ffirst.indd iffirst.indd i 11/22/10 7:00 PM11/22/10 7:00 PM

The CSI Project Delivery Practice Guide

ffirst.indd iffirst.indd i 11/22/10 7:00 PM11/22/10 7:00 PM

ffirst.indd iiffirst.indd ii 11/22/10 7:00 PM11/22/10 7:00 PM

The CSI Project Delivery Practice Guide

Construction Specifications Institute

John Wiley & Sons, Inc.

ffirst.indd iiiffirst.indd iii 11/22/10 7:00 PM11/22/10 7:00 PM

Th is book is printed on acid-free paper. o

Copyright © 2011 by Construction Specifi cations Institute. All rights reserved

Published by John Wiley & Sons, Inc., Hoboken, New Jersey

Published simultaneously in Canada

No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, 222 Rosewood Drive, Danvers, MA 01923, (978) 750-8400, fax (978) 646-8600, or on the web at www.copyright.com. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online at www.wiley.com/go/permissions.

Limit of Liability/Disclaimer of Warranty: While the publisher and the author have used their best eff orts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifi cally disclaim any implied warranties of merchantability or fi tness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. Th e advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor the author shall be liable for any loss of profi t or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.

For general information about our other products and services, please contact our Customer Care Department within the United States at (800) 762-2974, outside the United States at (317) 572-3993 or fax (317) 572-4002.

Wiley also publishes its books in a variety of electronic formats. Some content that appears in print may not be available in electronic books. For more information about Wiley products, visit our web site at www.wiley.com.

Library of Congress Cataloging-in-Publication Data:

ISBN 978-0-470-63519-3 (pbk); ISBN 978-0-470-94018-1 (ebk); ISBN 978-0-470-94019-8 (ebk); ISBN 978-0-470-95126-2 (ebk); ISBN 978-0-470-95145-3 (ebk); ISBN 978-1-118-00688-7 (ebk)

Printed in the United States of America

10 9 8 7 6 5 4 3 2 1

ffirst.indd ivffirst.indd iv 11/22/10 7:00 PM11/22/10 7:00 PM

v

ContentsPreface vii

Acknowledgments ix

Chapter 1Introduction to The CSI Project Delivery Practice Guide 11.1 Introduction 11.2 Understanding Project Delivery as

Foundational Knowledge 11.3 Magnitude of Design and Construction

Information Available 21.4 Managing Information 61.5 The Nature of the Project and Facility 6

Chapter 2Stakeholders and Participants 92.1 Introduction 92.2 The Owner Team 102.3 The Design Team 142.4 The Contractor Team 222.5 The Supplier Team 252.6 Team Selection Process 302.7 Partnering and Collaboration 362.8 Commissioning 37

Chapter 3Facility Life Cycle 393.1 Introduction 393.2 The Nature of the Facility Life Cycle 393.3 Integrated Project Delivery 423.4 Construction Specifications Institute 43

Chapter 4Codes, Regulations, and Standards 514.1 Introduction 514.2 Authorities Having Jurisdiction 52

4.3 Codes 52

4.4 Regulations 55

4.5 Standards 61

4.6 Associations, Societies, Councils, and Institutes 63

Chapter 5Contracts and Legal Issues 675.1 Introduction 675.2 Owner, Architect/Engineer, and Contractor

Tripartite Relationships 675.3 Elements of a Contract 685.4 Standard Agreement Forms 695.5 Example—Contract between Owner and

Contractor 715.6 Contract Types 745.7 Form of Agreement 765.8 Compatibility of Agreements 775.9 Design Team Coordination 775.10 Important Legal Issues 79

Chapter 6Project Planning 836.1 Introduction 836.2 Project Conception 836.3 Due Diligence Investigations 846.4 Site Selection 916.5 Facility Programming 946.6 Facility Performance Criteria 1006.7 Anticipating the Cost of the Work 1016.8 Setting the Scheduling 105

