Writing Specs For Construction

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Call No. ;

60758
NATIONAL LIBRARY
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Peter J. Cox B.Sc. (Eng), A.C.G.L, M.LC.E., F.I.Struc1.E.
Writing specifications
for construction
McGRAW-HILL BOOK COMPANY
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Published by
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Telephone 0628 23432
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This book is dedicated to untaught specification writers doing their best.
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British Library Cataloguing in Publication Data

Cox, Peter
Writing Specifications for Construction
I. Title
692.3
ISBN 0-07-707803-9
Library of Congress Cataloging-in-Publication Data
Cox, Peter
Writing specifications for construction I Peter Cox.
p_ c.m.
Includes bibliographical references and index.
ISBN 0-07-707803-9:
I. Buildings - Specifications. 2. Specification writing.
I. Title.
TH425.C69 1993
692'.3-dc20 93-12838
CIP
Copyright 1994 McGraw-Hili International (UK) Limited. All rights reserved. No part of this
pulication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any
means, electronic, mechanical, photocopying, recording, or otherwise, without the prior permission
of McGraw-Hili International (UK) Limited.
1234 CUP 9654
Typeset by Computape (Pickering) Ltd, North Yorkshire
and printed and bound in Great Britain at the University Press, Cambridge
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Contents
List of Figures and Tables page xv
Preface xvii
Part I A background to specification writing I
I Scope of guide 3
1.1 Principles 3
1.2 Differences in practice between North America and other countries 3
1.3 General diversity of practice 3
1.4 Readers to whom the guide is addressed 3
1.5 Specification writing practice and technical knowledge 4
2 Who's who in design office specification writing 5
2.1 The Chief Specifier 5
2.2 Who is the specification writer? 5
2.3 The chief specification writer 5
2.4 The project specification writer 6
2.5 The document writer 6
2.6 The specification writer and product selection 6
2.7 Knowledge of a specification writer 7
3 Historical background to contract documentation 8
3.1 Evolution of contract documentation 8
3.2 Conditions of Contract 8
3.3 Bill of Quantities 9
3.4 Specification systems 9
3.5 References and bibliography 10
4 Terminology used in contract documentation II
4.1 Introduction 11
4.2 Parties 11
4.3 Documents 12
4.4 Finance 16
vii
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viii Contents
Contents ix
-
4.5 Programme 16
8.2 Letter of Intent 87
4.6 Specification terms 17
8.3 Letter of Acceptance 87
-
4.7 Abbreviations of organizations 17
8.4 Form of Agreement 89
"
8.5 Importance of Tender and Acceptance/Agreement as Contract
Documents 102
J
Part 2 The Construction Documents 19
5 Contract documentation and Contracts 21 9 Conditions of Contract 105
5.1 Contract documentation 21 9.1 Introduction 105
5.2 Prequalification Documents 22 9.2 Standard Conditions 105
5.3 Tendering Requirements 22 9.3 General Conditions 109
5.4 Contract Documents 23 9.4 Supplementary Conditions 109
5.5 Arrangement of written contract documentation 27 9.5 Special Conditions 117
5.6 Design and construction participants 27 9.6 Coordination with the General Requirements 118
5.7 Construction contracts 29 9.7 Liquidated damages and bonuses 119
5.8 Basis of selection and award 36 9.8 Retention 119
5.9 Basis of payment 37 9.9 Examples of Schedules of Contract Data provided by the Employer 120
5.10 A personal view 38 9.10 References and bibliography 132
6 Prequalification Documents and Tendering Requirements 40
- 10 Bonds and guarantees 133
10.1 Reasons for bonds 133
10.2 Definitions 133
6.1 Prequalification 40
10.3 Types of bond 134
6.2 Invitation to Prequalify 40
10.4 Bond wordings 140
6.3 Prequalification Documents 41
10.5 Joint ventures 143
6.4 Letters to selected and unselected contractors 41
10.6 Sources of bonds 144
6.5 Invitation to selected tenderers with no prequalification stage 42
10.7 Recourse and the cost of bonding 145
6.6 Tendering Requirements 42
6.7 Introduction to Tender Documents 45
~

II Insurances 147
6.8 Instructions to Tenderers 47
6.9 Site Information and Employer's required construction sequences 53
11.2 Reasons to insure 148
11.3 Contract Works insurance 148
7 Form of Tender and supplements 54 11.4 Construction plant and equipment insurance 148
11.5 Public liability insurance 149
7.1 Introduction 54
11.6 Employer's liability insurance 149
7.2 Forms of Tender 55
11.7 Professional indemnity insurance 149
7.3 Supplements to Form of Tender 64
11.8 Existing surrounding property insurance 149
7.4 Bill of Quantities 64
11.9 Consequential financial losses insurance 149
7.5 Schedules of Activities 70
11.'0 Liquidated damages insurance 150
7.6 Dayworks, provisional work, Prime Cost Sums and alternative work items 72
11.11 Political risks insurance 150
7.7 Other schedules 76
11.12 Latent defects (or decennial) insurance 150
7.8 Additional information required from tenderers 77
11.13 Policy exclusions 150
7.9 Remeasurement on site 84
11.14 Contractual provisions 150
7.10 Coordination between bills and schedules and other Contract Documents 85
11.15 JCT Standard Contract, 1980 Edition, with 198fr-91 amendments 151
11.16 JCT Design and Construct Contract, 1981, with 1987 amendments 153
11.17 JCT Management Contract, 1987 154
11.18 New Engineering Contract (NEC) 154
8 Acceptance and Agreement
11.19 Institution of Civil Engineers Conditions of Contract, 6th Edition
8.1 Procedures in accepting a Tender
(lCE6 Conditions) 154
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87
87
x Contents
Contents xi
15.11 Development of CAWS 186
11.20 BPF Conditions 155
15.12 List of CAWS groups 187
11.21 FIDIC Conditions 156
15.13 Designation of work sections 188 " ..
15.14 Advantages and disadvantages of CAWS groups 188
12 The Specification 158
15.15 Product data filing for UK building works 189
15.16 Development of the CSIICSC Masterformat 190
12.1 Reasons for specifications 158
15.17 List of CSIICSC Masterformat divisions 191
12.2 Required specification criteria 158
15.18 Masterformat sections 192
12.3 Specification standards 159
15.19 Advantages and disadvantages of CSIICSC Masterformat divisions 193
12.4 Specification writing in the United Kingdom 161
15.20 Product data filing with CSIICSC Masterformat 193
12.5 Specification writing in North America and the developing countries 163
15.21 UK civil engineering 194

15.22 Other associated classification systems 194
15.23 International situation 195
13 Changes to Tender and Contract Documents 165
13.2 Advantages and disadvantages of changing contract documentation 165
16 Section Formats 197
13.3 Reasons for amendments 165
16.1 Definition 197
13.4 General criteria for changes to contract documentation 166
16.2 Prescriptive and performance Section Formats 197
13.5 Addenda procedures 166
16.3 Advantages 197
13.6 Addendum contents 166
16.4 The three section parts 197
13.7 Variation Order procedures 167
16.5 Situation in the United Kingdom 198
13.8 Pricing a Variation Order 167
16.6 Position of variable and unchanging clauses 198
13.9 Variation Order contents 168
-
--
16.7 Choice of source document for standard prescriptive Section Format
in this guide 198
16.8 Commentary on Part 1 clauses 199
Part 3 Specification writing and production techniques 169
14 Writing a specification section 171
14.1 Introduction 171
Appendix Prescriptive Section Format Standard 203
14.2 Technical content 171
16A.l Purpose of Section Format 203
14.3 Style and arrangement 172
16A.2 Definitions 203
14.4 Types of specification section 173
16A.3 Functions of section parts 203
14.5 Reference standards 173
16A.4 Clause and paragraph arrangement 204
14.6 Submissions 175
16A.5 Coordination 204
14.7 Product selection 176
16A.6 Detailed description of Section Format 204
14.8 Specifying products from particular manufacturers 177
17 Specification Language 216
15 The Masterlist 179
15.1 Definition 179
17.2 SQurces for Specification Language Standard 216
15.2 Contract documentation covered by a Masterlist 179
17.3 Imperative mood 216
15.3 Masterlist sections 179
17.4 Reference 216
15.4 Masterlist divisions/groups 179
15.5 Basic criteria for an efficient Masterlist 179
15.6 The principle of broadscope, mediumscope and narrowscope
specification sections 181
Appendix Specification Language Standard 217
17A.l Basic requirements 217
15.7 Using a Masterlist for product data filing 183
17A.2 Vocabulary 217
15.8 Ideal arrangement of a Masterlist 184
17A.3 Spelling in UK English 218
15.9 Arrangement of project specifications 185
17A.4 Abbreviations 218
15.10 Standard UK Masterlists 185
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xii Contents Contents xiii
17A.5 Units 219 19.10 Reference standards 252
17A.6 Symbols 220 19.11 Definitions 252
17A.7 Numerals 222 19.12 Submissions by the Contractor 252
17A.8 Use of capitals 223 19.13 Management of the Works: general 253
17A.9 Punctuation 224 19.14 Management of the Works: control of time 254
17A.I 0 Grammar 224 19.15 Management of the Works: control of cost 254
17A.II Sentence structure 227 19.16 Site engineering 254
17A.12 Streamlining 227 19.17 Standards of materials and workmanship 254
17A.13 Universality of good specification language 228 19.18 Security, safety and protection 255
17A.14 References 229 19.19 Employer's specific limitations on method, sequence, timing and use
of site 256
18 Page Format 230 19.20 Employer's requirements for facilities, temporary works and services 256
19.21 Commissioning 257
18.1 Function 230
19.22 Completion tasks/requirements 257
18.2 Purpose of a standard Page Format 230
19.23 Operation/maintenance of the completed construction 258
18.3 Allocation of text into clauses, paragraphs and subparagraphs 230
19.24 Contractor's management and staff 258
1804 Recommended standard Page Format 231
19.25 Contractor's site accommodation 258
18.5 CSI Page Format 231
19.26 Contractor's services and facilities 258
18.6 CSC Page Format 231
19.27 Contractor's mechanical plant 259
18.7 Reference 232
19.28 Temporary works 259
19.29 Work and materials by Employer 259
Appendix Page Format Standard 233
19.30 Nominated subcontractors 259
19.31 Nominated suppliers 259
18A.1 Introduction 233
19.32 Work by statutory authorities 259
18A.2 Definitions 233
19.33 Provisional sums and daywork 259
18A.3 Margins 234
18AA Page arrangement 234
18A.5 Section header 235
18A.6 Page footer 235
20 Performance Specifying 261
18A.7 Use of division titles instead of section titles 235
18A.8 Part designation 235
20.2 Complexity of performance specifications 261
18A.9 Clause and paragraph designations 236
20.3 Origins of performance specifying in construction 261
18A.IO End of section 236
20.4 Determining the extent of the project to be performance based 263
18A.II Schedules and tables 236
20.5 Level of performance specifying 264
18A.12 Practices to avoid 237
20.6 Innovation versus choice 265
18A.13 Typeface and spacing 237
20.7 Two-stage tendering 268
18A.14 Checklist 237
20.8 Similarity with prescriptive specifications 268
18A.15 Other formats 238
20.9 Specifying attributes 269
18A.16 Example of Page Format Standard 239
20.10 Ensuring a practicable proposal 269
20.11 Arrangement of performance specifications for complete projects
19 Writing the General Requirements 241
or systems 269
19.1 Introduction 241 20.12 Reference standards 271
19.2 Relationship between the General Requirements and other documents 20.13 Design Team drawings 272
outside the Specification 241 20.14 Proposer's and Contractor's specifications 273
19.3 Coordinating with the Technical Specification 247 20.15 Proposer's drawings 274
1904 Using CAWS for specification filing 248 20.16 Evaluating Proposer's and Contractor's proposals 274
19.5 Project particulars 248 20.17 Submissions after Acceptance 275
19.6 Drawi',lgs prepared by the Design Team 249 20.18 The performance specification Section Format 276
19.7 The Site/existing buildings 249 20.19 Performance Section Format in ISO 6240 277
19.8 Description of the Work 250 20.20 Checklist for the arrangement and preparation of information 278
19.9 Use of Contract Documents 252 20.21 References and bibliography 283
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10.1 Tender Bond (default wording)
10.2 Tender Bond (on demand wording with optional conditions)
r-
Appendix Performance Section Format Standard 284
24.5
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,
24.6 20A.I Introduction 284
20A.2 Part I: General
24.7
284
20A.3 Part 2: Materials and products 284
24.8
20A.4 Part 3: Execution 286
21 The design office master specification 295

