The following text describes all information shown on the Sample of American Institute of Architects (AIA) Document B201™ – 2017 PDF found on the Capital Planning Construction Design Documents page.

Standard Form of Architect’s Services: Design and Construction Contract Administration

for the following project: (Name and location or address)

The Owner: (Name, legal status and address)

The Architect: (Name, legal status and address)

The Agreement: This Standard Form of Architect’s Services is part of the accompanying Owner-Architect Agreement (hereinafter, together referred to as the Agreement) dated the – day of – in the year -. (In words, indicate day, month and year.)

This document has important legal consequences. Consultation with an attorney is encouraged with respect to its completion or modification. This document provides the Architect’s scope of services only and must be used with an owner-architect agreement. It may be used with AIA Document B102™–2017, Standard Form of Agreement Between Owner and Architect without a Predefined Scope of Architect’s Services, to provide the Architect’s sole scope of services, or with B102 in conjunction with other standard form services documents. It may also be used with G802™–2017, Amendment to the Professional Services Agreement, to create a modification to any owner-architect agreement.

Table of Articles

  1. Initial Information
  2. Scope of Architect’s Basic Services
  3. Supplemental and Additional Services
  4. Owner’s Responsibilities
  5. Cost of the Work
  6. Compensation
  7. Attachments and Exhibits

Article 1 Initial Information

§ 1.1

The Agreement is based on the Initial Information set forth in this Section 1.1. (For each item in this section, insert the information or a statement such as “not applicable” or “unknown at time of execution.”)

§ 1.1.1

The Owner’s program for the Project: (Insert the Owner’s program, identify documentation that establishes the Owner’s program, or state the manner in which the program will be developed.)

§ 1.1.2

The Project’s physical characteristics: (Identify or describe pertinent information about the Project’s physical characteristics, such as size; location; dimensions; geotechnical reports; site boundaries; topographic surveys; traffic and utility studies; availability of public and private utilities and services; legal description of the site, etc.)

§ 1.1.3

The Owner’s budget for the Cost of the Work, as defined in Section 5.1: (Provide total and, if known, a line item breakdown.)

§ 1.1.4

The Owner’s anticipated design and construction milestone dates:

  1. Design phase milestone dates, if any:
  2. Construction commencement date:
  3. Substantial Completion date or dates:
  4. Other milestone dates:
§ 1.1.5

The Owner intends the following procurement and delivery method for the Project: (Identify method such as competitive bid or negotiated contract, as well as any requirements for accelerated or fast-track design and construction, multiple bid packages, or phased construction.)

§ 1.1.6

The Owner’s anticipated Sustainable Objective for the Project: (Identify and describe the Owner’s Sustainable Objective for the Project, if any.)

§ 1.1.6.1

If the Owner identifies a Sustainable Objective, the Owner and Architect shall complete and incorporate AIA Document E204™–2017, Sustainable Projects Exhibit, into the Agreement to define the terms, conditions and services related to the Owner’s Sustainable Objective. If E204–2017 is incorporated into the Agreement, the Owner and Architect shall incorporate the completed E204–2017 into the agreements with the consultants and contractors performing services or Work in any way associated with the Sustainable Objective.

§ 1.1.7

The persons or entities, in addition to the Owner’s representative, who are required to review the Architect’s submittals to the Owner are as follows: (List name, address, and other contact information.)

§ 1.1.8

The Owner shall retain the following consultants and contractors: (List name, legal status, address, and other contact information.)

  1. Geotechnical Engineer:
  2. Civil Engineer:
  3. Other, if any: (List any other consultants and contractors retained by the Owner.)
§ 1.1.9

The Architect shall retain the consultants identified in Sections 1.1.9.1 and 1.1.9.2: (List name, legal status, address, and other contact information.)

§ 1.1.9.1

Consultants retained under Basic Services:

  1. Structural Engineer:
  2. Mechanical Engineer:
  3. Electrical Engineer:
§ 1.1.9.2

Consultants retained under Supplemental Services:

§ 1.1.10

Other Initial Information on which the Agreement is based:

§ 1.2

The Owner and Architect may rely on the Initial Information. Both parties, however, recognize that the Initial Information may materially change and, in that event, the Owner and the Architect shall appropriately adjust the schedule, the Architect’s services, schedule for the Architect’s services, and the Architect’s compensation. The Owner shall adjust the Owner’s budget for the Cost of the Work and the Owner’s anticipated design and construction milestones, as necessary, to accommodate material changes in the Initial Information.

Article 2 Scope of Architect’s Basic Services

§ 2.1

The Architect’s Basic Services consist of those described in this Article 2 and include usual and customary civil, structural, mechanical, and electrical engineering services; site/landscape, telecommunications/data, furniture, furnishings and equipment design; and detailed cost estimating.

§ 2.1.1

The Architect shall manage the Architect’s services, research applicable design criteria, attend Project meetings, communicate with members of the Project team, and report progress to the Owner.

§ 2.1.2

The Architect shall coordinate its services with those services provided by the Owner and the Owner’s consultants. The Architect shall be entitled to rely on, and shall not be responsible for, the accuracy, completeness, and timeliness of, services and information furnished by the Owner and the Owner’s consultants. The Architect shall provide prompt written notice to the Owner if the Architect becomes aware of any error, omission, or inconsistency in such services or information.

