ZAMBIAN

HANDBOOK
OF PRACTICE
FOR ARCHITECTS

VOLUME 1

ZAMBIA INSTITUTE OF ARCHITECTS

(CONSTITUTED UNDER CAP. 442 OF 1995, LAWS OF ZAMBIA)
Zambia Institute
Of
Architects

An
Architect‟s
JOB BOOK
for Zambia
 An Architects Job Book for Zambia

Preface

The Architects Job Book for Zambia has been based closely on the long established Architects Job
Book published by the RIBA in the UK. The format and content have, however, been adapted to suit
local practice and standard forms of building contracts.

The RIBA plan of work sets out methodical procedures for administering building projects. Over the
years the plan of work has become widely accepted by the building industry and the professions in
many countries, and much of the literature concerning job running and contract administration now
takes the Plan of Work as its starting point. The RIBA plan of work is essentially an expanded and ra-
tionalized description of the work of the architect outlined in CAP 825, and as such is a most useful aid
to practice in Zambia. The Job Book for Zambia therefore retains the Plan of Work as its framework.

It must be recognized that the procedures of the Plan of Work are not invariable, and the individual
architect must adapt his administrative procedures and methods to suit the particular requirements of
each project. However, by referring to the “model” established in this Job Book it is hoped that the arc-
hitect will be helped to:-
 Adopt a systematic and appropriate method of working
 Improve liaison and cooperation in the design team
 Develop the brief to maximize the potential of the project and most closely meet the client‟s re-
quirement
 Carry out investigations as thoroughly as possible, and at the appropriate time
 Devote the maximum time to design
 Produce comprehensive and accurate drawings and documentation
 Select the best tender procedures
 Administer the contract fairly and efficiently

The Job Book procedures are generally accepted as good practice and therefore „safe‟ procedures, in-
tended to reduce the risk of serious errors in administration. By adopting Job Book procedures archi-
tects will help to bring about a more competent and effective profession which manages projects more
efficiently.

It is particularly hoped that the Job Book will provide a useful guide to students of Architecture and
recent graduates in their preparation for registration as architects in Zambia.

Format

The Architects Job Book for Zambia is in two interrelated sections. The first section, Job Running, is a
reference reminder for general good practice, containing numerous checklists designed for easy refer-
ence at every stage of a typical project. The second section, Contract Administration, gives practical
guidance on building contracts including specimen letters, sample forms and certificates. The Job Book
has been produced in loose leaf, ring binder format to make the task of copying sections and checklists
for quick reference as easy as possible, and to make it possible to update sections from time to time as
practice changes.
Section 1: Job Running
Job Running is arranged according to the RIBA Plan of Work stages. Each stage begins with an “action
checklist”, including information watch-points of more general guidance. Detailed checklists are pro-
vided for the main activities at each work stage, and figures provide specimen letters and forms.
Used together with section 2, Contract Administration, Job Running will guide the architect in effective
project management.

Section 2: Contract Administration

Contract Administration gives advice on the most suitable procurement path and form of contract to
use. It includes samples of related forms, and specimen letters and instructions.

The format of Contract Administration differs from Job Running – it is divided into a general introduc-
tion and sub-sections which group various contract clauses under general headings such as “Intentions
of the Parties”, “Possession and Completion” etc. By grouping clauses under general headings, rather
than going through the contract clause-by-clause in the order in which they appear, it is possible to illu-
strate how various clauses interrelate to affect contract administration.

In each sub-section there is general comment, followed by detailed comment specifically relating to the
two forms of contract in general use in Zambia.

The two sections are intended to be used in conjunction with each other, and it should be recognized
that effective administration is dependent on both efficient job running and meticulous contract admin-
istration.
SECTION 1: JOB RUNNING

CONTENTS Page

Introduction
Key reminders for good practice 0.1
Checklist 0.1: The Plan of Work 0.2-0.6
Checklist 0.2: The client‟s needs and priorities 0.7-0.8

Work Stage A: Inception

Actions required of the architect and client A.1
Action checklist for work stage A A.2-A.3
Checklist A1: Exploratory meetings with the client A.4-A.5
Checklist A2: Reading agreement with the client A.6
Checklist A3: Architect‟s appointment outside “normal services” A.7
Checklist A4: Organising architect‟s drawings A.8-A.9
Checklist A5: Organising Job files A.10
Checklist A6: Project programmes A.11-A.12
Checklist A7: Design team appointments A.13-A.14

Work stage B: Feasibility

Actions required of the architect and client B.1
Action checklist for work stage B B.2-B.5
Checklist B1: Developing the brief B.6
Checklist B2: Information base for feasibility study B.7-B.8
Checklist B3: General survey requirements for feasibility study B.9-B.10
Checklist B4: Information to be shown on survey plans B.11-B.12
Checklist B5: Surveys of existing buildings B.13
Checklist B6: Trial holes B.14
Checklist B7: Consents required, general considerations B.15
Checklist B8: Consents (planning) B.16
Checklist B9: Other consents B.17
Checklist B10: Planning applications, details on drawing B.18
Checklist B11: Building regulations, drainage B.19
Checklist B12: Main services, Public Utilities B.20
Checklist B13: Financial appraisals B.21-B.23
Checklist B14: Design team appointments B.24