21.2 Advantages of a design office master specification 295
Figures
21.3 Conclusions 295
21.4 Setting up a design office master 296
5.1
21.5 Information related to a design office master 297
5.2
21.6 Arrangement of the design office master specification 297
5.3
21.7 Maintaining a design office master specification 298
5.4
21.8 Secondary masters 299
5.5
21.9 Producing project specifications from a design office master 299
5.6
21.10 Examples of UK commercial master specifications 300
5.7
5.8
I
-
22 Producing project specifications 301
6.1
22.1 Responsibilities 301
6.2
22.2 Initial decisions
301
6.3
22.3 Use of a design office master 302
6.4
22.4 Importance of beginning project specifications early 302
22.5 Using project specification planning checklists 302
7.1
22.6 Conversion of sections from non-standard formats 304
7.2
22.7 First draft project specification 304
7.3
22.8 Editing of a draft project specification 305
7.4
22.9 Completing the final project specification 306
7.5
22.10 Reviewing a design office master 307
7.6
22.11 Summary
307
7.7
22.12 Project specification planning checklists 309
7.8
22.13 Reference 325

7.9
7.10
23 Coordinating drawings and specifications 326 7.11
7.12
23.1 Introduction
326
23.2 Functions of each document 326
8.1
23.3 Requirements for drawings in particular 327
8.2
23.4 Requirements for specifications in particular 329
8.3
23.5 Coordination 329
8.4
9.1
9.2
24 Using computers 333
xiv Contents

Contents xv
-
9.3
9.4
24.2 The importance of using computers 334
24.3 Use of specification writing standards 334
24.4 Management of specification text 334
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Producing a project from a library of specification sections
Requirements for the majority of specification writers
Advanced software features
Software dedicated to a commercial master specification
335
335
338
339
Index 341
List of Figures and Tables
Traditional contract
Management contract
Construction management contract
Project management contract
Design and manage contract
Design and construct contract
Design, manage and construct contract
Direct labour
NJCC Preliminary Enquiry for Invitation to Tender
BPF Preliminary Invitation to Tenderers, Schedule of Information
NJCC Formal Invitation to Tender
BPF Invitation to Tender
Tendering procedure: Form of Tender not a Contract Document
Tendering procedure: Form of Tender as a Contract Document
NJCC Form of Tender
NEC Form of Tender
ICE6 Form of Tender
BPF Form of Tender
FIDIC Form of Tender
Example of a Bill of Quantities: Building.
Example of a Bill of Quantities: Civil Engineering
NEC Contract Data provided by the Contractor
ICE6 Appendix to Form of Tender, Part 2
BPF Schedule of tender information
JCT Articles of Agreement
ICE6 Form of Agreement
BPF Form of Agreement
FIDIC Form of Agreement
JCT Appendix to Conditions
NEC Schedule of Contract Data provided by the Employer
ICE6 Appendix to Form of Tender, Part I
FIDIC Appendix to Form of Tender
xvi Contents
10.3 Advance Payment Bond (default wording)
10.4 Advance Payment Bond (on demand wording with optional conditions)
10.5 Performance Bond (default wording)
10.6 Performance Bond (on demand wording with optional conditions)
10.7 Release of Retention Monies Bond (default wording)
10.8 Release of Retention Monies Bond (on demand wording with optional con
ditions)
18.1 Example of CSI Page Format
18A.1 Example of Page Format Standard
20.1 Level of performance specifying
22.1 Design Team organization
22.2 Activities to produce a project specification
Tables
5.1 Suggested arrangement of contract documentation
15.1 Provisional civil engineering Masterlist
16A.1 Summary of Prescriptive Section Format Standard
19.1 Comparison between CAWS General Requirements and UK Conditions of
Contract
19.2 Comparison between Masterformat General Requirements and FIDIC Con
ditions of Contract.
20.1 Comparison of ISO 6240 with the performance Section Format
20A.1 Summary of performance Section Format Standard
20A.2 List of Attributes
23.1 Project specification coordination checklist: typical pages
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Preface
Like most specification writers, I began to write specifications with little help from
anyone and the difficulties in producing good project specifications increased with the
size and complexities of my projects. Eventually when all our design disciplines adopted
some of the standards of the Construction Specifications Institute (CSI), the resulting
increase in efficiency was dramatic. The CSI Manual of Practice included the standards
we adopted and the basic principles of good specification writing. However, it was
written primarily for projects in the United States. There is no doubt that a sister book
for projects outside the United States would increase efficiency in producing specifi
cations in many other countries.
Writing this sister book was made more difficult owing to the lack of ISO, CEN or
even BSI standards for the Masterlist, Section Format, Specification Language and
Page Format. I have not included a proposed Masterlist for the whole of the construc
tion industry because I did not find a definite enough consensus of opinion as to what it
should be. Furthermore, specification writers are often obliged to use a particular
Masterlist according to the type and location of the project. My proposed standards for
Section Format, Specification Language and Page Format are as representative as
possible of the views of leading specification writers. However, no amount of enquiry
can achieve perfection and I would be pleased to receive comments on these proposed
standards for future editions.
I would like to thank the many people who contributed opinions in the early stages of
this project. They include:
John Aherm
Robert Cawkwell
Brian Creamer
Huston Eubank
Kit Evans
Henry Gibson
Alan Gilbertson
Alex Hamilton
Richard Holyoak
Frank Howard
Tom Knott
Bruce Penny
Bernard Polack
Peter Ross
Geoffrey Simmons
xvii
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xviii Preface
Chris Sketchley
Ian Walker
Chapter 10 on 'Bonds and Guarantees' and Chapter lion 'Insurances' were written by
Nigel Alington and Martin Howe respectively, both of Hogg Robinson Insurance Part 1
Brokers Ltd, and Harry Harrison provided the historical background to Chapter 20 on
'Performance Specifying'.
RIBA Publications on behalf of JCT, NJCC, Thomas Telford, British Property A background to specification writing
Federation and FIDIC all kindly gave permission to reproduce several of their standard
forms. CSI gave permission to adapt passages from their Manual of Practice, including
the Section Formats.
The book could not have been prepared without the kind cooperation of CSI officers
and permanent staff. I am particularly grateful to Walter F. Geisinger and wish him well
in his retirement.
A special thanks is required for Ian Trenowden who, with an experienced specifi
cation writer's eye, edited the text to improve clarity.
Finally, I would like to thank my family for putting up with a noisy printer during the
small hours.
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Scope of guide
1.1 Principles
This guide is intended to cover construction specification writing principles internation
ally with particularly reference to practice in the United Kingdom and many other
countries influenced by UK and US construction documentation practice. Many of
these principles are shared with those of the Construction Specifications Institute (CSI).
CSI, although not an active participant in the development of this guide, supports the
author's premise that many of CSI's principles of construction specification writing are
universally valid.
1.2 Differences in practice between North America and other
countries
While the principles are similar, there are differences in practice between those of North
America and other countries. The guide does not therefore cover practice for projects in
the United States and Canada. Specification writers there should refer to the Manual of
Practice published by the CSI in the United States and the Construction Specifications
Canada (CSC) (Devis de Construction Canada) in Canada.
1.3 General diversity of practice
As the principles of specification writing are universal, the guide is not written for any
particular design discipline or project size. Because of much diversity in practice, the
guide tends to give preference to those practices that are most common. However, where
a minority practice has great advantages this is also included.
Designers are frequently well educated in technical matters by colleges and their
design office superiors. Education in the writing of contract documentation is however
often neglected and hopefully the guide will assist to redress this imbalance.
Acquiring knowledge of writing contract documentation should run in parallel with
technical knowledge. This guide always assumes that a specification writer has design
knowledge. While the subject of specification writing has been neglected, there is no
intention to advocate a profession of construction specification writers who do not
possess training in at least one of the construction design disciplines.
1.4 Readers to whom the guide is addressed
This guide is intended to be an introduction to the student, give practical assistance to
design office personnel taking up management of design project and a reference for
experienced design personnel.
3
4 A background to specification writing
1.5 Specification writing practice and technical knowledge
~ "
It is important to note that, while this guide outlines recommended techniques and a
philosophy for preparing and organizing written contract documentation, it does not
contain the technical product or design information needed to develop and produce
project specifications. That kind of technical knowledge and ability is gained through
technical publications and education for each design discipline and experience in the
design office and on site.
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Who's who in design office specification
writing
2.1 The Chief Specifier
Every design operation requires someone to be in charge.
If a design office wishes to make a policy decision regarding choice of products or
methods of construction, the person with the ultimate responsibility for that decision is
the most senior designer in that design office. In a consultancy, that person may be
termed the senior partner or senior director. If the design office is a department in a
larger organization, this most senior designer may be termed the Chief Designer. To
make a design choice is the most important stage of specifying. A designer responsible to
the Chief Designer may have specified prestressed concrete hollow planks for spans of
about 6 m. The designer may not have written the actual specification section stating
how such planks should be manufactured and installed but that person is under the
command of the Chief Designer. We conclude that the Chief Specifier in a design office
is the Chief Designer for he or she has ultimate responsibility for design decisions.
Similarly, if a Design Team has been engaged by an Employer for a project, it is the
Design Leader who is the Project Specifier for that project. There should be no question
of product selections being made by anyone outside the control of the Design Leader.
This guide therefore takes the view that the Design Leader in a Design Team must
be responsible for not only the Tender Drawings but all of the Tender Documents
including the Specification. The Design Leader may delegate decisions regarding the
Tender Documents to others such as design discipline heads and specification
writers.
2.2 Who is the specification writer?
In this guide, the person responsible for a design office master is the chief specification
writer for that office (see Chapter 21). The person responsible for a project specification
is the project specification writer (see Chapter 22). This writer is not necessarily the same
person as the Design Leader.
2.3 The chief specification writer
The chief specification writer will keep the design office master up to date. This will
require collection and analysis of technical and product information. In a multi-discipli
nary design office, the chief specification writer will probably require an assistant
specification writer for each design discipline. In most offices, the specification writers
will be part time with the rest of their time spent in design work. In larger design offices
5
Who's who in design office specification writing 7
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the chief specification writer may be full time and may have a librarian to organize the
office product data.
If there are no or inadequate national specification writing standards in the country of
the design firm, the chief specification writer will need to determine the standards for the
design office master and needs to work closely with the designers as it is their final
design decisions that will be reflected in the master specification.
2.4 The project specification writer
The project specification writer mayor may not be the same person as the chief
specification writer. In any case, the project specification writer should have the design
office master at his or her disposal and will probably have assistant specification writers
in each design discipline.
However, not all design disciplines are often resident in the same design office or even
in the same firm. The project specification writer then has the added responsibility of
dealing not only with other project specification writers at the design office but also with
the project specification writers from several firms.
If there are no or inadequate national specification writing standards in the country of
a project, the project specification writer will also have to determine the standards to be
used for that project. Such an issue can be difficult to resolve as the master specifications
of some of the design offices will require costly conversion before they can be used for a
project specification.
Because the ultimate responsibility for the Tender Documents lies with the Design
Leader, the project specification writer has to work closely with the Design Leader and
those authorized to make decisions regarding products and methods of construction.
The project specification writer may also be a designer and/or authorized to make
certain product selections. The overall responsibility of the Design Leader must,
however, remain in all circumstances. These remarks apply regardless of whether or not
the Design Team is within a single design firm or from several design firms.
2.5 The document writer
Frequently, the project specification writer is not only responsible for the Specification,
but also for producing the complete set of Tender Documents. Instead, the Tender
Documents other than the Specification may be produced by the chief specification
writer or the person producing the Bill of Quantities. For UK building projects, the
latter would usually be a quantity surveyor.
The Design Leader will decide who will produce these Tender Documents outside the
Specification according to the expertise available within the design office. If necessary,
the Design Leader will co-opt another person on to the Design Team from another firm
to carry out the task.
In this guide, the person writing Tender Documents other than the Specification is
termed a document writer.
2.6 The specification writer and product selection
The project specification writer should take a full part in product selection and may be
assisted by a chief specification writer if the latter has already carried out the initial
research. The final decision to use a product or method of construction should be made
by the Design Leader because he or she is in charge of the Design Team and is the link
between it and the Employer.
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The Design Leader may not have discussed the decision with the specification writer
but will probably have discussed the product with its supplier. The only brief given to
the specification writer would therefore be the decision to use a particular product or
method of construction and the loan of a brochure from a manufacturer.
If a design firm is large enough to employ a specification writer, it would be foolish for
a Design Leader of a project to make all the product decisions without reference to that
writer. After all, the specification writer is someone who knows the functions of the
elements of construction, the products available and the manner in which they can be
described in writing in order to give minimum difficulty.
Another extreme is for the Design Leader to ignore materials and methods of
construction altogether. The specification writer is thus left with plans and a building
shape and otherwise very little information. One can criticize the Design Leader for not
taking construction materials into account so that the design is little more than a
sculpture rather than a working piece of construction. On the other hand, a basic design
such as this can be a challenge to those with a knowledge of construction to make it
constructible and function as intended.
2.7 Knowledge of a specification writer
The knowledge of a specification writer should not be limited to specification writing
practice as such. A technical knowledge of construction materials, products, systems
and construction methods has to be excellent and preferable in many design disciplines.
The specification writer also needs to know how a design project is man;lged, including
the production of all documents including drawings, and finally, needs to be constantly
aware that disputes regarding contract documents have serious legal consequences.
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Historical background to contract
documentation
3.1 Evolution of contract documentation
Contract documentation probably began many thousands of years ago as illustrated by
Noah's specification for the ark. Presumably, documentation soon became expressed in
both written and graphic form. It is, of course, only with the advent of a legal system
that the Specification became supplemented by Forms of Agreement.
The initial effort to standardize the organization of specifications grouped general
information, usually at the front of the written Tender Documents. Subsequently the
general information developed into the Conditions of Contract which became separate
from the Specification.
Recently, construction has become more complex. Consequently, both written and
graphic contract documentation have become more detailed, requiring more specialists
to produce them, but the documents, Form of Agreement, Conditions of Contract,
Specification and Drawings have remained.
3.2 Conditions of Contract
In the eighteen twenties, Conditions of Contract began to appear at the beginning of the
Specification. The conditions varied from one consultant to another and tended to
include rather more of general specification clauses than general conditions as we know
them today.
In 1870, the Royal Institution of British Architects (RIBA) and the London Builders
Society produced a Form of Contract for use in London. In 1903, a Form of Contract
was agreed between the RIBA, the Institute of Builders and the National Federation of
Building Trades Employers (NFBTE) but did not obtain general acceptance. The 1909
RIBA Form of Contract was, however, more successful. The 1928 RIBA Form of
Contract was not fully approved but the 1931 edition was fully accepted. At the same
time, the Joint Contracts Tribunal (JCT) was formed. A local authority edition was
brought out in 1937. The next edition was produced by the JCT in 1939 and came into
use in 1945. Further editions followed in 1963 and 1980.
Standard Conditions of Contract were first issued by the Institution of Civil Engi
neers (ICE) in 1945 and revised in 1950, 1951, 1955 and 1973. The sixth edition was
issued in June 1991. Also in 1991, the NEC Conditions were issued by the Institution of
Civil Engineers. These were a family of conditions with several options to cover a wider
range of circumstances than the ICE6 Conditions.
In 1984, the Association of Consultant Architects (ACA) and the British Property
Federation (BPF) brought out their Form of Building Agreement. The International
8