Chapter 7Project Delivery 1097.1 Influencing Factors 109

7.2 Design-Bid-Build 120

7.3 Design-Negotiate-Build 125

7.4 Construction Management 129

JWBT393_CSI_FM.indd vJWBT393_CSI_FM.indd v 11/18/10 12:48 PM11/18/10 12:48 PM

vi Contents

7.5 Design-Build 136

7.6 Owner-Build 142

7.7 Integrated Project Delivery 146

Chapter 8Design 1518.1 Introduction 151

8.2 Dual Nature of Design 152

8.3 Design Considerations 153

8.4 Aesthetics 153

8.5 Functional Requirements 155

8.6 Constructability 156

8.7 Sustainability 157

8.8 Design Phases 161

8.9 Quality Assurance/Quality Control Requirements 164

8.10 Budgets 167

8.11 Cost Estimates 167

8.12 Life Cycle Costs 169

8.13 Value Analysis 171

8.14 Controlling Variables 173

Chapter 9Design Documents 1799.1 Introduction 179

9.2 Design Concept Phase Documentation 179

9.3 Schematic Design Phase Documentation 180

9.4 Design Development Phase Documentation 184

Chapter 10Product Selection and Evaluation 18910.1 Introduction 189

10.2 Types of Products 190

10.3 Importance of Product Selection and Evaluation 192

10.4 Obtaining Product Information 192

10.5 The Evaluation and Selection Process 193

10.6 Services That Product Representatives Provide 209

Chapter 11Construction Documents 21711.1 Introduction to Construction Documents 21711.2 Drawings 22211.3 Specifications 24711.4 Procurement Requirements 31511.5 Contracting Requirements 333

Chapter 12Procurement 34512.1 Introduction 34512.2 Pricing Methods 34612.3 Purchasing 34712.4 Pricing Considerations 34712.5 Competitive Pricing 35012.6 Project Information 35612.7 Bidding 35812.8 Negotiating Process 37512.9 Purchasing of Goods 37612.10 Subcontracting 384

Chapter 13Construction 38913.1 Introduction 38913.2 Construction as a Team Activity 38913.3 Roles and Responsibilities 39413.4 Preconstruction 39913.5 Meetings 40213.6 Submittals 40413.7 Site Visits, Observations, and Inspections 40913.8 Quality Assurance and Quality Control 41613.9 Interpretations and Modifications 41813.10 Executing the Work 42313.11 Claims and Disputes 42913.12 Measurement and Payment 43213.13 Project Closeout 437

Chapter 14Facility Management 44314.1 Transition 44314.2 Occupancy 449

Index 467

JWBT393_CSI_FM.indd viJWBT393_CSI_FM.indd vi 11/18/10 12:48 PM11/18/10 12:48 PM

vii

Preface

Introduction to the Practice Guide Series

Beginning with the publication of the first Manual of Practice (MOP) in 1967 continuing through the publication of its successor document, the Project Resource Manual (PRM), it has been the intent of the Construction Specifications Institute (CSI) that these publica-tions embody accepted standards for the preparation of construction specifications and project manuals, and a detailed source of information on quality documentation for the life cycle of a facility.

Through these publications, CSI has sought to aid owners, designers, specifiers, con-tract administrators, contractors, construction product representatives, and facility man-agers in the performance of their jobs.

In 2008, CSI began an effort to update the knowledge formerly contained in the MOP and PRM to present it anew and ensure its continued relevance. As with the earlier collections of this knowledge, the intent is to provide an authoritative resource on the or-ganization, preparation, use, and interpretation of construction documents, encompassing the entire life cycle of a facility from conception through facility management.

To accomplish this update CSI established the Practice Guides Task Team. One of the task team charges was to organize the presentation of this information into modules to support areas of practice where CSI currently offers certificates and certifications, such as Project Delivery addressed by the Construction Documents Technology (CDT) certifi-cate, Specifications, addressed by the Certified Construction Specifier (CCS) certification, Contract Administration addressed by the Certified Construction Contract Administrator (CCCA) certification, and Product Representation addressed by the Certified Construc-tion Product Representative (CCPR) certification, as well as other areas of practice for which education and certification may be developed.

To keep current with changes in the industry, the Task Team also reviewed other CSI documents and standards, and updated references to them that appear in the Practice Guides. A similar effort was made to incorporate changes in contract documents produced by The American Institute of Architects (AIA) and the Engineers Joint Construction Documents Committee (EJCDC), and to introduce the new standard contract docu-ments developed by the ConsensusDOCS Coalition.

The Task Team also recognized the growing impact of “green” or sustainable prac-tices on the subject matter contained in the Practice Guides. Each Practice Guide now addresses the topic of sustainable practice to some degree while a more detailed examina-tion of the topic is planned for a future Sustainable Practice Guide.

Two other topics that have had an impact on the Practice Guides are: Building Infor-mation Modeling (BIM) and Integrated Project Delivery (IPD). The growing impact of BIM on the practice of specification writing and its potential impact on quality documen-tation made a discussion of this topic imperative. Likewise IPD has grown in importance over the past several years and has had an impact on the way practitioners relate to the process of creating and interpreting construction documents.