§ 2.1.3

As soon as practicable after the date of the Agreement, the Architect shall submit for the Owner’s approval a schedule for the performance of the Architect’s services. The schedule initially shall include anticipated dates for the commencement of construction and for Substantial Completion of the Work as set forth in the Initial Information. The schedule shall include allowances for periods of time required for the Owner’s review, for the performance of the Owner’s consultants, and for approval of submissions by authorities having jurisdiction over the Project. Once approved by the Owner, time limits established by the schedule shall not, except for reasonable cause, be exceeded by the Architect or Owner. With the Owner’s approval, the Architect shall adjust the schedule, if necessary, as the Project proceeds until the commencement of construction.

§ 2.1.4

The Architect shall not be responsible for an Owner’s directive or substitution, or for the Owner’s acceptance of non-conforming Work, made or given without the Architect’s written approval.

§ 2.1.5

The Architect shall contact governmental authorities required to approve the Construction Documents and entities providing utility services to the Project. The Architect shall respond to applicable design requirements imposed by those authorities and entities.

§ 2.1.6

The Architect shall assist the Owner in connection with the Owner’s responsibility for filing documents required for the approval of governmental authorities having jurisdiction over the Project.

§ 2.2 Schematic Design Phase Services

§ 2.2.1

The Architect shall review the program and other information furnished by the Owner, and shall review laws, codes, and regulations applicable to the Architect’s services.

§ 2.2.2

The Architect shall prepare a preliminary evaluation of the Owner’s program, schedule, budget for the Cost of the Work, Project site, the proposed procurement and 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.Project, including but not limited to additional soils information.

§ 2.2.3

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. The Architect shall reach an understanding with the Owner regarding the requirements of the Project.

§ 2.2.4

Based on the Project requirements agreed upon with the Owner, the Architect shall prepare and present, for the Owner’s approval, a preliminary design illustrating the scale and relationship of the Project components.

§ 2.2.5

Based on the Owner’s approval of the preliminary design, the Architect shall prepare Schematic Design Documents for the Owner’s 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 representations. Preliminary selections of major building systems and construction materials shall be noted on the drawings or described in writing.

§ 2.2.5.1

The Architect shall consider sustainable design alternatives, such as material choices and building orientation, together with other considerations based on program and aesthetics, in developing a design that is consistent with the Owner’s program, schedule and budget for the Cost of the Work. The Owner may obtain more advanced sustainable design services as a Supplemental Service under Section 3.1.1.

§ 2.2.5.2

The Architect shall consider the value of alternative materials, building systems and equipment, together with other considerations based on program and aesthetics, in developing a design for the Project that is consistent with the Owner’s program, schedule, and budget for the Cost of the Work.

§ 2.2.6

The Architect shall submit to the Owner an estimate of the Cost of the Work based on area, volume or other unit costs per standard estimating practice and prepared in accordance with Section 5.3.

§ 2.2.7

The Architect shall submit the Schematic Design Documents to the Owner, and request the Owner’s approval.

§ 2.3 Design Development Phase Services

§ 2.3.1

Based on the Owner’s approval of the Schematic Design Documents, and on the Owner’s authorization of any adjustments in the Project requirements and the budget for the Cost of the Work, the Architect shall prepare Design Development Documents for the Owner’s approval. The Design Development Documents shall illustrate and describe the development of the approved Schematic Design Documents and shall consist of drawings and other documents including plans, sections, elevations, typical construction details, and diagrammatic layouts of building systems to fix and describe the size and character of the Project as to architectural, structural, mechanical and electrical systems, and other appropriate elements. The Design Development Documents shall also include outline specifications that identify major materials and systems and establish, in general, their quality levels.

§ 2.3.2

The Architect shall update the estimate of the Cost of the Work with details based on the systems and level of design per standard estimating practice and prepared in accordance with Section 5.3.

§ 2.3.3

The Architect shall submit the Design Development Documents to the Owner, advise the Owner of any adjustments to the estimate of the Cost of the Work, and request the Owner’s approval.

§ 2.4 Construction Documents Phase Services

§ 2.4.1

Based on the Owner’s approval of the Design Development Documents, and on the Owner’s authorization of any adjustments in the Project requirements and the budget for the Cost of the Work, the Architect shall prepare Construction Documents for the Owner’s approval. The Construction Documents shall illustrate and describe the further development of the approved Design Development Documents and shall consist of Drawings and Specifications setting forth in detail the quality levels and performance criteria of materials and systems and other requirements for the construction of the Work. The Owner and Architect acknowledge that, in order to perform the Work, the Contractor will provide additional information, including Shop Drawings, Product Data, Samples and other similar submittals, which the Architect shall review in accordance with Section 2.6.4.

§ 2.4.2

The Architect shall incorporate the design requirements of governmental authorities having jurisdiction over the Project into the Construction Documents.

§ 2.4.3

During the development of the Construction Documents, the Architect shall assist the Owner in the development and preparation of (1) procurement information that describes the time, place, and conditions of bidding, including bidding or proposal forms; (2) the form of agreement between the Owner and Contractor; and (3) the Conditions of the Contract for Construction (General, Supplementary and other Conditions). The Architect shall also compile a Project Manual that includes the Conditions of the Contract for Construction and Specifications, and may include bidding requirements and sample forms.