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Historical background to contract documentation 9
III
Federation of Consulting Engineets (FIDIC) issued the first edition of Conditions of
Contract for Works of Civil Engineering Construction in 1957. It was based upon the
fourth edition of the ICE Conditions. A section for Dredging and Reclamation Works
was added in 1969 and the fourth edition was issued in 1987.
3.3 Bill of Quantities
Bills of Quantities are arranged according to methods of measurement. Up until the
seventeenth century the normal method of measurement was on the basis of the actual
costs incurred by the builder, so there was no standard method in the modern sense. The
origins of paying according to actual amounts of completed work probably arose in
London in the building boom following the Great Fire.
Various books were written in the seventeenth and eighteenth centuries giving
guidance on measurement by authors such as William Leybourn, Stephen Primatt,
Venturus Mandley and William Hawney. In 1774, Thomas Skaife proposed that Bills of
Quantities should be prepared from designer's drawings rather than from completed
work. This practice became established by the early nineteenth century. Methods of
measurement, however, remained varied particularly between town and country, the
former being more detailed.
It was not until the second half of the nineteenth century that the practice of having a
quantity surveyor for both the Employer and Contractor gave way to a single independent
quantity surveyor. The establishment ofthe professional surveyor was further assisted by
1
1 11 the foundation ofthe Institution ofSurveyors in 1868. It obtained its royal charter in 1881.
In 1909, the Quantity Surveyor's Association published pamphlets setting out a III
method of measurement for three trades. The Surveyors Institution, the Quantity
Surveyors' Association, the National Federation of Building Trades Employers of
Ill:
Great Britain and Ireland and the Institute of Builders produced the first edition of The
Standard Method of Measurement in 1922. The second edition in 1927 was produced by

the Surveyors Institution, the NFBTE and the Institute of Builders. The third edition in
1935 was produced by the Chartered Surveyor's Institution, the NFBTE and the

Institute of Builders. The fourth and fifth editions produced in July 1948 and March
I1II
1963 were produced by the Royal Institution of Chartered Surveyors (RICS) and the
I"
NFBTE only. It was converted to metric in 1968. The sixth edition was produced by the III
III
same bodies in 1978. III
,II
In June 1979, the RICS brought out the Principles of Measurement (International)
(POMI) for international work. This method of measurement was based on the sixteen
divisions of the CSI Masterformat.
The seventh 1987 edition of The Standard Method of Measurement was prepared by
the RICS and the Building Employers Confederation (BEC).
The Institution of Civil Engineers have issued guidance on methods of measurement
since a report published in 1933. The current guidance is the third edition of Civil
Engineering Standard Method of Measurement (CESMM), published in 1991.
3.4 Specification systems
3.4.1 North America
In 1948, a group of specification writers in the United States founded the Construc
tion Specifications Institute (CSI). CSI has about 130 chapters and 19000 members
and its stated purposes are' ... the advancement of construction technology through
communication, education, research, and service. CSI serves the interests of architects,
11