JWBT393_CSI_FM.indd viiJWBT393_CSI_FM.indd vii 11/18/10 12:48 PM11/18/10 12:48 PM

viii Preface

The Practice Guide Series is not intended to be composed of static documents but to be a living set of guides with the capacity to change and be updated as the construc-tion industry changes around them. The input of users of this Series will be critical to the future updating of the Series and the authors and reviewers welcome feedback from users.

Description of the CSI Project Delivery Practice GuideThe CSI Project Delivery Practice Guide is the introductory volume in the Practice Guide Series. This Guide presents an overview of the process needed to conceive, design, con-struct, and maintain the built environment. This Guide describes the many parts of that process and the inter-related role of the various participants in the process. It is intended to be a guide to the steps in the life cycle of a project that begins with an owner’s concep-tion of the project, continues through the design and construction phases, and results in the successful operation and maintenance of the project after construction is complete. As the introductory volume in the Series, The CSI Project Delivery Practice Guide creates a foundation for the other, more specialized Practice Guides that follow. To those indi-viduals seeking a more specialized knowledge of a particular topic such as construction specification writing or construction contract administration, this Practice Guide provides a starting point, one that is a key to understanding those more specialized topics. The CSI Project Delivery Practice Guide gives participants in the design and construction industry the tools that they need to effectively deliver a project.

Additional CSI publications that complement the Practice Guides are available for download to purchasers of the Practice Guides. The following documents can be obtained at www.wiley.com/go/csipracticeguides:

• MasterFormat® numbers and titles• UniFormat™• SectionFormat™/PageFormat™• Sample CSI Forms• GreenFormat™ questionnaire• Practice Guide Glossary

To access the content on this site, you will need the unique Access Code printed on the card included with this book. If you have purchased an ebook version of this title, please contact Customer Care at 877-762-2974 or at http://support.wiley.com for a unique Access Code in order to take advantage of the web site.

JWBT393_CSI_FM.indd viiiJWBT393_CSI_FM.indd viii 11/18/10 12:48 PM11/18/10 12:48 PM

ix

AcknowledgmentsNo project of this magnitude can be accomplished single-handedly. In the best CSI tradi-tion many people volunteered to write, review, and contribute to the production of the CSI Practice Guides. CSI wishes to recognize the following people who contributed in many ways to this project. If we omitted anyone’s name it was inadvertent not intentional.

Ross G. Spiegel, FCSI, CCS, CCCA, FAIA, LEED AP BD+CChairman, Practice Guides Task Team

Author of The CSI Project Delivery Practice Guide:Walter R. Scarborough, CSI, CCS, CCCA, AIA, SCIP

Practice Guide Task Team Members:George Wade Bevier, CSI, CCS, SCIP, LEED APEllen Kay Crews, FCSI, CCS, FMPKathryn A. D’Andrea, CSI, CCSDennis J. Hall, FCSI, CCS, CCCA, FAIA, SCIPGregory J. Marking, FCSI, CCS, CCCA, AIA, NCARB, LEED APWiley N. McMillan, Jr., FCSI, CCPRChris Pechacek, CSI, LEED APJim Rains, CSI, AIAJames M. Robertson, FCSI, CCS, FAIA, NCARBWalter R. Scarborough, CSI, CCS, CCCA, AIA, SCIPPaul W. Simonsen, RA, FCSI, CCS, CCCA, LEED AP, NCARB, SCIPPaul M. Sternberg, CSI, CCS, CCCA, AIA, LEED AP, NCARB

CSI Certification Committee Members 2008–2010Ann G. Baker, RA, CSI, CCS, CCCA, LEED AP, SCIPPeter A. Baker, CSI, CCPR, RCIJoseph Berchenko, CSI, CCS, AIABill Coady, CSI, CCPRSheryl L. Dodd-Hansen, FCSI, CCS, CCCAGeorge A. Everding, CSI, CCS, CCCA, AIA, LEED APRaymond E. Gaines, FCSI, CCS, AIARichard G. Howard, CSI, CCS, AIA, NCARB, SCIPGregory J. Markling, FCSI, CCS, CCCA, AIA, LEED AP, NCARBWiley N. McMillan, Jr., FCSI, CCPRKay M. Melcher, CSI, CCS, LEED APJonathan M. Miller, FCSI, CCS, CCCA, AIA, SCIPStephen E. Nash, CSI, CCS, CCCA, AIA, LEED AP George Rosamond, FCSI, CCS, AIA, LEED APMarilyn G. Smith, CSI, CCS, AIA, SCIPRobert B. Swan, CSI, CCS, CCCA, AIARobert W. Teller, FCSI, CCS, CCCA, LEED APJ. Peter Tolson, CSI, CCS, CCCA