§ 2.4.3.1

The Project Manual shall be organized into sections numbered in accordance with CSI Master Format 2004, or most recent version. All sections must use CSI three-part section format as in the 2008 or most recent version. All drawings are to be in accordance with the Uniform Drawing System component of the United States National CAD Standard.

§ 2.4.4

The Architect shall update the estimate for the Cost of the Work to include unit pricing and details based on the level of design per standard estimating practice and prepared in accordance with Section 5.3.

§ 2.4.5

The Architect shall submit the Construction Documents to the Owner, advise the Owner of any adjustments to the estimate of the Cost of the Work, take any action required under Section 5.5, and request the Owner’s approval.

§ 2.5 Procurement Phase Services

§ 2.5.1

General The Architect shall assist the Owner in establishing a list of prospective contractors. Following the Owner’s approval of the Construction Documents, the Architect shall assist the Owner in (1) obtaining either competitive bids or negotiated proposals; (2) confirming responsiveness of bids or proposals; (3) evaluating the qualifications of bidders or persons providing proposals; and, (4) determining the successful bid or proposal, if any.

§ 2.5.2 Competitive Bidding
§ 2.5.2.1

Bidding Documents shall consist of bidding requirements and proposed Contract Documents.

§ 2.5.2.2

The Architect shall assist the Owner in bidding the Project by:

  1. facilitating the distribution of Bidding Documents to prospective bidders;
  2. assisting with File Bids;
  3. organizing and conducting a pre-bid conference for prospective bidders;
  4. preparing responses to questions from prospective bidders and providing clarifications and interpretations of the Bidding Documents to the prospective bidders in the form of addenda; and,
  5. organizing and conducting the opening of the bids, and subsequently documenting and distributing the bidding results, as directed by the Owner.
  6. Preparation for, and attendance at, a public presentation, meeting or hearing, if required for the Project.
§ 2.5.2.3

The Architect shall, upon the Owner’s written authorization, consider requests for substitutions and prepare and distribute addenda identifying approved substitutions to all prospective bidders.

§ 2.5.3 Negotiated Proposals
§ 2.5.3.1

Proposal Documents shall consist of proposal requirements and proposed Contract Documents.

§ 2.5.3.2

The Architect shall assist the Owner in obtaining proposals by:

  1. facilitating the packaging of Proposal Documents for distribution to prospective contractors and requesting their return upon completion of the negotiation process;
  2. organizing and participating in selection interviews with prospective contractors;
  3. preparing responses to questions from prospective contractors and providing clarifications and interpretations of the Proposal Documents to the prospective contractors in the form of addenda; and,
  4. participating in negotiations with prospective contractors, and subsequently preparing a summary report of the negotiation results, as directed by the Owner.
§ 2.5.3.3

The Architect shall, upon the Owner’s written authorization, consider requests for substitutions and prepare and distribute addenda identifying approved substitutions to all prospective contractors.

§ 2.6 Construction Phase Services

§ 2.6.1 General
§ 2.6.1.1

The Architect shall provide administration of the Contract between the Owner and the Contractor as set forth below and in AIA Document A201™–2017, General Conditions of the Contract for Construction. If the Owner and. Contractor modify AIA Document A201–2017, those modifications shall not affect the Architect’s services under the Agreement unless the Owner and the Architect amend the Agreement.

§ 2.6.1.2

The Architect shall advise and consult with the Owner during the Construction Phase Services. The Architect shall have authority to act on behalf of the Owner only to the extent provided in the Agreement. The Architect shall not have control over, charge of, or responsibility for the construction means, methods, techniques, sequences or procedures, or for safety precautions and programs in connection with the Work, nor shall the Architect be responsible for the Contractor’s failure to perform the Work in accordance with the requirements of the Contract Documents. The Architect shall be responsible for the Architect’s negligent acts or omissions, but shall not have control over or charge of, and shall not be responsible for, acts or omissions of the Contractor or of any other persons or entities performing portions of the Work.

§ 2.6.1.3

Subject to Section 3.2 and except as provided in Section 2.6.6.5, the Architect’s responsibility to provide Construction Phase Services commences with the award of the Contract for Construction and terminates on the date the Architect issues the final Certificate for Payment.

§ 2.6.2 Evaluations of the Work
§ 2.6.2.1

The Architect shall visit the site at intervals appropriate to the stage of construction, or as otherwise required in Section 3.2.3, to become generally familiar with the progress and quality of the portion of the Work completed, and to determine, in general, if the Work observed is being performed in a manner indicating that the Work, when fully completed, will be in accordance with the Contract Documents. However, the Architect shall not be required to make exhaustive or continuous on-site inspections to check the quality or quantity of the Work. On the basis of the site visits, the Architect shall keep the Owner reasonably informed about the progress and quality of the portion of the Work completed, and promptly report to the Owner (1) known deviations from the Contract Documents, (2) known deviations from the most recent construction schedule submitted by the Contractor, and (3) defects and deficiencies observed in the Work.

§ 2.6.2.2

The Architect has the authority to reject Work that does not conform to the Contract Documents. Whenever the Architect considers it necessary or advisable, the Architect shall have the authority to require inspection or testing of the Work in accordance with the provisions of the Contract Documents, whether or not the Work is fabricated, installed or completed. However, neither this authority of the Architect nor a decision made in good faith either to exercise or not to exercise such authority shall give rise to a duty or responsibility of the Architect to the Contractor, Subcontractors, suppliers, their agents or employees, or other persons or entities performing portions of the Work.