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r- 10 A background to specification writing
engineers, specifiers, contractors, product manufacturers, and others in the construction
industry'.
In 1963, CSI and its Canadian counterpart, Construction Specifications Canada
(Csq, worked together to develop, publish and implement standards of practice. As
part of that effort the 16 division Masterlist of specification sections was first published
in the United States and Canada in 1963. It is used for organizing construction
specifications, construction cost estimates and as a system for filing technical data. It is
accepted and used by a large and growing majority of the construction industry in
North America.
The US and Canadian 16 division Masterlist is now published jointly in a single
document called 'Masterformat'. A close working relationship between CSI and CSC
continues to exist, most often in the form of mutual development and publication of
other technical and professional documents.
In 1961, CSI published A Tentative Proposalfor a Manual ofPractice for Specification
Writing Methods. This study eventually led to the publication of the first Manual of
Practice in 1967. In addition to the 16 division Masterformat it included a system for
organizing each section within a division into a standard three part section format and a
recommended page format. Since 1967, the CSI Manual ofPractice has been revised and
updated, first in 1975, again in 1980 and 1985, and recently in 1992.
In 1992, CSI became an international institution with chapters proposed throughout
the world.
3.4.2 United Kingdom
Specification writing standards in the United Kingdom did not exist until the Common
Arrangement was published in 1987. This standard is discussed in Chapter 15 in this
guide.
3.5 References and bibliography
William Leybourne, A Platform for Purchasers, a Guide for Builders, and a Mate for
Measurers, 1667 and 1685.
Stephen Primatt, The City and Country Purchaser and Builder, 1667.
Venturus Manley, Marrow of Measuring, 1668, 1682 and 1727.
William Hawney, The Compleat Measurer or the Whole Art ofMeasuring, 1717 and 1727.
Thomas Skaife, A Key to Civil Architecture, 1774.
H.A. Close, The Evolution of the RIBA Form of Contract, NFBTE, 1952, London.
F.M.L. Thompson, Chartered Surveyors, The Growth of a Profession, Routledge and
Kegan Paul, 1968, London.
Principles of Measurement (International) for Works of Construction, Royal Institution
of Chartered Surveyors, June 1979, (POMI). London.
Standard Form of Building Contract, Joint Contracts Tribunal, February 1980 (JCT
Conditions).
Malcolm Burrows, M Phil, ARies, Building Contracts 1750-1850, from 'Arbitration',
August 1983.
Form ofBuilding Agreement, Association of Consulting Architects and British Property
Federation, 1984, London.
Civil Engineering Standard Method of Measurement, Institution of Civil Engineers, 1991,
(CESMM3). London.
Standard Method of Measurement of Building Works, Royal Institution of Chartered
Surveyors and Building Employers Confederation, 1988, (SMM 7). London.
Conditions of Contract (International) for Works of Civil Engineering Construction, 4th
Edition, Federation Internationale des Ingenieurs-Conseils, March 1989, (FIDIC
Conditions). Lausanne, Switzerland.
Conditions of Contract for Use in Connection with Works of Civil Engineering Construc
tion, Institution of Civil Engineers, 1991, (ICE6 Conditions). London.
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4
Terminology used in contract documentation
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4.1 Introduction
We must be near the situation where it is not possible to write anything about contract
documentation for the whole construction industry because practically every construc
tion body uses different terminology. Nevertheless, the principles of construction
specification writing are universal and it is therefore quite absurd to publish many
different editions of this guide which are all identical in principle.
It is not the task of this guide to side with any particular body and so in matters of
terminology we have tried to anticipate trends. One trend is that the diversity in
terminology is increasing but another but not yet universal trend is that people and
bodies are beginning to be termed according to their function.
For example, in a civil engineering contract, the designer will usually be termed the
Engineer. He or she meets the Contractor's Site Manager on site who is also an engineer.
They both have very different functions. The Engineer could be a designer, manager,
supervisor or an adjudicator between the Employer and Contractor or all four. The
I
!
Contractor's engineer is probably supervising the construction. Contracts such as the
I
New Engineering Contract and British Property Federation are beginning to recognize III
this concept of terming people/bodies according to their function.
'I'
Another hopeful trend is that there is increasing cooperation between building and II!,
civil engineering which has hitherto been lacking in the United Kingdom and several
other countries. This guide has therefore assumed that terminology of contract docu
mentation will become more standard.
It is, however, unlikely that this guide will correctly anticipate all terms that may
become universally used in the future. Also, any set of Tender Documents has to be I
consistent in its terminology and that terminology will have to comply with the
Standard Conditions of Contract chosen for the project unless Special Conditions to the
I
contrary are included.
In the following list of terms we have therefore given the Conditions of Contract or ,
associated references in which they are quoted together with the alternative terms used'
with other Standard Conditions of Contract. Terms in upper case are generally used
throughout the guide. I
4.2 Parties I
EMPLOYER (NJCC, JCT, NEC, ICE6, FIDIC, BPF Conditions): the person
or body that commissions the construction I'
Other terms not used: Promoter (ICE Notes)
11
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CLIENT'S REPRESENTATIVE (BPF): the person appointed by the
Employer to liaise with the Design Team and Project Manager
FEASIBILITY TEAM: the team responsible for the feasibility study
DESIGN TEAM (BPF Manual): the team responsible for the production of the
Tender Documents
EMPLOYER'S DESIGNER (NEC Guidance Notes); the designer is often a
Design Team of various design disciplines under the direction of a Design
Leader
DESIGN LEADER (BPF Manual); the person who coordinates the efforts of
the Design Team. The whole of the design team is not necessarily within one
firm.
Other terms not used: Lead Designer, Design Manager
PROJECT MANAGER (NEC): the person employed directly by the Employer
to manage the construction. The Project Manager may be employed directly or
engaged as a consultant and is normally also the Employer's Designer. A
problem with this term is that a Project Manager of a single main contractor
project may be thought of as a manager of several contractors in a management
contract.
Other terms not used: Architect/Supervising Officer (JCT), Engineer (ICE6),
Client's Representative (BPF)
SUPERVISOR (NEC, BPF). The Supervisor is either the same person as the
Project Manager, works directly for him or her or is directly employed by the
Employer. The Supervisor monitors the performance of the Contractor. It is
the Contractor who is expected to supervise the Works according to most
Conditions of Contract.
Other terms not used: Engineer's Representative (ICE6, HDIC)
ADJUDICATOR (NEC, BPF): the person who gives rulings on Employer
Contractor disputes and is preferably a different person to the Project
Manager. In the JCT, ICE6 and HDIC Conditions, the Architect or Engineer
and their assistants combine the role of Designer, Project Manager, Supervisor
and Adjudicator.
Other terms not used: Architect/Engineer/Design Consultant/Supervising
Officer
CONTRACTOR (NJCC; JCT, NEC, ICE6, FIDIC, BPF Conditions); The
firm that has contracted to construct the Works.
SUBCONTRACTOR (NEC, BPF): Sub-contractor (lCE6, JCT): a firm that has
a contract with the main Contractor to provide labour, materials or products.
SUPPLIER (NEC, JCT): a person or firm supplying the Contractor with
materials or products.
ARBITRATOR (JCT, NEC, ICE6, HDIC, BPF Conditions); the Arbitrator is
the person to whom the Employer and Contractor can refer their disputes to
and be bound by the Arbitrator's decision. The Arbitrator cannot be the same
person as the Project Manager.
Documents
CONTRACT DOCUMENTATION (US construction documents): Pre
qualification, Tender and Contract Documents collectively. This term includes
all documents prepared by the Design Team.
INVITATION TO TENDER: We have taken this term to mean a request to
to the alternative definition of a request to selected tenderers to submit a tender
based upon Tender Documents accompanying the Invitation.
Other terms not used: Preliminary Invitation to Tender: NJCC uses this term
instead of Invitation to Tenderers to differentiate it from the Formal Invita
Documents. BPF also uses this term.
PREQUALIFICATION DOCUMENTS: Prequalification Documents
selection of list of tenderers.
potential tenderers to ascertain whether or not they wish to tender as opposed
Terminology in contract documentation 13
tion to Tenderers also used by NJCC to des,cribe Introduction to Tender
exchanged between the Employer/Designer and potential tenderers prior to
the selected tenderers to enable them to price the construction. In some NEC
Introduction to Tender Documents
Instructions to Tenderers
Non-contractual information given to Tenderers.
Blank Form of Tender and blank Bill of Quantities
to Tender includes a large amount of information with several functions, e.g.
Contract Document as it does not include matters of concern after Acceptance
Other terms not used:
Formal Invitation to Tender (NJCC)
Invitation to Tender (Form 5 in BPF Manual)
Letter of Invitation to Tender (HDIC Tendering Procedures, HDIC
Guide)
INSTRUCTIONS TO TENDERERS (ICE Procedures, HDIC Tendering
Supplementary Information for Tenderers (BPF Manual includes this
document within the Invitation to Tenderers package).
Information data (FIDIC Tendering Procedures, HDIC Guide)
Information available for tenderers (CSI)
includes the following:
TENDER DOCUMENTS (JCT, NEC, BPF Manual): the documents sent to
literature, these documents appear to be termed the Invitation to Tender.
Other terms not used: Enquiry Documents (HDIC Tendering Procedures)
TENDERING REQUIREMENTS (US Bidding Requirements). We have used
this term when referring collectively to:
In this guide, we have excluded the Form of Tender from this definition as that
document can be a Contract Document while both the Introduction to Tender
Documents and Instructions to Tenderers are not.
Other terms not used: Invitation to Tender (BPF Manual). BPF's Invitation
Instructions to Tenderers and Site Information.
INTRODUCTION TO TENDER DOCUMENTS: If all the Tender Docu
ments are being sent to a tenderer, that tenderer would almost certainly have
already agreed to tender. This document is therefore not really an invitation but
merely introduces and lists the Tender Documents. The document is not a
ofa Tender.
Procedures). The term is self-explanatory but only covers procedures up to
Acceptance of Tender. For that reason, it is not a Contract Document.
Infonnation given to tenderers (lCE6 Conditions) (covered by CAWS Al2 and
A35)
Traditionally this document which is not normally a Contract Document
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Site Infonnation
Soils infonnation
Survey infonnation of existing land and buildings
Employer's restrictions
Method of operation
Sequence of operations
Timing of specific operations including commencement and completion
Most Site Infonnation affects the Contractor's costs and must be included in
the Contract Documents and not included in this document. Other information
such as directions to the site and availability of keys should be placed in
Instructions to Tenderers.
As Infonnation given to Tenderers is a Tender Document and not a Contract
Document, the only infonnation in this document that should be included is
preferences by the Employer, which are not mandatory.
SITE INFORMATION (NEC Conditions, covered by CAWS AI2). This
document traditionally includes soils and survey information. This document is
quoted as a Contract Document in its own right in the NEC system. Such
infonnation given to tenderers may affect their Tenders. If the information is
incorrect, it would be unfair if the Contractor was not allowed to claim
compensation. Site Information should therefore be included as a Contract
Document or part of one and not discarded with the Tender Requirements at
Acceptance.
In the BPF system, Site Infonnation is included in 'Supplementary Infor
mation for Tenderers' (BPF Manual) which is attached to the Invitation to
Tender, which is not a Contract Document in the BPF Agreement.
TENDER (JCT, NEC): the documents that have been completed by a tenderer
and are then returned to the Employer for consideration.
Other tenns not used:
Bid: US equivalent to Tender. This guide deals primarily with the written
word and the word 'Bid' in UK English tends to be used to describe both
verbal and written offers.
Offer: another alternative to Tender not nonnally used in contract
documentation for the same reason as Bid.
FORM OF TENDER (NJCC; NEC, ICE6, FIDIC, BPF Conditions)
The Appendix. The word Appendix on its own has little meaning. It is essential
to say to what an Appendix is appended. Also, when completing an Appendix,
it is essential to realize its function. It is often the Employer's Special Con
ditions such as the programme requirements and/or information required by
the Employer from the tenderers. It can be an attachment to the Conditions of
Contract (JCT Conditions) or the Form of Tender (ICE6 Conditions).
The BPF Manual appends an Appendix to the Invitation to Tender. If the
Invitation to Tender is not a Contract Document, any Employer's Conditions
attached to the Invitation must be repeated in a Contract Document.
The NEC Conditions use the term Schedule of Contract Data which is
properly divided into its constituent parts, i.e. data provided by the Employer
and data submitted by the Contractor with a Tender. It should be noted that
the two parts have very different functions.
Other tenns used: Schedule of Contract Data (NEC)
APPENDIX TO FORM OF TENDER (ICE Conditions): a list ofinfonnation
required by the Employer from the tenderers to be included in a Tender
BILL OF QUANTITIES (NEC, ICE6, FIDIC Conditions)<Civil engineers and
designers using the FIDIC Conditions use the tenn Bill of Quantities and UK
building designers use the tenn Bills of Quantities. It is therefore difficult to
choose one term or the other without being accused of bias towards a particular
part of the UK construction industry. There is little advantage in using one
term over the other as far as clarity is concerned. However, Schedule of
Activities, Specification (although Specifications in the United States),
Schedule of Rates and Schedule of Work are all singular. The term Bills of
Quantities is therefore the odd term out.
Other tenns not used: Bills of Quantities (JCT, BPF Conditions)
CONTRACT DOCUMENTS (JCT, NEC, ICE6, FIDIC, BPF Conditions).
These are usually listed in one of such documents
STANDARD CONDITIONS OF CONTRACT (NEC Guidance): Published
Conditions of Contract
Other terms not used: Standard Articles of Agreement
GENERAL CONDITIONS OF CONTRACT: core clauses of a Standard
SUPPLEMENTARY CONDITIONS OF CONTRACT: optional clauses in a
Standard Conditions of Contract selected but not written by the Employer/
Design Team
SPECIAL CONDITIONS OF CONTRACT (NEC, ICE6): conditions
amended or added by the Employer/Design Team to the standard Conditions
of Contract
Appendix to Conditions of Contract. (JCT Conditions): a list of conditions
required by the Employer for a particular project
CONTRACT: the binding Agreement between the Employer and Contractor.
With the inference that the Fonn of Agreement is the document that binds
together all the Contract Documents. With the BPF Conditions the Form
of Agreement is continuous with a following standard Conditions of Contract
fonning one document tenned the Agreement.
Other tenns used: Agreement (BPF Conditions)
LETTER OF ACCEPTANCE (CE Procedures, FIDIC):
If an Employer accepts a Tender he or she is committed to that Tender whether
or not that Acceptance is followed by a fonnal Agreement.
Other tenns not used: Written Acceptance (lCE6)
FORM OF AGREEMENT (lCE6): the fonn signed by the Employer and
Contractor referring to and binding the Contract Documents into a Contract.
Other tenns not used: Articles of Agreement (JCT Conditions)
BOND: a contract for a party to pay a sum of money in specified circumstances,
usually a default. The most common type of bond is the Performance Bond.
SCHEDULE OF ACTIVITIES (BPF). The tenn Schedule of Activities
emerged first and is therefore more familiar.
Other tenns not used: Activities schedule (NEC)
SPECIFICATION (JCT without Bills, NEC, ICE6, FIDIC, BPF Conditions)
Other tenns not used: Specifications (CSI)
DRAWINGS: Graphic Tender and Contract Documents. Do not use the term
plans to describe all drawings, as they usually include sections, elevations and
details.
Works Infonnation (NEC): a collective tenn used by NEC to potentially
include:
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Site Information
Soils information '!\W'"IL'''II
Survey information of existing land and buildings
Employer's restrictions
Method of operation
Sequence of operations
Timing of specific operations including commencement and completion
Most Site Information affects the Contractor's costs and must be included in
the Contract Documents and not included in this document. Other information
such as directions to the site and availability of keys should be placed in
Instructions to Tenderers.
As Information given to Tenderers is a Tender Document and not a Contract
Document, the only information in this document that should be included is
preferences by the Employer, which are not mandatory.
SITE INFORMATION (NEC Conditions, covered by CAWS AI2). This
document traditionally includes soils and survey information. This document is
quoted as a Contract Document in its own right in the NEC system. Such
information given to tenderers may affect their Tenders. If the information is
incorrect, it would be unfair if the Contractor was not allowed to claim
compensation. Site Information should therefore be included as a Contract
Document or part of one and not discarded with the Tender Requirements at
Acceptance.
In the BPF system, Site Information is included in 'Supplementary Infor
mation for Tenderers' (BPF Manual) which is attached to the Invitation to
Tender, which is not a Contract Document in the BPF Agreement.
TENDER (JCT, NEC): the documents that have been completed by a tenderer
and are then returned to the Employer for consideration.
Bid: US equivalent to Tender. This guide deals primarily with the written
word and the word 'Bid' in UK English tends to be used to describe both
verbal and written offers.
Offer: another alternative to Tender not normally used in contract
documentation for the same reason as Bid.
FORM OF TENDER (NJCC; NEC, ICE6, HDIC, BPF Conditions)
The Appendix. The word Appendix on its own has little meaning. It is essential
to say to what an Appendix is appended. Also, when completing an Appendix,
it is essential to realize its function. It is often the Employer's Special Con
ditions such as the programme requirements and/or information required by
the Employer from the tenderers. It can be an attachment to the Conditions of
Contract (JCT Conditions) or the Form of Tender (ICE6 Conditions).
The BPF Manual appends an Appendix to the Invitation to Tender. If the
Invitation to Tender is not a Contract Document, any Employer's Conditions
attached to the Invitation must be repeated in a Contract Document.
The NEC Conditions use the term Schedule of Contract Data which is
properly divided into its constituent parts, i.e. data provided by the Employer
and data submitted by the Contractor with a Tender. It should be noted that
the two parts have very different functions.
Other terms used: Schedule of Contract Data (NEC)
APPENDIX TO FORM OF TENDER (ICE Conditions): a list of information
required by the Employer from the tenderers to be included in a Tender
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BILL OF QUANTITIES (NEC, ICE6, FIDIC Conditions). Civil engineers and
designers using the HDIC Conditions use the term Bill of Quantities and UK
building designers use the term Bills of Quantities. It is therefore difficult to
choose one term or the other without being accused of bias towards a particular
part of the UK construction industry. There is little advantage in using one
term over the other as far as clarity is concerned. However, Schedule of
Activities, Specification (although Specifications in the United States),
Schedule of Rates and Schedule of Work are all singular. The term Bills of
Quantities is therefore the odd term out.
Other terms not used: Bills of Quantities (JCT, BPF Conditions)
CONTRACT DOCUMENTS (JCT, NEC, ICE6, FIDIC, BPF Conditions).
These are usually listed in one of such documents
STANDARD CONDITIONS OF CONTRACT (NEC Guidance): Published
Other terms not used: Standard Articles of Agreement
GENERAL CONDITIONS OF CONTRACT: core clauses of a Standard
SUPPLEMENTARY CONDITIONS OF CONTRACT: optional clauses in a
Standard Conditions of Contract selected but not written by the Employer/
Design Team
SPECIAL CONDITIONS OF CONTRACT (NEC, ICE6): conditions
amended or added by the Employer/Design Team to the standard Conditions
of Contract
Appendix to Conditions of Contract. (JCT Conditions): a list of conditions
required by the Employer for a particular project
CONTRACT: the binding Agreement between the Employer and Contractor.
With the inference that the Form of Agreement is the document that binds
together all the Contract Documents. With the BPF Conditions the Form
of Agreement is continuous with a following standard Conditions of Contract
forming one document termed the Agreement.
Other terms used: Agreement (BPF Conditions)
LETTER OF ACCEPTANCE (CE Procedures, FIDIC):
If an Employer accepts a Tender he or she is committed to that Tender whether
or not that Acceptance is followed by a formal Agreement.
Other terms not used: Written Acceptance (lCE6)
FORM OF AGREEMENT (lCE6): the form signed by the Employer and
Contractor referring to and binding the Contract Documents into a Contract.
Other terms not used: Articles of Agreement (JCT Conditions)
BOND: a contract for a party to pay a sum of money in specified circumstances,
usuaIIy a default. The most common type of bond is the Performance Bond.
SCHEDULE OF ACTIVITIES (BPF). The term Schedule of Activities
emerged first and is therefore more familiar.
Other terms not used: Activities schedule (NEC)
SPECIFICATION (JCT without Bills, NEC, ICE6, FIDIC, BPF Conditions)
Other terms not used: Specifications (CSI)
DRAWINGS: Graphic Tender and Contract Documents. Do not use the term
plans to describe all drawings, as they usually include sections, elevations and
details.
Works Information (NEC): a collective term used by NEC to potentially
include:
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Description of works
Site area
Drawings
Specification
ADDENDA: changes to Tender Documents after they have been sent to the
tenderers and prior to Acceptance
VARIATION ORDER: Project Manager's order for alterations, additions and
omissions to the Works
Other terms not used: Change Order (USA)
4.4 Finance
TENDER PRICE (NJCe)
Other terms not used: Tender Amount (NEe), Tender Total (ICE6, FIDle),
Total Tender Lump Sum (BPF Conditions)
CONTRACT SUM (JCT, NEC, BPF Conditions). The term Contract Sum has
been used as the number of Conditions of Contract quoting the term are in the
majority.
Other terms not used: Contract Price (CE Proc., ICE6, FIDIC Conditions):
COMPENSATION EVENTS (NEe): event warranting compensation to the
Contractor.
INTERIM CERTIFICATE/PAYMENT (JCT, ICE6, BPF Conditions). The
term 'Stage payment' is used only when payment will not be made until certain
activities have been completed by the Contractor. The term 'Monthly payment'
is not used as payments are not necessarily monthly.
FINAL CERTIFICATE/PAYMENT (JCT, NEC, ICE6, BPF Conditions)
4.5 Programme
Starting date (NEe), Works Commencement Date (lCE6)
Completion date (JCT, NEC Conditions), Date for Completion (JCT)
Handover (NEe), Taking-over (BPF Conditions)
DEFECTS CORRECTION PERIOD (NEC, ICE6). Correction is a stronger
term than making good. The term Maintenance does not cover wear due to
Employer's use and is therefore misleading.
Other terms not used: Defects liability period (JCT, FIDle), Maintenance
Period (BPF).
DEFECTS CORRECTION CERTIFICATE (NEC, ICE6 Conditions)
Other terms not used: Certificate of making good defects (JCT), Defects
liability certificate (FIDle)
COMPLETION (NEC, FIDle). The term 'Completion' has been used as it is
simpler than the alternatives and the meaning can be understood by users of
all Conditions of Contract. The Completion commences the Defects Correc
tion Period. Completion infers that the Works are ready for use by the
Employer.
Other terms not used: Practical Completion (JCT Conditions), Substantial
Completion (ICE6)
Contract Period (BPF Manual), Time for Completion (lCE6 Conditions)
expressed in weeks

