copy of the plans. This will be an easy and powerful reference that will be supported by the respective meeting minutes if the particular changes are questioned at a later date. This procedure will completely eliminate all possibility that the change would be forgotten or undone—at your expense. In every case for any change that has been so initialed at the jobsite, immediately photocopy that section of the plan or specification containing the initials and distribute to the home office for appropriate filing and posting on the “Office” set of documents. As meeting attendees continually observe this procedure as a matter of course, they may in turn become more comfortable with the legitimacy of the notations on the official project documents. They will for the most part have witnessed how the notes were made and will be hard-pressed to force any objection to these types of documented changes at a later date. c) Adequately Document Telephone and Other Conversations i) Apparently minor changes and clarifications can become a daily routine (“… there’s no dimension …”). Simple conversation with an owner representative or design professional can get a fast answer that is acted upon immediately: Question: … “I’m laying out the wall now; what’s the dimension?” Answer: … “the owner’s furniture is 3’ wide; make it 3’ 3”.” In such cases, note the new dimension directly on the plans, indicate the source of information by name, and date it. Ideally, have that individual sign or initial the remark right on the drawings. At the very least, immediately write a confirming memo and send a copy to be so noted on the “office” set of plans. Refer to the section in this Operations Manual that deals with Requests for Information (RFIs), and consider using that procedure if the situation demands it. If the instruction gets complex, or you feel that the manner in which the instruction was given is unclear or is otherwise confused, insist on the preparation of a clear sketch and/or some other adequate documentation and treat it as described in 1) above.

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