§ 2.6.2.3

The Architect shall interpret and decide matters concerning performance under, and requirements of, the Contract Documents on written request of either the Owner or Contractor. The Architect’s response to such requests shall be made in writing within any time limits agreed upon or otherwise with reasonable promptness.

§ 2.6.2.4

Interpretations and decisions of the Architect shall be consistent with the intent of, and reasonably inferable from, the Contract Documents and shall be in writing or in the form of drawings. When making such interpretations and decisions, the Architect shall endeavor to secure faithful performance by both Owner and Contractor, shall not show partiality to either, and shall not be liable for results of interpretations or decisions rendered in good faith. The Architect’s decisions on matters relating to aesthetic effect shall be final if consistent with the intent expressed in the Contract Documents.

§ 2.6.2.5

Unless the Owner and Contractor designate another person to serve as an Initial Decision Maker, as that term is defined in AIA Document A201–2017, the Architect shall render initial decisions on Claims between the Owner and Contractor as provided in the Contract Documents. If another person has been designated as the Initial Decision Maker, the Architect shall provide assistance to the designated Initial Decision Maker.

§ 2.6.3

Certificates for Payment to Contractor

§ 2.6.3.1

The Architect shall review and certify the amounts due the Contractor and shall issue certificates in such amounts. The Architect’s certification for payment shall constitute a representation to the Owner, based on the Architect’s evaluation of the Work as provided in Section 2.6.2 and on the data comprising the Contractor’s Application for Payment, that, to the best of the Architect’s knowledge, information and belief, the Work has progressed to the point indicated, the quality of the Work is in accordance with the Contract Documents, and that the Contractor is entitled to payment in the amount certified. The foregoing representations are subject to (1) an evaluation of the Work for conformance with the Contract Documents upon Substantial Completion, (2) results of subsequent tests and inspections, (3) correction of minor deviations from the Contract Documents prior to completion, and (4) specific qualifications expressed by the Architect.

§ 2.6.3.2

The issuance of a Certificate for Payment shall not be a representation that the Architect has (1) made exhaustive or continuous on-site inspections to check the quality or quantity of the Work, (2) reviewed construction means, methods, techniques, sequences or procedures, (3) reviewed copies of requisitions received from Subcontractors and suppliers and other data requested by the Owner to substantiate the Contractor’s right to payment, or (4) ascertained how or for what purpose the Contractor has used money previously paid on account of the Contract Sum.

§ 2.6.3.3

The Architect shall maintain a record of the Applications and Certificates for Payment.

§ 2.6.4 Submittals
§ 2.6.4.1

The Architect shall review the Contractor’s submittal schedule and shall not unreasonably delay or withhold approval of the schedule. The Architect’s action in reviewing submittals shall be taken in accordance with the approved submittal schedule or, in the absence of an approved submittal schedule, with reasonable promptness while allowing sufficient time, in the Architect’s professional judgment, to permit adequate review.

§ 2.6.4.2

The Architect shall review and approve, or take other appropriate action upon, the Contractor’s 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. Review of such submittals is not for the purpose of determining the accuracy and completeness of other information such as dimensions, quantities, and installation or performance of equipment or systems, which are the Contractor’s responsibility. The Architect’s review shall not constitute approval of safety precautions or construction means, methods, techniques, sequences or procedures. The Architect’s approval of a specific item shall not indicate approval of an assembly of which the item is a component.

§ 2.6.4.3

If the Contract Documents specifically require the Contractor to provide professional design services or certifications by a design professional related to systems, materials, or equipment, the Architect shall specify the appropriate performance and design criteria that such services must satisfy. The Architect shall review and take appropriate action on Shop Drawings and other submittals related to the Work designed or certified by the Contractor’s design professional, provided the submittals bear such professional’s seal and signature when submitted to the Architect. The Architect’s review shall be for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents. The Architect shall be entitled to rely upon, and shall not be responsible for, the adequacy and accuracy of the services, certifications, and approvals performed or provided by such design professionals.

§ 2.6.4.4

Subject to Section 3.2, the Architect shall review and respond to requests for information about the Contract Documents. The Architect shall set forth, in the Contract Documents, the requirements for requests for information. Requests for information shall include, at a minimum, a detailed written statement that indicates the specific Drawings or Specifications in need of clarification and the nature of the clarification requested. The Architect’s response to such requests shall be made in writing within any time limits agreed upon, or otherwise with reasonable promptness. If appropriate, the Architect shall prepare and issue supplemental Drawings and Specifications in response to the requests for information.

§ 2.6.4.5

The Architect shall maintain a record of submittals and copies of submittals supplied by the Contractor in accordance with the requirements of the Contract Documents.

§ 2.6.5 Changes in the Work
§ 2.6.5.1

The Architect may order minor changes in the Work that are consistent with the intent of the Contract Documents and do not involve an adjustment in the Contract Sum or an extension of the Contract Time. Subject to Section 3.2, the Architect shall prepare Change Orders and Construction Change Directives for the Owner’s approval and execution in accordance with the Contract Documents.

§ 2.6.5.2

The Architect shall maintain records relative to changes in the Work.