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4.6 Specification terms
MASTERLIST: abbreviation of 'Master list of numbers and titles of construc
tion specification sections'. Examples are the BPIC Common Arrangement and
the CSI Masterformat.
Ideally, there should be related lists for measurement, product data, perform
ance specifications for complete projects and technical information.
DIVISION. The master list of specification sections termed in this standard as
the Masterlist is divided into divisions, each representing a number of related
sections. These divisions form the basic framework of a project specification.
Division titles and numbers are standard and do not change for particular
projects. The division titles appear in the Table of Contents of the Tender
Documents and should not be repeated in the specification headings. Section
numbers should begin with the division number.
Other terms not used except when specifically referring to CAWS: Group
SECTION: a portion ofa project specification covering one portion of the total
work or requirements. Individual sections dealing with related items are
grouped together under the standard divisions of the Masterlist. Sections are
included in the Tender Documents as required.
Sections of the General Requirements of the Masterlist should include
administration, procedures and temporary facilities. Sections in the other
divisions include specific requirements for units of work.
Other terms not used: Work section (BPle)
TECHNICAL SPECIFICATION: the Specification other than the General
Requirements
PART: group of related clauses in a specification section
CLAUSE: group of related paragraphs describing a particular requirement of a
work item
GENERAL REQUIREMENTS (CSI, POMI). This is the general division of a
Specification containing requirements applicable to all other divisions
Other terms not used: Preliminaries (BPIC, PSA)
4.7 Abbreviations of organizations
".7.1 International
ISO: International Standards Organization
CEN: European Committee for Standardization
FIDIC: Federation Internationale des Ingenieurs-Conseils
".7.2 United Kingdom
JCT: Joint Contracts Tribunal
NJCC: National Joint Consultative Committee for Building
ICE: Institution of Civil Engineers
BPF: British Property Federation
BSI: British Standards Institution
PSA: Property Services Agency
RIBA: Royal Institution of British Architects
RICS: Royal Institution of Chartered Surveyors
BEF: Building Employer's Federation

ACE: Association of Consulting Engineers
'I,.,
4.7.3 United States of America
CSI: Construction Specifications Institute Part 2
4.7.4 Canada
The Construction Documents
CSC: Construction Specifications Canada
NJCC Code of Procedure for Single Stage Selective Tendering, 1977, London.
JCT Standard Form ofContract with Quantities, Private Edition, 1980 (JCT Conditions).
London.
FIDIC Tendering Procedure, 1982, Lausanne, Switzerland.
Manual of the BPF System, BPF, 1983 (BPF Manual). London.
ACA Form ofBuilding Agreement, British Property Federation, 1984, (BPF Conditions).
London.
ICE Civil Engineering Procedure, Thomas Telford, 1986, (CE Procedure). London.
Conditions of Contract (International) for Works of Civil Engineering Construction,
FIDlC, 1987 (FIDIC Conditions). Lausanne, Switzerland.
Guide to the use of FIDIC Conditions of Contract for Works of Civil Engineering
Construction, FIDIC, 1989, (FIDIC Guide). Lausanne, Switzerland.
Vincent Powell-Smith and David Chappell, A Building Contract Dictionary, Legal
Studies and Services (Publishing) Ltd. 2nd Edition, 1990. London.
ICE Conditions of Contract, 6th Edition, Thomas Telford, 1991, (lCE6 Conditions).
London.
The New Engineering Contract, Institution of Civil Engineers, Thomas Telford, 1993,
(NEC Conditions). London.
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Contract documentation and Contracts
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5.1 Contract documentation
5.1.1 Communication packages
There will be a number of communications to and from various parties prior to
construction. A typical but not exhaustive list of communications is as follows:
Prequalification stage
Invitation from Employer/Design Team to potential tenderers
Replies from potential tenderers
Prequalification Documents from Employer/Design Team to potential ten
derers
Reply to Prequalification Documents from potential tenderers
Acceptance of list of tenderers by Employer
Tender stage
Tender Documents from Employer/Design Team to tenderers
Addenda to Tender Documents to tenderers
Tenders from tenderers to Employer/Design Team
'\
Acceptance and Agreement
Acceptance of successful Tender by Employer
Signing of fonnal Agreement
Post Acceptance procedures
Submission by Contractor of further documents required under the Contract
S.1.2 Types of information
There are various types of infonnation contained in the above communication events.
The core of some of the infonnation packages is the technical description of the
construction required by the Employer. Other parts of the communications are proce
dural and tend to be different for each communication. Some of these in tum are
financial and some are not.