JWBT393_CSI_FM.indd ixJWBT393_CSI_FM.indd ix 11/18/10 12:48 PM11/18/10 12:48 PM

x Acknowledgments

Lisa Turner, CSI, CCPR, LEED APSandra M. Velleca, FCSI, CCS, CCCAM. Keith West, CSI, CCPRLaurence E. Wightman, III, CSI, CCPR, AHC

CSI Education Committee Members 2008–2010Mary-Alice Avila, RA, CSI, CCS, LEED AP, MSLoren R. Berry, FCSI, CDT, AIA, NCARBMarc C. Chavez, CSI, CCS, CCCA, AIA, SCIPGregory J. Markling, FCSI, CCS, CCCA, AIA, LEED AP, NCARBRobert T. Matschulat, CSI, CCS, AIA, AIAJack P. Morgan, RA, CSI, CCS, CCCA, AIA, NCARBStephen E. Nash, CSI, CCS, CCCA, AIA, AIA, LEED APDavid S. Proudfit, FCSI, CCS, AIACasey F. Robb, FCSI, CCPR, LEED APPaulette K. Salisbury, FCSI, CDTWalter R. Scarborough, CSI, CCS, CCCA, AIA, SCIPGregory W. Sprinkel, FCSI, CDTGrady W. Whitaker, Jr., FCSIJim F. Whitfield, FCSI, CCPR, CTC, LEED AP

CSI Technical Committee Members 2008–2010Gary L. Beimers, FCSI, CDT Lane J. Beougher, FCSI, CCS, CCCA, AIA, LEED AP George Wade Bevier, CSI, CCS, SCIP, LEED APTom R. Deines, FCSI, CCCA Nina M. Giglio, CSI, CCS, SCIPMark J. Kalin, FCSI, CCS, FAIAMichael MacVittie, CSI, AIARichard C. Master, CSI, AIALarry Nordin, CSI, CCS, AIA, ALAJames M. Robertson, FCSI, CCS, FAIA, NCARBPaul M. Sternberg, CSI, CCS, CCCA, AIA, LEED AP, NCARBDavid A. Stutzman, CSI, CCS, AIA, SCIPRobert S. Weygant, CSI, CDT, SCIP

CSI StaffGreg Ceton, CSI, CDT, Director of Technical Services

JWBT393_CSI_FM.indd xJWBT393_CSI_FM.indd x 11/18/10 12:48 PM11/18/10 12:48 PM

1

Chapter 1Introduction to The CSI Project Delivery Practice Guide

1.1 IntroductionDesigning and constructing buildings, civil structures, industrial facilities, interior design projects, and other structures and facilities is one of humankind’s most diffi cult endeav-ors in spite of the fact that it is a common activity. All facilities start as a project that takes a journey through a sophisticated and complex process in order to come into being. Talented individuals with advanced education, specialized knowledge, well-developed decision-making abilities, and in some cases professional licenses are required to manage, direct, and monitor the process. All that talent and skill has to be marshaled and brought together to converge on a common goal of producing a project. Th en a considerable amount of both time and money are required to accomplish the goal. Yet out of the need for shelter, protection, and comfort, we design and construct facilities to house the ac-tivities of our private and public lives, both individually and socially. We aspire to create facilities that are useful, functional, visually pleasing, and enjoyable to occupy.

Th is journey is called the project delivery process, and this practice guide presents the many pieces and parts that compose that process. While this practice guide is not about cre-ating and designing facilities, it is about the logistics of project delivery from conception to occupancy. It provides insight into the vast array of activities that are either required or nec-essary in the delivery process. Not every concept presented in this practice guide will be nec-essary for every project. Th e information contained in the practice guide is useful to anyone, at any level, who owns, designs, engineers, constructs, installs, supplies, or manages a facility.

1.2 Understanding Project Delivery as Foundational KnowledgeTh e purpose of this practice guide is to educate individuals about project delivery from the global, or big picture, perspective. Project delivery is not specialized, like designing or constructing; it is generalized. Understanding the concepts of project delivery allows

JWBT393_CSI_Ch_01.indd 1JWBT393_CSI_Ch_01.indd 1 11/11/10 1:08 PM11/11/10 1:08 PM

2 Chapter 1 Introduction to The CSI Project Delivery Practice Guide

stakeholders and participants to be able to provide more eff ective services no matter what delivery path the project takes. While there are six project delivery methods identifi ed in this practice guide, the reality is that there are as many variations of these project delivery methods as there are individuals that make project decisions.

Th is practice guide is the foundation for all of the other practice guides developed and published by CSI. Th e ideas, concepts, and information presented in the other practice guides builds on this practice guide to present more specialized information about other topics. For example, developing a working understanding of Th e CSI Construction Speci-fi cations Practice Guide and Th e CSI Construction Contract Administration Practice Guide depends on fi rst understanding the information of Th e CSI Project Delivery Practice Guide.