§ 2.6.6 Project Completion
§ 2.6.6.1

The Architect shall:

  1. conduct inspections to determine the date or dates of Substantial Completion and the date of final completion;
  2. issue Certificates of Substantial Completion;
  3. forward to the Owner, for the Owner’s review and records, and per section 2.7, written warranties and related documents required by the Contract Documents and received from the Contractor; and,
  4. issue a final Certificate for Payment based upon a final inspection indicating that, to the best of the Architect’s knowledge, information, and belief, the Work complies with the requirements of the Contract Documents.
§ 2.6.6.2

The Architect’s inspections shall be conducted with the Owner to check conformance of the Work with the requirements of the Contract Documents and to verify the accuracy and completeness of the list submitted by the Contractor of Work to be completed or corrected.

§ 2.6.6.3

When Substantial Completion has been achieved, the Architect shall inform the Owner about the balance of the Contract Sum remaining to be paid the Contractor, including the amount to be retained from the Contract Sum, if any, for final completion or correction of the Work.

§ 2.6.6.4

The Architect shall forward to the Owner the following information received from the Contractor: (1) consent of surety or sureties, if any, to reduction in or partial release of retainage or the making of final payment; (2) affidavits, receipts, releases and waivers of liens, or bonds indemnifying the Owner against liens; and (3) any other documentation required of the Contractor under the Contract Documents.

§ 2.6.6.5

Upon request of the Owner, and prior to the expiration of one year from the date of Substantial Completion, the Architect shall, without additional compensation, conduct a meeting with the Owner to review the facility operations and performance.

§ 2.7 Project Closeout Services

§ 2.7.1

These Services will have a value of five percent (5%) of the Basic Services as outlined in Section 6.5 and shall commence at the time of certification of Substantial Completion and shall end at the time of Final Acceptance of the project. The services do not alter the responsibilities of the Architect that extend through the one year correction period. The services involve completion of all requirements under the Standard Agreement for Architectural Services for submission of tests, reports, approvals, warranties, notices to surety, lien releases, record drawings, record project manual, Owner’s Manuals, and all other completion tasks stated in the Agreement.

§ 2.7.1.1 Record Documents

The Architect shall provide to the Owner at the completion of the Work a complete set of electronic (CAD and PDF) files for the project. These documents shall include: .1 All drawings used in the project. Drawings shall include all modifications resulting from Change Orders or other significant changes incorporated into the drawings at completion of construction. Record Drawings shall show accurate, final room numbering. .2 An electronic copy in AutoCAD format of the floor plans with no attributes or blocks. These plans are for use in the University’s Asset Management software (AiM). The University will provide a template .dwg file for the Architect to enter appropriate information on the available layers upon request. .3 Record Project Manual. Project Manual shall reflect all changes that were a result of Addenda, Change Orders, product substitutions, or other significant changes.

§ 2.7.1.2 Owner’s Manual

The Architect shall provide the Owner with one electronic and two paper copies of the Owner’s Manual at the completion of the project. This manual is intended to provide information to assist in the proper operation and maintenance of the facility. The following paragraphs are intended to describe the format of the Owner’s Manual, which shall be in four parts, organized in a loose leaf binder with the project name on the front cover.

Part I – Contractors and Suppliers

  1. Index.
  2. Name, address and telephone number of General Contractor
  3. Name, address, telephone number, and trade for all major subcontractors, organized by specification section.
  4. Name, address and item supplied for major material suppliers, organized by specification section.

Part II – Submittals

Copies of catalog cuts and final, approved submittals of materials incorporated into the project and that may require repair or replacement. Submittals would include schedules for colors, hardware, lighting fixtures, etc. Materials are to be organized by specification section.

Part III – Guarantees and Warranties

Copies of all guarantees or warranties required by project manual, organized by specification section.

Part IV – Operation and Maintenance

Information Copies of operation and maintenance manuals for equipment installed in the facility, to include parts lists, lubrication schedules, etc. Organize materials by appropriate specification section. Electronic spreadsheet, in Microsoft Excel format, listing all room numbers and room names for downloading into University’s Asset management software (AiM).

Article 3 Supplemental and Additional Services

§ 3.1 Supplemental Services

§ 3.1.1

The services listed below are not included in Basic Services but may be required for the Project. The Architect shall provide the listed Supplemental Services only if specifically designated in the table below as the Architect’s responsibility, and the Owner shall compensate the Architect as provided in Section 6.2. Unless otherwise specifically addressed in the Agreement, if neither the Owner nor the Architect is designated, the parties agree that the listed Supplemental Service is not being provided for the Project. (Designate the Architect’s Supplemental Services and the Owner’s Supplemental Services required for the Project by indicating whether the Architect or Owner shall be responsible for providing the identified Supplemental Service. Insert a description of the Supplemental Services in Section 3.1.2 below or attach the description of services as an exhibit to the Agreement.)