21

22 The construction documents
The technical core of these packages consists of the Specification and drawings, It is
included in the package sent to the tenderers selected by the Employer, which we have
defined as the Tender Documents. The reply to this package is the Tender. This includes
the Tender Price, but by reference includes the technical package because that is what
the Tender Price is based upon. Upon Acceptance by the Employer, the documents on
which the construction is to be based are the Contract Documents. These include the
technical core as well as the Tender Price which becomes the Contract Sum and also the
Acceptance and/or Agreement.
The prequalification stage is principally procedural with no prices submitted. The
Employer/Design Team and potential tenderers inform each other about themselves
and the project. If there is no prequalification stage, some of this communication will
occur in the tender stage.
The most important financial communication is the Tender Price itself and its
substantiation. This substantiation can be in the form of Bills of Quantities, Schedules
of Activities and Schedules of Rates.
5.1.3 Definition: contract documentation
We will term the collective name of the documents in all these communications as
contract documentation. Most of the documents contained within the communications
have names established by the industry and the professional institutions in particular. In
Part 2 of this guide we shall be discussing each document, its function and its relation
ship with other documents. We shall be stressing the importance of each communication
being both complete and without repetition. The principle of 'Say it once only' will be
repeated many times throughout this guide. This requires a discipline for those prepar
ing contract documentation to place the right information in the right document
according to its function.
5.2 Prequalification Documents
The purpose of the prequalification stage is to ensure that the tenderers will have the
necessary constructional and financial ability to execute the Works. The Prequalifica
tion Documents both give information to potential tenderers and request information
\
from them.
5.3 Tendering Requirements
Tendering Requirements state the procedures that all Tenderers have to follow in
preparing and submitting their tenders. Good Tendering Requirements should be
written in order to minimize the possibility of tenderers being disqualified because of
technicalities. Even though they are not Contract Documents, the Tendering Require
ments are often bound with them to make up the Tender Documents. The Tendering
Requirements typically include the following:
Introduction to Tender Documents
Instructions to Tenderers
Tender Bond Form, if required
Form of Tender
Contact documentation and contracts 23
5.4 Contract Documents
5.4.1 Introduction
The Contract Documents define the materials and products and how they are installed
together wi th all the management procedures. Theycontain all the documents necessary to
define the Works for construction and are binding on both the Employer and Contractor.
In this guide the term contract documentation includes all the following categories of
documents:
1. Contract Documents listed as such in the Conditions of Contract, Form of
Agreement or Schedule of Contract Data provided by the Employer. These
include:
Form of Tender completed by the Contractor (with ICE6, FIDIC but not
JCT or BPF Conditions)
Supplements to completed Form of Tender
Bill of Quantities (with JCT, NEC, ICE6 and FIDIC Conditions)
Schedule of Activities (with NEC and BPF Conditions)
Appendix to Form of Tender completed by Contractor
.J
Letter of Acceptance (with ICE6 and FIDIC, not JCT or BPF Conditions)
Form of Agreement (if required)
Standard Conditions
General Conditions
Supplementary Conditions
Special Conditions for project
Appendix to Agreement or Conditions
Specification
Drawings
Addenda to Tender Documents for documents above
2. Documents not in the above list but referred to in the Conditions of Contract
but not in existence at the time of Acceptance are binding documents but are
not Contract Documents. These include:
Bonds
Insurances
Certificates of Completion
3. Documents not referred to at all in the Conditions of Contract but in existence
at the time of the Acceptance/Agreement. These may be binding if agreed as
such. These include:
List of subcontractors
Programme (if not in Schedule of Activities)
Construction sequence
Schedule of resources
Schedule of Rates
4. Documents arising after Acceptance but not required by the Conditions of
Contract. Such documents are not Contract Documents but are binding. These
include:
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Contract modifications
Variation Orders
Site instructions
Method statements (if not given at Tender)
The term Contract Documents is usually restricted to those quoted in the Form of
Agreement/Conditions of Contract/Schedule of Contract Data. Documents that are not
termed Contract Documents by the body issuing the Conditions of Contract will be
either binding if agreed as such by the Employer and Contractor or merely contract
documentation if they are not binding.
5.4.2 Form of Tender
There are two schools of thought as to whether or not the Form of Tender is part of the
Tendering Requirements or is a Contract Document.
For the ICE6 and FIDIC Conditions, the Form of Tender is a Contract Document
and the Form of Agreement does not state the Contract Sum as it is assumed to be the
Tender Price stated in the completed Form of Tender.
For the JCT and BPF Conditions, the Form of Tender is not a Contract Document as
it is superseded by the Form of Agreement which states the Contract Sum.
5.4.3 Supplements to Form of Tender
UK and FIDIC Conditions usually specifically name one or more of the Bill of
Quantities, Schedule of Activities or Schedule of Rates as a Contract Document.
Non-financial Contractor's statements accompanying the completed Form of Tender
are often attached to the Form of Agreement because otherwise they would have little
point.
5.4.4 Letter of Acceptance and Form of Agreement
l. Letter of Acceptance: written acceptance of a Tender by the Employer. It may
be superseded by a formal Agreement.
2. Form of Agreement: the written document signed by the Employer and the
Contractor which is the legal instrument binding the parties to the work. The
\
Agreement defines the relationships and obligations existing between the
Employer and Contractor. By reference it incorporates the other Contract
Documents listed above.
See Chapter 8 in this guide.
5.4.5 Conditions of Contract
Conditions of Contract define the basic rights, responsibilities and relationships of the
parties involved in the construction. Conditions of Contract can be classified as follows:
I. Standard Conditions. Such Conditions are issued by a body recognized by the
industry. They consist of General and Supplementary Conditions:
General Conditions: These are core clauses that are generally applicable to
most projects.
Supplementary Conditions. These are optional clauses required for a par
ticular project.
2. Special Conditions are written specially for the project.
5.4.6 Documents completed after Acceptance of Tender
Some Contracts require the Employer and Contractor to both sign an Agreement
that refers to the other Contract Documents. Some Standard Conditions include
forms for bonds and certificates as Contract Documents. They are different from
other forms required by the Tendering Requirements or the Conditions of Contract
in that they are not completed by the Contractor until after Acceptance. The blank
forms are sometimes bound with the Agreement and Conditions of Contract. For
example, the Performance Bond form follows the Form of Agreement with the ICE6
Conditions. Examples of bonds and certificates are as follows:
1. Performance Bond. This provides financial protection for the Employer
should the Contractor not complete the work in accordance with the Con
tract Documents.
2. Certificates. The most common certificate is a Certificate of Insurance. Other
certificates tend to be those for compliance with a specific standard.
See Chapters to and II in this guide.
5.4.7 Specification
The Specification describes the required materials and products including their
quality and workmanship.
5.4.8 Drawings
Drawings describe the Works graphically, including the materials, sizes, shapes,
positions and connections. The degree of detail depends chiefly on whether or not the
Contractor has design responsibilities. Drawings may also include schedules when
they are not included in the Specification.
Note that Table 5.1 gives lists of drawings as documents outside the Specification.
Some specifiers prefer to place such lists in the General Requirements.
5.4.9 Addenda to Tender Documents
Addenda are changes made to the Tender Documents during the tender period. They
are used to add, delete or change any of the Tender Documents.
5.4.10 Variation Orders
After Acceptance any additions, deletions or modifications to the Contract Docu
ments should be accomplished by Variation Order. Conditions of Contract often
specifically include modifications to the Contract Documents. While the ICE6 and
FIDIC Conditions do not list the modifications as an item, the definitions of the
'Specification' and 'Drawings' include 'any modification' (ICE6 l.l and FIDIC l.l)
",
Table 5.1. Suggested arrangement of contract documentation
5.5 Arrangement of written contract documentation
Prequalification
00010 Prequalification Documents
Introductory pages
00001 Cover page
00002 Title page
00003 Table of contents
00005 Drawing lists and schedules (if not in General Requirements)
List of drawings
Schedules and tables
Details
The Tender Documents comprise all the written and graphical documents sent to
tenderers for the purpose of tendering. These include both Tendering Requirements and
documents that will become Contract Documents when completed by the Employer and
Contractor.
It is important to realize that the written Tender Documents include several docu
ments and not merely the Specification. Any guide for the preparation of specifications
would be seriously inadequate if it dealt with specifications alone as the Specification is
Tendering requirements
00100 Introduction to Tender Documents
00100 Instructions to Tenderers
00120 Supplementary instructions
00130 Pre-tender meetings
00150 Tender security form
00200 Information given to tenderers
00210 Non-contractual preliminary construction schedule
00220 Non-contractual site information
00230 Blank Form of Tender
00240 Blank Bi1I of Quantities
00250 Blank Schedule of Rates
00270 Schedule of Works
Completed Forms of Tender
00300 Form of Tender
only one document in a set of related documents.
For example, the documents entitled Tendering Requirements and Conditions of Con
tract are Tender Documents but are not part of the Specification: Usually, they are pre
pared by the Design Team in close coordination with the Employer. For Design Team
coordination and ease of use, it is best for document titles and their arrangement to be the
same for every project. A suggested order for arranging the documents is shown in Table
5.1. Not all documents will be required for every project. For example, many projects will
not require Prequalification Documents. Also, Standard Conditions of Contract are
often bound with other documents such as the Agreement and there is yet no UK agree
ment on the order of such bound documents for the whole construction industry.
Table 5.1 expresses the view that all financial submissions by tenderers are in the same
00400
00410
00420
Supplements to Forms of Tender
Completed Bill of Quantities
Schedule of Activities
category termed 'Completed Forms of Tender'. The terms Tender Documents and
Contract Documents are not used because in the United Kingdom the Form of Tender
00430
00440
Completed Schedule of Rates
List of Subcontractors
is not always a Contract Document.
00450 Tenderer's construction programme
Acceptance and Agreement
00500 Letter of Intent
5.6 Design and construction participants
00520
00550
Letter of Acceptance
Form of Agreement 5.6.1 Introduction
00600 Standard Conditions
The number of participants depends on the complexity of a project. A very simple
00601
00620
00650
00700
00710
General Conditions
Supplementary Conditions
Contract Data provided by Employer
Special conditions
Modifications to Standard Conditions
project may require a single Agreement between an Employer and Contractor. Most
projects require a Design Team also, which usually provides a Project Manager to
manage the project on site.
00720 Additional clauses
\
00730 Contract Data provided by Employer
Documents submitted to employer after Acceptance
00800 Bonds
00820 Insurance certificates
00850 Certificates of compliance with statutory requirements
5.6.2 Employer
It is the Employer who engages, makes an Agreement with and pays a Design Team and
a Contractor to design and to construct the Works. The Employer may be an individual
Addenda to Tender Documents
or an organization, in the private sector or in the public sector.
00900
General requirements (Part of Specification)
01000 (CAWS A)
Site Information
Geotechnical data
Existing conditions
Description of existing site
Description of existing buildings
Property survey
Employer's restrictions on construction programme
Technical Specification
02000+ (CAWS Groups B-Z, CSI Divisions 2-16)
The Contractor is the person or body that agrees with the Employer to construct the
Works. For small projects, the Contractor may be a single organization but usually
much of the work is subcontracted to specialist subcontractors. The Contractor retains
the overall responsibility for the construction but specialist subcontractors and sup
pliers may be nominated by the Employer.
5.6.3 Contractor
Preferably non-mandatory. Place mandatory requirements in the General Requirements.
5.6.4 Client's Representative
The Employer may wish to appoint a consultant Client's Representative to manage the
project on his or her behalf. The Client's Representative can then advise the Employer
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on which type of contract is required and which Design Team should be appointed. The
Client's Representative may be responsible for some tasks usually carried out by the
Design Team.
The Client's Representative may also be a member of the Employer's staff appointed
to liaise with a Design Leader.
5.6.5 Feasibility Team
Before a Design Team has been appointed, an Employer may wish to have a feasibility
study carried out. The team carrying out the study may include future members of the
Design Team, but not necessarily so. It will also include financial advisors.
5.6.6 Design Team and Design Leader
The Design Team usually consists of designers from several disciplines. This work needs
to be coordinated by a Design Leader. The Design Leader will liaise with the Client's
Representative to ensure the efficient exchange of information between the Employer
and the Design Team.
With building projects, the Design Team is often drawn from separate design
consultants such as architects, quantity surveyors, structural engineers and building
services engineers. The Design Leader is usually an architect. In the United Kingdom,
the design consultants are usually appointed separately by the Employer but in many
countries, the consultancy of the Design Leader employs the other consultants.
With civil engineering projects, the Design Leader is, of course, a civil engineer, who
usually works for a consulting engineering firm. The civil engineering firm may some
times employ the services of other consultants such as landscape architects and interior
designers.
5.6.7 Project Manager
This is the person appointed by the Employer to manage the construction. The Project
Manager is not neces$arily a member of the Design Team.
5.6.8 Quantity Surveyor
This is a professional surveyor specializing in measurement and valuation of construc
tion. The Quantity Surveyor may be part of a Design Team preparing contract documen
tation or advising a Contractor.
In UK building projects, the Quantity Surveyor is the person appointed to prepare
the Bill of Quantities and measure the construction on behalf of the Employer, and is
specifically named in the JCT Conditions.
5.6.9 Supervisor
The Supervisor checks that the Contractor is constructing the project in accordance
with the Contract Documents and is responsible to the Project Manager.
5.6.10 Adjudicator
This is the person nominated by the Employer to handle disputes between the Employer
and Contractor. The role has traditionally been combined with that of the Project
Manager but the NEC Contracts allow for their separation.
5.7 Construction contracts
5.7.1 Type of contract
Types of contract in this section indicate the relationships between the parties partici
pating in the construction rather than how the construction is measured or paid for.
5.7.2 Traditional contract
Contractual relationships between parties
With the traditional contract, the Employer appoints a single Contractor, who may be a
Management Contractor subcontracting all the construction or may employ his or her
own construction workers. The Contractor will enter into contracts with all sub
contractors. Except where nominated by the Employer, the Contractor is free to choose
the subcontractors. The Employer will have already appointed a Design Team co
ordinated by a Design Leader.
There is thus a contractual relationship between the Employer and Contractor and
also between the Employer and one or more design organizations forming the Design
Team. The Design Team does not have a contract with the Contractor in this type of
contract.
Figure
contract.
5.1 illustrates the contractual and organizational links in a traditional
Feasibility
Team
Feasibility
study
contract
Employer
Letters of Intent
Design
Team
Design
contract{s)
Construction
contract
Main Contractor
or
Management Contractor
I
--- Contractual
Subsubcontractor - - - Organizational
Figure 5.1 Traditional contract.
Construction
contract
Construction Contractors
Employer
Design
Team
Design
contract(s)
--- Contractual
- - - Organizational
Figure 5.2 Management contract.
5.7.4 Construction management contract
Introduction
Feasibility
Team
Selection of Management Contractor
The Management Contractor charges a fee which is usually a percentage of actual
construction costs. Different management contractors may tender various percentage
fees. It is, however, more usual that the Management Contractor is selected because of
his or her reputation.
The Management Contractor has separate contracts with each of the works contract
ors but usually the Employer has to approve each contract before Acceptance.
Figure 5.2 illustrates the contractual and organizational links in a management
contract.
Feasibility
study
contract
Management of construction
This is done by the Management Contractor in the usual way. The Design Team should
remain responsible for the adequacy for the Specification, even though some product
decisions may be influenced by the Management Contractor. As the Management
Contractor will appoint a person to dispatch parts of the Specification to different
construction contractors, it may be appropriate for that person to be defined as the
Project Manager. Nevertheless, the Management Contractor will depend on the Design
Team to advise on the acceptable quality of the work.
In such a contract, the Employer appoints a Construction Manager as an added
participant in the process. The Construction Manager is employed by the Employer to
oversee and administer the project. Usually the Construction Manager will not perform
any of the construction work. However, a contractor can serve as Construction
Manager and may perform portions of the construction. Construction Management
Management contract
Contractual relationships
With management contracting, the Employer employs a single Management Con
tractor. The Management Contractor is appointed before product selections have been
finalized by the Design Team. The Contractor assists the Design Team to finalize the
Contract Documents and is therefore part of the Design Team. The Design Team is
directly appointed by the Employer.
Management of construction
The Project Manager's authority has to be accurately defined and explained in the
Contract Documents. Some Standard Conditions merely refer to the Architect or
Engineer. It is preferable if the Project Manager who is the actual person responsible for
the construction is named either in the Contract Documents or in an attachment. The
Project Manager may be the Design Leader or another person appointed by the Design
Leader or by the Employer. The Project Manager is not necessarily resident on site but
may have assistants who are.
The Design Team and the Employer should communicate through the Project
Manager to the Contractor. Any specification sections prepared by the Design Team
reflect this relationship. For example, only the Project Manager should be
designated to receive the Contractor's submissions.
Neither the Employer nor the Project Manager has a contractual relationship with
suppliers, subcontractors or sub-subcontractors. Communication with these entities