Every individual that is a stakeholder or participant in the design and construction of anything in the built environment should have a foundational understanding of how projects are delivered. An understanding of the information in this practice guide as an introduction to project delivery is important. Much of what design and construction professionals do is founded on the information presented in these chapters.

As will be seen, successful project delivery depends on the melding of the following aspects into a process with a specifi c purpose:

• An owner that has a defined plan for a facility• Individuals, firms, and companies to produce the design and make the appropriate

decisions• Contracts that comprehensively and effectively establish and define the roles and

responsibilities of the stakeholders and participants• Well-developed and sufficient construction documentation • Organized construction project management and scheduling• Individuals and companies to provide and install the required materials

1.3 Magnitude of Design and Construction Information AvailableInformation that is available about the design and construction of projects and facilities has advanced light-years over the last several decades. For example, in the 1970s, when in-formation was needed about a product, material, or construction technique—if it existed at all and could be found by telephone calls to possible sources—it was only as immedi-ately available as waiting on the mail to be delivered. Th ere were few books, few periodi-cals, and few resources, and the information that was available was not easily found.

Today, there is an enormous amount of design and construction information avail-able instantly, and it is growing at an astonishing rate. Individuals are being fl ooded every day with an ocean of information from many sources. For those random instances when information is not immediately available, it can usually be generated in a short time and immediately made available to the one requesting the information. Essentially, there are numerous sources for everything anyone would want to know at any time.

Th ere is a relatively small and exclusive class of inventions that has fundamentally changed society’s ability to communicate, which has revolutionized the nature of infor-mation, knowledge, and understanding. Th e printing press, electricity and the countless devices it powers, capturing and creating images (photography, television, recordings,

JWBT393_CSI_Ch_01.indd 2JWBT393_CSI_Ch_01.indd 2 11/11/10 1:08 PM11/11/10 1:08 PM

1.3 Magnitude of Design and Construction Information Available 3

etc.), and wired and wireless communication capabilities are a few of the most signifi cant inventions. A case could be made that information overload began with Gutenberg’s in-vention of the printing press. Now, the amount of information that is available through the Internet is staggering—it has forever changed the nature of knowledge. One of the reasons the Internet is signifi cant is that information is now available to anyone, any-where, anytime. Th e Internet has become the preferred method for accessing information about the design and construction of the built environment.

1.3.1 BooksTh roughout human history, there have always been those that want to make their knowl-edge available to others. However, the opportunity to do so has been limited by the means of producing it for consumption by others. We know that the printing press fun-damentally changed that. Today, the technology to publish books is widely available, and there is now a huge volume of books available on a limitless number of topics from many diff erent sources. While the breadth of knowledge may not be as extensive as the Internet, there is nevertheless a massive amount of information available.

While books capture knowledge, one of their major limitations is that books only capture knowledge through a specifi c point in time (usually six months or so prior to publication because of prepublication production). It is not until a new edition is pub-lished that the knowledge contained in a book can be advanced, improved, updated, or expanded. Other limitations include the distribution and availability of books. Unless a book is purchased via the Internet, the availability of books still depends on shipping, stocking, and shelf display to be available to purchasers. Books face an uncertain future and will in all likelihood give way to Internet-based information.

1.3.2 PeriodicalsTh ere are a number of periodicals available for a vast range of specialized design and con-struction topics. In fact, a periodical can probably be found for just about any subject. Increasingly, they are available on the Internet as well as in printed editions. Unlike books, periodicals are published frequently and have the capability to be more current. An asset of periodicals is that they can be archived and thus accumulate a sizeable body of specialized knowledge. Many professional and trade associations publish periodicals for their members, and their periodicals are usually available to anyone who is interested.

1.3.3 Professional Associations, Societies, and InstitutesA profession is a vocation or occupation in which individuals obtain specialized, exten-sive, and advanced education or training for the purpose of supplying unbiased coun-sel or service to others for compensation. A license is frequently required, based on a competency examination that is administered by a governmental jurisdiction (usually a state), before an individual can be legally identifi ed as a professional of a particular disci-pline. Th e same jurisdiction establishes and enforces licensing laws that regulate profes-sional practice and conduct. Once licensed, a professional is legally obligated to practice in such a manner as to protect the public and to perform services within the scope of the

JWBT393_CSI_Ch_01.indd 3JWBT393_CSI_Ch_01.indd 3 11/11/10 1:08 PM11/11/10 1:08 PM