Supplemental Services Responsibility (Architect, Owner or Not Provided)
§ 3.1.1.1 Programming
§ 3.1.1.2 Multiple preliminary designs
§ 3.1.1.3 Measured drawings
§ 3.1.1.4 Existing facilities surveys
§ 3.1.1.5 Site evaluation and planning
§ 3.1.1.6 Building Information Model management responsibilities
§ 3.1.1.7 Development of Building Information Models for post construction use
§ 3.1.1.10 Architectural interior design
§ 3.1.1.11 Value analysis
§ 3.1.1.13 On-site project representation
§ 3.1.1.18 Facility support services
§ 3.1.1.19 Tenant-related services
§ 3.1.1.20 Architect’s coordination of the Owner’s consultants
§ 3.1.1.22 Security evaluation and planning
§ 3.1.1.23 Commissioning
§ 3.1.1.24 Sustainable Project Services pursuant to Section 3.1.3
§ 3.1.1.25 Fast-track design services
§ 3.1.1.26 Multiple bid packages
§ 3.1.1.27 Historic preservation
§ 3.1.1.29 Other services provided by specialty Consultants
§ 3.1.1.30 Other Supplemental Services
§ 3.1.2 Description of Supplemental Services
§ 3.1.2.1

A description of each Supplemental Service identified in Section 3.1.1 as the Architect’s responsibility is provided below. (Describe in detail the Architect’s Supplemental Services identified in Section 3.1.1 or, if set forth in an exhibit, identify the exhibit. The AIA publishes a number of Standard Form of Architect’s Services documents that can be included as an exhibit to describe the Architect’s Supplemental Services.)

§ 3.1.2.2

A description of each Supplemental Service identified in Section 3.1.1 as the Owner’s responsibility is provided below. (Describe in detail the Owner’s Supplemental Services identified in Section 3.1.1 or, if set forth in an exhibit, identify the exhibit.)

§ 3.1.3

If the Owner identified a Sustainable Objective in Article 1, the Architect shall provide, as a Supplemental Service, the Sustainability Services required in AIA Document E204™–2017, Sustainable Projects, Exhibit or equivalent, attached to the Agreement. The Owner shall compensate the Architect as provided in Section 6.2.

§ 3.2 Architect’s Additional Services

The Architect may provide Additional Services after execution of the Agreement without invalidating the Agreement. Except for services required due to the fault of the Architect, any Additional Services provided in accordance with this Section 3.2 shall entitle the Architect to compensation pursuant to Section 6.3 and an appropriate adjustment in the Architect’s schedule.

§ 3.2.1

Upon recognizing the need to perform the following Additional Services, the Architect shall notify the Owner with reasonable promptness and explain the facts and circumstances giving rise to the need. The Architect shall not proceed to provide the following Additional Services until the Architect receives the Owner’s written authorization:

  1. Services necessitated by a change in the Initial Information, previous instructions or approvals given by the Owner, or a material change in the Project including size, quality, complexity, the Owner’s schedule or budget for Cost of the Work, or procurement or delivery method;
  2. Services necessitated by the enactment or revision of codes, laws, or regulations, including changing or editing previously prepared Instruments of Service;
  3. Changing or editing previously prepared Instruments of Service necessitated by official interpretations of applicable codes, laws or regulations that are either (a) contrary to specific interpretations by the applicable authorities having jurisdiction made prior to the issuance of the building permit, or (b) contrary to requirements of the Instruments of Service when those Instruments of Service were prepared in accordance with the applicable standard of care;
  4. Services necessitated by decisions of the Owner not rendered in a timely manner or any other failure of performance on the part of the Owner or the Owner’s consultants or contractors;
  5. Preparation for, and attendance at, a dispute resolution proceeding or legal proceeding, except where the Architect is party thereto;
  6. Consultation concerning replacement of Work resulting from fire or other cause during construction.
§ 3.2.2

To avoid delay in the Construction Phase, the Architect shall provide the following Additional Services, notify the Owner with reasonable promptness, and explain the facts and circumstances giving rise to the need. If, upon receipt of the Architect’s notice, the Owner determines that all or parts of the services are not required, the Owner shall give prompt written notice to the Architect of the Owner’s determination. The Owner shall compensate the Architect for the services provided prior to the Architect’s receipt of the Owner’s notice.

  1. Reviewing a Contractor’s submittal out of sequence from the submittal schedule approved by the Architect;
  2. Responding to the Contractor’s requests for information that are not prepared in accordance with the Contract Documents or where such information is available to the Contractor from a careful study and comparison of the Contract Documents, field conditions, other Owner-provided information, Contractor-prepared coordination drawings, or prior Project correspondence or documentation;
  3. Preparing Change Orders and Construction Change Directives that require evaluation of Contractor’s proposals and supporting data, or the preparation or revision of Instruments of Service;
  4. Evaluating an extensive number of Claims as the Initial Decision Maker.

§ 3.2.3

The Architect shall provide Construction Phase Services exceeding the limits set forth below as Additional Services. When the limits below are reached, the Architect shall notify the Owner:

  1. three ( 3 ) reviews of each Shop Drawing, Product Data item, sample and similar submittals of the Contractor
  2. ( ) visits to the site by the Architect during construction
  3. three ( 3 ) inspections for any portion of the Work to determine whether such portion of the Work is substantially complete in accordance with the requirements of the Contract Documents
  4. three ( 3 ) inspections for any portion of the Work to determine final completion
§ 3.2.4

Except for services required under Section 2.6.6.5 and those services that do not exceed the limits set forth in Section 3.2.3, Construction Phase Services provided more than 60 days or 20% of the total time period, whichever is greater, after (1) the date of Substantial Completion of the Work or (2) the initial date of Substantial Completion identified in the agreement between the Owner and Contractor, whichever is earlier, shall be compensated as Additional Services to the extent the Architect incurs additional cost in providing those Construction Phase Services.