must always be through the Contractor. The project Specification should not be directed
or addressed to subcontractors or to suppliers. It should also be noted that tenderers are
not under contract to the Employer. Their only obligation is the Tender Bond. For this
reason, Tendering Requirements are not designated as Contract Documents.
The single contract is the most common method of construction contracting on less
complex projects. It is usually the simplest to administer. With the centralization of
responsibility, one Employer, one Contractor and one Construction Contract, there is
reasonable assurance that the project will be completed on programme and without
coordination problems. Even though the Contractor may divide the work into sub
contracts, the Contractor remains responsible for all of the work needed to fulfil the
Contract. The lines of responsibility to the Employer must be clearly defined.
Selection of Contractor
This type of contract usually involves competitive tendering. In this process the Tender
Documents are prepared by the Design Team for the Employer and made available to a
number of tenderers suitably qualified to construct the project. Each tenderer deter
mines the price for which the project can be built. These tenders are submitted to the
Employer. After analysis of the various tenders by the Design Team, the Employer
selects a Contractor, usually the lowest tenderer, to construct the project. The selected
Contractor and the Employer enter into the Agreement formalizing their relationship
and the obligations they have to each other. The Contractor then constructs the project
in accordance with the Contract Documents.
The construction documents
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Feasibility
Team
Feasibility
study
contract
Employer
Design
contract(s)
Construction
management
Contract
Construction
contract
Design
Team
Construction
Management
Construction
Contractors
Contractual
- Organizational
Figure 5.3 Construction Management contract.
includes acting as the Employer's Representative in evaluating tenders and awarding
contracts for all, or various, parts of the project. The project may be fast track and the
construction management function may also include some design services. Figure 5.3
illustrates the contractual and organizational links between the parties in a construction
management project. This form of contract is rarely used in the United Kingdom.
The Employer has contracts with the Design Team, a Construction Manager and each
construction contractor. The Design Team is occasionally appointed by the Construc
tion Manager. The Construction Manager is part of the Design Team.
Selection of Construction Manager
This is the same as for a Management Contractor.
Selection of works contractors
The Construction Manager invites tenders and evaluates them and makes recommen
dations to the Employer. Even though the Construction Manager is part of the Design
Team and may assist in decision making, the remainder of the Design Team should
ensure that the Specification is complete and technically correct.
Advantages and disadvantages
Advantages
If the Construction Manager defaults after commencement of construction, the
works contracts are still binding.
Disadvantages
If the works contractor defaults, the Employer is primarily responsible.
Although used in the United States, this type ofcontract is not favoured in the United
Kingdom or Middle East as Employers prefer to deal with a single party for the
construction.
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Feasibility
Team
Feasibility
study
contract
Employer
Construction
contract(s)
Management Design
contract contract
Design Project
Team Manager
Contractual
Figure 5.4 Project management contract.
5.7.5 Project Management Contract
When construction management is extended to oversee the design and planning
stages it is called project management. The project management technique has been
utilized for both government and private sector projects. Large projects for construc
tion overseas have been handled in this manner with particular success. Projects
involving many buildings and significant site works often require this type of super
vision and coordination to solve logistical and scheduling problems. Complex
operations such as buildings for industrial and process engineering firms use project
management to coordinate the work and reduce the time required for design and
construction.
Figure 5.4 illustrates the contractual and organizational links between the parties in a
project management project.
The Employer has contracts with the Design Team, a Project Manager and a single main
Contractor. Note that the Project Manager does not manage several construction
contractors as with a construction management contract.
Project Manager
The Project Manager usually recommends the appointments of the Design Team and
the Contractor to the Employer and fulfills the following functions:
Initial concept consultant
Ensures that the Design Team are properly qualified for the task
Ensures that the Employer's requirements are properly described
Ensures that the Design Team brief is correct
Such a Project Manager can be useful with very large projects when there may be a very
large number of design and construction specialists requiring considerable coordi
nation. Take care that the Project Manager does not administer the project with
Subcontractors
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Feasibility
Team
Feasibility
study
Outline
design contract
contract(s)
Employer
Design and
Outline
management
design
contract
contract
Design and
Outline Management
Design Team Contractor
---- Contractual
- - Organizational
Figure 5.5 Design and manage contract.
excessive bureaucracy. Take care also that project management is cost effective for any
particular project.
5.7.6 Design and manage contract
Like design and construct, this type of contract has the advantage that the Employer
deals with only one party. In this case, however, it is the Design Team and the Design
Leader in particular who manage both the design and construction. This contract is
suitable for small works only, as usually the Design Leader will not have the necessary
contracting experience to manage the construction of complex works.
design and manage contract.
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5.7.7 Design and construct contract
Such a contract suits those Employers who prefer to deal with one body only for both
the design and construction. Usually, that body is a Contractor, who will employ a
consultant Design Team if there is not an existing in-house design staff. If the Employer
has had a long experience with a particular Contractor, it may be possible to success
fully negotiate a design and construct contract with him or her.
The principal problem if tenders are sought is the high cost of tendering. Each
tenderer has to produce at least an outline design in order to obtain a construction cost.
The cost of tendering is reduced if it is possible to use a standard building or one similar
to another already constructed. Avoid using such a contract for small projects unless the
tenderer's designers are known to have a proven record of competent design.
design and construct contract.
5.7.8 Design, manage and construct contract
The difference between such a contract and design and construct is that the Employer
first appoints a Design Team to prepare an outline design. The Employer can then
Feasibility
Team
- - -
Contractual
Organizational
Feasibility
study
contract
Employer
Design and
construct contract
Contractor
Manager
Design
Subcontracts
contract(s)
Design
Team
Subcontractors
Figure 5.6 Design and construct contract.
Feasibility
Team
Contractual Feasibility
study
contract
Employer
Design, manage
and construct
contract
Subcontractors Suppliers
Figure 5.7 Design, manage and construct contract.
obtain budget prices at an early stage in the selection of the Contractor. If the Employer
wishes to negotiate with a single contractor, it must be reasonably certain that the final
Contract Sum will be acceptable. If tender prices were obtained on the basis of the
outline design, the Employer may be able to select a single Contractor with whom a
price can be negotiated for the detailed design.
design, manage and construct contract.
5.7.9 Direct labour
Many large manufacturing firms have their own in-house design staff and have a
number of contractors who are familiar with the firm's manufacturing processes.
Some large contractors are also developers and so are both employers and contract
ors. The Design Team may be in-house or consultants. There is, however, a tendency for
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Such a method of obtaining a contract requires a potential contractor who has the
confidence of the Employer and Design Team because of previous contracts with the
Employer or by examination of other constructed projects. The Design Team should
Design
properly defined and should therefore produce a
r-, .... ,contract(s).
Schedule of Works or Bill of Quantities. This can be given to the potential contractor
Design
Team for pricing at commencement of the negotiation, as a guide for the production of a
Schedule of Activities by the potential contractor or used as a comparison with the
estimate. It is essential that the agreed Contract Documents include a Bill or Schedule
which is sufficiently detailed so that interim payments and variations can be easily
"
---- Contractual
Figure 5.8 Direct labour.
There are several methods of determining and stating the project cost. These methods
include measurement, lump sum and cost reimbursement. Each of these methods is
parent company.
direct labour.
If it has been decided that interim and final payments should be on the basis of
measurement, it is usual for a Bill of Quantities to be issued with the Tender Documents.
5.7.10 Construction subcontracts
The Bill will divide the Works into a number of work items. Each work item will have a
number and a description of work. After the description of work there are columns for
quantities, units, rates and prices. The quantities and units are entered by the Design
subcontractors, the Contractor will include much Team and the rates and prices by the tenderer. For small projects, a Bill prepared by the
Agreement. From the priced Bill, it is easy to calculate interim payments and variations. For items
Ii with quantities, it is easy to adjust their price by varying the quantities. This is
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particularly useful when the quantities are difficult to calculate prior to construction.
5.8 Basis of selection and award
Some forms of contract specifically state that the quantities in the Tender Documents
\
5.8.1 Introduction
Where the extent of the work is clear from the drawings, Schedule of Works,
Specification and site inspection, a Schedule of Activities may be preferable to a Bill of
Quantities. The Schedule includes only lump sum items and reduces measurement time
For Schedule of Rates contracts, the work is subdivided similarly but no quantities
two methods of selection and award. are given. The unit rates quoted by, the Contractor become the basis for negotiating
5.8.2 Competitive tendering
tenderers. The simplest method of stating the cost is by a lump sum, in which case a single amount
is tendered for completion of the entire contract. This potentially has the advantage to
the Employer that the tendered amount is likely to be nearer to the final cost.
There still has to be a procedure for calculating interim payments and variations. It is
in the Employer's interest that such procedures are agreed prior to Acceptance. A lump
from a better qualified tenderer. sum method is therefore not as simple a method of measurement as it first appears.
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5.9 Basis of payment
take care that the Works are
calculated.
5.9.3 Lump sum
5.8.3 Negotiated Contract Sum
5.9.2 Measurement
discussed below.
5.9.1 Introduction
successful tenderer may be accepted instead.
are approximate and require remeasurement.
on site.
prices for the actual work.
Feasibility
study
contract
I I
Contractors
Feasibility
Team
This method tends to give a low price but gives little scope for innovation from the
All tenderers are given the same Tender Documents describing the project and the
procedures for their selection. With large projects there may be a prequalification stage
to obtain a list of suitably qualified tenderers. For government work, the lowest tender is
usually accepted, but, in the private sector, Employers sometimes select a higher tender
The evaluation and selection of contractors leading to the award of construction
contracts is a vital part of the construction process. Competitive tendering is the method
most often used. However, under some circumstances a contract is awarded by direct
the developer and contractor parts of the organization to be separate companies under a
selection to a contractor chosen without competition. Following is a discussion of these
Figure 5.8 illustrates the contractual and organizational links between the parties for
It is just as important for the Contractor to have a Contract with the subcontractors as it
is with the Employer. In the subcontract documents between the Contractor and
of the contract documentation
received from the Employer and will require different Forms ofTender and Acceptance/
,
39
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Contact documentation and contracts
JCT Standard Form ofContract with Quantities, Private Edition, 1980 (JCT Conditions).
FIDIC Tendering Procedure, 1982.
Manual of the BPF System, British Property Federation, 1983 (BPF Manual).
ACA Form ofBuilding Agreement, British Property Federation, 1984 (BPF Conditions).
Civil Engineering Procedure, Thomas Telford, 1986 (CE Procedure). London.
Conditions of Contract (International) for Works of Civil Engineering Construction,
FIDIC, 1987 (FIDIC Conditions).
Guide to the use of FIDIC Conditions of Contract for Works of Civil Engineering
Construction, FIDIC, 1989.
Conditions of Contract and Forms of Tender, Agreement and Bond for Use of Civil
Engineering Construction, 6th Edition, Institution of Civil Engineers, 1991 (ICE6
Conditions).
Which Form of Building Contract?, David Chappell, Architecture Design and Tech
nology Press, 1991, London.
The New Engineering Contract, Institution of Civil Engineers, 1993 (NEC Conditions).
London.
Variations of this type of measurement in some countries are lump sum contracts with
Bills of Quantities, with the lump sum having precedence over the Bills.
5.9.4 Cost reimbursement
If a Contractor is reimbursed for actual costs, including head office overheads and
profit, there is little risk oflosing money except for expenditure on work items that have
been constructed contrary to the instructions of the Employer/Design Team.
Because the Employer would not know the final Contract Sum until Completion, it is
usual for the Contractor to quote a Target Cost and period of construction. If the final
Contract Sum is less than the Target Cost, an incentive amount could be given to the
Contractor. If the Target Cost is exceeded the profit could be reduced.
Checking of reimbursed costs by the Project Manager does require time and therefore
expenditure by the Employer.
5.10 A personal view
5.10.1 Conclusions
The student and even the average designer could be confused by the differences between
the various systems that lay down the content and arrangement of Tender and Contract
Documents. Also, most designers are well aware that errors in construction documen
tation can lead to avoidable claims and action against the Employer/Design Team. At
the same time, it is necessary to have a reasonable range of systems to cater for the
various types of contract, methods and measurement and means of monitoring the
work. What is required but has not been achieved in the United Kingdom is a common
agreed framework that permits the diversity that is necessary without allowing diversity
that has no purpose other than to create confusion.
In the meantime, in order to minimize the possibility of error, the document writer
should for any particular project:
1. Follow the standard forms and procedures of the body issuing the Standard
Conditions.
2. Preferably before tendering and certainly before execution of the Contract,
ensure that it is clear which documents will form part of the Contract.
3. If standard forms and/or conditions need to be altered for a specific project,
seek expert advice.
5.10.2 Recommendations for the UK construction industry
Any recommendations must be tentative as some bodies may be loath to change
practices to which they are accustomed. The recommendations are as follows:
1. Designate the Form of Tender as a Contract Document so that all attachments
to the Form of Tender form part of the Contract.
2. Place any Schedule or Appendix that comprises data provided by the Employer
so that it follows and is bound to the Conditions of Contract. Any item that is
completed by the tenderer should be attached to the Form of Tender.
3. Place all technical information that could affect the construction within the
Specification rather than in the Tendering Requirements.
4. Name the Specification and the Bill of Quantities or equivalent separately in the
Agreement and Form of Tender.
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Prequalification Documents and Tendering
Requirements
6.1 Prequalification
If the project is large, complex or specialized it is an advantage to precede the Invitation
to Tender with a prequalification stage. This saves time in the preparation and evalua
tion of tenders from unsuitable tenderers.
6.2 Invitation to Prequallfy
6.2.1 General
The purpose of the Invitation to Prequalify is to attract qualified tenderers and to help
prospective tenderers to decide whether or not to ask for the Prequalification Docu
ments. The Invitation should be limited to information that will permit prospective
tenderers to judge whether the work is within their constructional ability and financial
capability and which will explain the prequalification procedures. The Invitation to
Prequalify should always be in writing to ensure all prospective tenderers have the same
information and is normally in the form of an advertisement in newspapers or technical
II
publications.
,
"
6.2.2 Inclusions
The Invitation to Prequalify typically includes the following:
Date
Title and reference of project
Name and address of Employer
Name, address, telephone number and facsimile number of the Client's Repre
sentative (BPF), Design Leader or Agent, if any, issuing the Prequalification
Documents
Location of Site with plan of Site
Brief description of project, including the size and type of construction
Period of construction if already determined by the Employer
Statement stating whether or not a Tender Bond is required
Timetable for prequalification and tendering procedures
Procedures for obtaining prequalification questionnaires
Any other information that could assist prospective tenderers to decide whether
or not to request the Prequalification Documents
Prequalification documents and tendering requirements 41
6.3 Prequalification Documents
6.3.1 General
This document enlarges on the information given in the Invitation to Prequalify,
encloses prequalification forms and gives instructions regarding the completion and
return of the Prequalification Documents.
6.3.2 Information given
Items in this category are as follows:
Date
Title and reference of project
Name and address of Employer
sentative (BPF), Design Leader or Agent, if any, issuing the Prequalification
Documents
Brief description of project including the size and type of construction
Period of construction if already determined by the Employer
Timetable for prequalification and tendering procedures
Procedures for completing and returning prequalification questionnaires
Type of Contract, e.g. measurement, lump sum, cost reimbursement, design
and construct (all-in)
Name of Standard Conditions of Contract, if any, and principal features of
Supplementary Conditions such as language and law of Contract, currency,
escalation clauses, payment arrangements, advance payments
Details of work covered by nominated subcontractors or suppliers
Details of Performance Bond and other guarantees
Sources of financing for project and any conditions imposed by them
Standard of performance in broad terms
Obligations other than construction, e.g. training
or not to proceed with the prequalification and tendering procedures
6.3.3 Information required
The information required from the prospective tenderers should include the following:
Structure and organization
Financial statement
Joint venture information, if applicable
Personnel resources
Plant resources
Current and past projects and experience in country of particular project
Other information relative to particular project
6.4 Letters to selected and unselected contractors
Inform those contractors selected from the list of tenderers of their selection. Confirm
the intended date for issue of the Tender Documents.
If
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Prequalification documents and tendering requirements 43