Article 4 Owner’s Responsibilities

§ 4.1

The Owner shall establish the Owner’s budget for the Project, including (1) the budget for the Cost of the Work as defined in Section 5.1; (2) the Owner’s other costs; and, (3) reasonable contingencies related to all of these costs. The Owner shall update the Owner’s budget for the Project as necessary throughout the duration of the Project until final completion. If the Owner significantly increases or decreases the Owner’s budget for the Cost of the Work, the Owner shall notify the Architect. The Owner and the Architect shall thereafter agree to a corresponding change in the Project’s scope and quality.

§ 4.2

The Owner shall furnish surveys to describe physical characteristics, legal limitations and utility locations for the site of the Project, and a written legal description of the site. The surveys and legal information shall include, as applicable, grades and lines of streets, alleys, pavements and adjoining property and structures; designated wetlands; adjacent drainage; rights-of-way, restrictions, easements, encroachments, zoning, deed restrictions, boundaries and contours of the site; locations, dimensions, and other necessary data with respect to existing buildings, other improvements and trees; and information concerning available utility services and lines, both public and private, above and below grade, including inverts and depths. All the information on the survey shall be referenced to a Project benchmark.

§ 4.3

The Owner shall furnish services of geotechnical engineers, which may include test borings, test pits, determinations of soil bearing values, percolation tests, evaluations of hazardous materials, seismic evaluation, ground corrosion tests and resistivity tests, including necessary operations for anticipating subsoil conditions, with written reports and appropriate recommendations.

§ 4.4

The Owner shall furnish tests, inspections and reports required by law or the Contract Documents, such as structural, mechanical, and chemical tests, tests for air and water pollution, and tests for hazardous materials.

§ 4.5

The Owner shall furnish all legal, insurance and accounting services, including auditing services, that may be reasonably necessary at any time for the Project to meet the Owner’s needs and interests.

§ 4.6

The Owner shall provide the Supplemental Services designated as the Owner’s responsibility in Section 3.1.1.

§ 4.7

If the Owner identified a Sustainable Objective in Article 1, the Owner shall fulfill its responsibilities as required in AIA Document E204™–2017 or equivalent, Sustainable Projects Exhibit, attached to the Agreement.

§ 4.8

The Owner shall include the Architect in all communications with the Contractor that relate to or affect the Architect’s services or professional responsibilities. The Owner shall promptly notify the Architect of the substance of any direct communications between the Owner and the Contractor otherwise relating to the Project. Communications by and with the Architect’s consultants shall be through the Architect.

§ 4.9

Before executing the Contract for Construction, the Owner shall coordinate the Architect’s duties and responsibilities set forth in the Contract for Construction with the Architect’s services set forth in the Agreement. The Owner shall provide the Architect a copy of the executed agreement between the Owner and Contractor, including the General Conditions of the Contract for Construction.

§ 4.10

The Owner shall provide the Architect access to the Project site prior to commencement of the Work and shall obligate the Contractor to provide the Architect access to the Work wherever it is in preparation or progress.

Article 5 Cost of the Work

§ 5.1

For purposes of the Agreement, the Cost of the Work shall be the total cost to the Owner to construct all elements of the Project designed or specified by the Architect and shall include contractors’ general conditions costs, overhead and profit. The Cost of the Work also includes the reasonable value of labor, materials, and equipment, donated to, or otherwise furnished by, the Owner. The Cost of the Work does not include the compensation of the Architect; the costs of the land, rights-of-way, financing, or contingencies for changes in the Work; or other costs that are the responsibility of the Owner.

§ 5.2

The Owner’s budget for the Cost of the Work is provided in Initial Information, and shall be adjusted throughout the Project as required under Sections 4.1, 5.4 and 5.5. Evaluations of the Owner’s budget for the Cost of the Work, and the preliminary estimate of the Cost of the Work and updated estimates of the Cost of the Work, prepared by the Architect, represent the Architect’s judgment as a design professional. It is recognized, however, that neither the Architect nor the Owner has control over the cost of labor, materials, or equipment; the Contractor’s methods of determining bid prices; or competitive bidding, market, or negotiating conditions. Accordingly, the Architect cannot and does not warrant or represent that bids or negotiated prices will not vary from the Owner’s budget for the Cost of the Work, or from any estimate of the Cost of the Work, or evaluation, prepared or agreed to by the Architect.

§ 5.3

In preparing estimates of the Cost of Work, the Architect shall be permitted to include contingencies for design, bidding, and price escalation; to determine what materials, equipment, component systems, and types of construction are to be included in the Contract Documents; to recommend reasonable adjustments in the program and scope of the Project; and to include design alternates as may be necessary to adjust the estimated Cost of the Work to meet the Owner’s budget; or as requested by the Owner. The Architect’s estimate of the Cost of the Work shall be based on current area, volume or similar conceptual estimating techniques and shall be based on current bid climate and relevant construction market information as well as recent regional historical data. The Owner’s requirements for a detailed estimate of the Cost of the Work are as specified in Sections 2.2.6, 2.3.2 and 2.4.4.

§ 5.4

If, through no fault of the Architect, the Procurement Phase has not commenced within 90 days after the Architect submits the Construction Documents to the Owner, the Owner’s budget for the Cost of the Work shall be adjusted to reflect changes in the general level of prices in the applicable construction market.

§ 5.5

If at any time the Architect’s estimate of the Cost of the Work exceeds the Owner’s budget for the Cost of the Work, the Architect shall make appropriate recommendations to the Owner to adjust the Project’s size, quality, or budget for the Cost of the Work, and the Owner’s cooperation with the Architect in making such adjustments shall not be unreasonably withheld; however, this activity will be without additional compensation to the Architect.

§ 5.6

If the Owner’s budget for the Cost of the Work at the conclusion of the Construction Documents Phase Services is exceeded by the lowest bona fide bid or negotiated proposal, the Owner shall

  1. give written approval of an increase in the budget for the Cost of the Work;
  2. authorize rebidding or renegotiating of the Project within a reasonable time;
  3. erminate in accordance with Section 5.5 of AIA Document B102™–2017;
  4. in consultation with the Architect, revise the Project program, scope, or quality as required to reduce the Cost of the Work; or,
  5. implement any other mutually acceptable alternative.

§ 5.7

If the Owner chooses to proceed under Section 5.6.4, the Architect shall modify the Construction Documents as necessary to comply with the Owner’s budget for the Cost of the Work at the conclusion of the Construction Documents Phase Services, or the budget as adjusted under Section 5.6.1. If the Owner requires the Architect to modify the Construction Documents because the lowest bona fide bid or negotiated proposal exceeds the Owner’s budget for the Cost of the Work due to market conditions the Architect could not reasonably anticipate, the Owner shall compensate the Architect for the modifications as an Additional Service pursuant to Section 6.3; otherwise the Architect’s services for modifying the Construction Documents shall be without additional compensation. In any event, the Architect’s modification of the Construction Documents shall be the limit of the Architect’s responsibility under this Article 5.

Article 6 Compensation

§ 6.1

If not otherwise specifically addressed in the Agreement, the Owner shall compensate the Architect for the Architect’s Basic Services as follows:

  1. Stipulated Sum (Insert amount)
  2. Percentage Basis (Insert percentage value) ( ) % of the Owner’s budget for the Cost of the Work, as calculated in accordance with Section 6.6.
  3. Other (Describe the method of compensation)

§ 6.2

For the Architect’s Supplemental Services designated in Section 3.1.1 and for any Sustainability Services required pursuant to Section 3.1.3, the Owner shall compensate the Architect as follows: (Insert amount of, or basis for, compensation. If necessary, list specific services to which particular methods of compensation apply.)

§ 6.3

For Additional Services that may arise during the course of the Project, including those under Section 3.2, the Owner shall compensate the Architect as follows: (Insert amount of, or basis for, compensation.)

§ 6.4

Compensation for Supplemental and Additional Services of the Architect’s consultants when not included in Section 6.2 or 6.3, shall be the amount invoiced to the Architect plus percent ( %), or as follows: (Insert amount of, or basis for computing, Architect’s consultants’ compensation for Supplemental or Additional Services.)

§ 6.5

When compensation for Basic Services is based on a stipulated sum or a percentage basis, the proportion of compensation for each phase of services shall be as follows:

Phase Percentage (%)
Schematic Design Phase fifteen percent (15%)
Design Development Phase twenty percent (20%)
Construction Documents Phase forty percent (40%)
Procurement Phase five percent (5%)
Construction Phase fifteen percent (15%)
Project Closeout five percent (5%)
Total Basic Compensation one hundred percent (100%)
§ 6.5.1

Based on the percentage values stated above, invoices shall be submitted by the Architect on a monthly basis. At the completion of each Phase, the University will approve in writing the completion of that Service, and the Architect may be paid the full amount for that Service. Prior to that approval, partial payment will be made, but not exceed 75% of the billable value of the Service. In the Construction Administration Phase, invoices will be paid only if based on the same percentage of project completion reflected in the Applications submitted by the Contractor.

§ 6.5.2

The Architect agrees to provide the Services based on the following Schedule. (If applicable, attach a proposed design schedule, or insert here.)

§ 6.6

When compensation identified in Section 6.1 is on a percentage basis, progress payments for each phase of Basic Services shall be calculated by multiplying the percentages identified in this Article by the Owner’s most recent budget for the Cost of the Work. Compensation paid in previous progress payments shall not be adjusted based on subsequent updates to the Owner’s budget for the Cost of the Work.

§ 6.6.1

When compensation is on a percentage basis and any portions of the Project are deleted or otherwise not constructed, compensation for those portions of the Project shall be payable to the extent services are performed on those portions. The Architect shall be entitled to compensation in accordance with the Agreement for all services performed whether or not the Construction Phase is commenced.

§ 6.7

The hourly billing rates for services of the Architect and the Architect’s consultants are set forth below.

(If applicable, attach an exhibit of hourly billing rates or insert them below.)

As outlined in Exhibit C, [Architect’s] rate schedule.

Employee or Category Rate ($0.00)

Article 7 Attachments and Exhibits

The following attachments and exhibits, if any, are incorporated herein by reference: (List other documents, if any, including any exhibits relied on in Section 3.1.)

  1. B102, Standard Form of Agreement Between Owner and Architect
  2. Appendix A – University of Maine System Design Criteria (dated 05/23/2019)
  3. Appendix B – Section 27 00 00 Communications (dated 10/15/2014)
  4. Appendix C – Campus Design Criteria (dated 05/05/2018)
  5. A201-2017, General Conditions of the Contract for Construction (Sample)
  6. A101-2017, Exhibit A – Insurance and Bonds (Sample)
  7. Exhibit B, [Insert Proposal name and date here]
  8. Exhibit C, [Architect’s] Rate Schedule dated

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