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In circumstances where an open tender is not legally required and wlbere the Employer
has already approved the tenders for similar work, it may be to omit the
prequalification stage. In such a case, the following items should be iincluded:
Date
Title and reference of project (BPF Form 4)
Name and address of Employer (BPF Form 4)
sentative (BPF), Design Leader or Agent, if any, issuing the Tender Documents
(BPF Form 4)
Brief description of project including the size and type of <construction (BPF
Form 4)
Period of construction if already determined by the Employ,er (BPF Form 4)
Timetable for tendering procedures including:
Date when tenders are expected to be invited (BPF Foron 4)
Date when order to commence expected to be given (BP'F Form 4)
Procedures for completing and returning Tender Documents
Type of Contract, e.g. measurement, lump sum, cost reimbursement, design
and construct (all-in)
Name of Standard Conditions of Contract, if any, and pr-incipal features of
Supplementary Conditions such as language and law of Contract, currency,
escalation clauses, payment arrangements, advance paymen-ts
Details of work covered by nominated subcontractors or sUlppliers
Details of Performance Bond and other guarantees
Sources of financing for project and any conditions imposed by them
Standard of performance in broad terms
Obligations othyr than construction, e.g. training
or not to proceed with the tendering procedures.
The National Joint Consultative Committee for Building (NJCC) has a standard
form in a Code of Procedure for use with the JCT Conditions (Figuroe 6.1). Some bodies
(e.g. BPF) recommend the inclusion of the value of work but tI.is is not universal
practice. Under the BPF system, such an invitation is termed a Prelinninary Invitation as
their (Formal) Invitation to Tender accompanies the Tender Documents. The Prelimi
nary Invitation is a standard proforma, Form 4 (Fig. 6.2).
6.5 Invitation to selected tenderers with no prequalificoation stage
Appendix A.1
Your attention is drawn to the fact that apart from the alternative clauses to the Standard
Form of Building Contract as detailed below under item j, further amendments to the
Standard Form of Building Contract, if any are annexed hereto, will be incorporated in the
tender documents.
I amlWe are authorised to prepare a preliminary list of tenderers for construction of the
works described below.
Heading
You are requested to reply by .... Your inability to accept will in no way prejudice your
opportunities for tendering for further work under my/our direction; neither will your
inclusion in the preliminary list at this stage guarantee that you will subsequently receive a
formal invitation to tender for these works.
PRELIMINARY ENQUIRY FOR INVITATIONTOTENDER
Dear Sirs,
Appliceble where the Stenderd Form of Building Contrect is to be used
Please state whether you would require any additional unbound copies of the bill(s) in
addition to the two copies you would receive; acharge may be made for extra copies.
Will you please indicate whether you wish to be invited to submit a tender for these works
on this basis. Your acceptance will imply your agreement to submit a wholly bona fide
tender in accordance with the principles laid down in the 'Code of Procedure for Single
Slage Selective Tendering', and not to divulge your tender price to any person or body
before the time for submission oftenders. Once the contract has been let, I/we undertake to
supply all tenderers with a list of lhe tender prices.
Yours faithfully ...
e Job ...
b Employer ...
c Architect/Conlract Adminislrator ...
d Quantity Surveyor ...
e Consultants ...
f Location olsite... (Site plan enclosed)
g General description of work ...
h Approximate cost range . .. to ...
Nominated sub-contractors for major items...
Form of Contract:
Clause 152 VAT clause of VAT agreement willlWili not [1] apply.
Clause 1912 willlWili not [1) apply.
Clause 2121 Insurance may be required/is not required [1[
Clause 22A122B/22C122D wi II/wi II not [1] apply.
Clause 2312 wili/will not [1] apply.
Clauses 38, 39 or 40 willlWili not [1] apply.
Clauses4121/4122 willlWili not [1] apply.
Formula Adjustment Part I/Part II of Formula Rules is to apply.
k Percentage to be included under Clause 387 or 398 if applicable...
I Examination and correction of priced bill(s) (Section 6 of the Code)
Alternative l/Alternative 2 [1] will apply.
m The contract is to be under seal/under hand. 11/
n Anticipated date for possesion .
o Period for completion of works .
p Approximate date for despatch of all tender documents ...
q Tender period ... weeks.
r Tender to remain open for ... weeks [2]
s Liquidated damages (if any), anticipated value oo. per ...
Details of Bond requirement if any.
u Particular conditions applying to the contract are ...
6.6 Tendering Requirements
R"eren_ f11 Delete as appropriate, before issuing.
121 This period should be as short as possible.
6.6.1 Introduction
Before tenders may be received, prospective tenderers need specific information which
will enable them to:
Comply with required tendering and awarding procedures
Understand tendering and awarding requirements
Submit tenders that will not be disqualified for technicalities
Figure 6.1 NJCC Preliminary Enquiry for Invitation to Tender. (Source: NJCC).
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21.1 Introduction 295

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