Work stage C: Outline proposals

Actions required of the architect and client C.1
Action checklist for work stage C C.2-C4
Checklist C1: Design team meetings C.5-C6
Checklist C2: Design team roles and responsibilities C.7-C8

Work stage D: Scheme design

Actions required of the architect and client D.1
Action checklist for work stage D D.2-D4
Checklist D1: Design team roles and responsibilities D.5-D6
Work stage E: Detail design
Actions required of the architect and client E.1
Action checklist for work stage E E.2-E4
Checklist E1: Design team roles and responsibilities E.5-E6

Work stage F: Detail design

Actions required of the architect and client F.1
Action checklist for work stage F F.2-F4
Checklist F1: general procedures for production information F.5-F6
Checklist F2: Information to be shown on working drawings F.7-F10
Checklist F3: Competitive tendering – preliminary enquiries F.11-F12
Checklist F4: Tender procedures for nominated sub-contracts F.13-F14
Checklist F5: Design team roles and responsibilities F.15-F16

Work stage G: Bills of quantities

Actions required of the architect and client G.1
Action checklist for work stage G F.2-G4
Checklist G1: Tenders for sub-contract works F.5-G8
Checklist G2: Design team roles and responsibilities F.9

Work stage H: Tender Action

Actions required of the architect and client H.1
Action checklist for work stage H H.1
Checklist H1: Procedure for inviting and receiving tenders H.1
Checklist H2: Design team roles and responsibilities H.1

Work stage I:
Actions required of the architect and client I.1
Action checklist for work stage I I.2

Work stage J: Project planning

Actions required of the architect and client J.1
Action checklist for work stage J J.2-J4
Checklist J1: Assembling production information J.5
Checklist J2: Brief site supervisory staff J.6
Checklist J3: Appointing a clerk of works J.7
Checklist J4: Initial project meeting J.8-J10
Checklist J5: Finalising the contract J.11-J12

Work stage K: Operations on site

Actions required of the architect and client K.1
Action checklist for work stage K K.2-K4
Checklist K1: Keeping the client informed K.5-K7
Checklist K2: Meetings on the site K.8-K10
Checklist K3: Setting out K.11
Checklist K4: Running the contract K.12-K13
Checklist K5: Commissioning and testing of ser vices installations K.14

Work stage L: Completion

Actions required of the architect and client L.1
Action checklist for work stage L L.2-L4
Checklist L1: Pre-completion checks and inspections L.5
Checklist L2: Handover of the building L.6
Checklist L3: Actions in the defects period L.7
Checklist L4: Final inspection and certificate L.8

Introduction

Contents Page

Key reminders for good practice 0.1

Checklist 0.1: The plan of work 0.2-0.6

Fig. 0.1.1 Traditional plan of work sequence 0.5

Fig. 0.1.2 Two stage tendering 0.6
Fig. 0.1.3 Contractor appointed at end of stage C 0.6

Checklist 0.2: The client‟s needs and priorities 0.7-0.8

Introduction
Some Key reminders for good practice

Contractual correspondence

Letters, AIs, site meeting minutes and notes of inspections etc. associated with contract works are part
of the story of that contract and, if there is any subsequent investigation connected with litigation they
will be part of the evidence. Therefore it is crucial that they are clearly expressed and unambiguous.
Many disputes are caused simply because documents are misunderstood. Here are some points to re-
member:

1. Use a formal style

Letters connected with contractual matters are always formal. Start and end them “Dear Sir-Yours
Faithfully”. Be sure to refer to yourself as we not I.

2. Get the references right

The main heading will always be the name of the contract works and any reference number. Al-
ways date the document as the date of issue, not the date it was drafted.

3. State the relevant clause in the contract

Quote the clause number in the contract that relates to the subject of the letter or AI. (“this request
is made in accordance with (relevant clause) of the contract.”) Check you have got it right!

4. Quote drawing numbers correctly

It is equally important to note drawing numbers and their titles exactly and fully.

5. Refer to events precisely

State the relevant date and if necessary the location.

6. Keep sentences short and the language simple

Contractual terms are often written in a convoluted way and this tends to creep into correspon-
dence. Use plain English.

7. Remember to send copies to all the relevant parties

Some architects believe in copying all job-related correspondence to the client as a matter of
course. You must copy all contract-related correspondence to him or her.

8. Consult a solicitor
Be sure to do this whenever a situation arises where there may be legal repercussions; he or she will
advise you in the light of the particular circumstances.

9. Advise your insurers

If you have professional indemnity insurance, you must advise your insurers immediately of any
circumstances likely to give rise to a claim. Failure to notify in good time can be a valid reason for
refusal to indemnify.

10. Do not ignore claims

 Respond if claims or allegations are made, but consider taking legal advice about the form of your
reply.

0.1
0.2
1 The Plan of Work

After the client has identified his need for a building and what resources he has selected an architect,
the work involved in building falls into the following broad sections:

* Inception
* Design and production information
* Contract procurement
* Project planning and site operations

The Plan of Work subdivides these operations into a programme of 12 stages which assumes that time
and circumstances allow the stages to follow one after the other, and that competitive tendering proce-
dures are used.

The stages are briefly described in the checklist 0.1 and are shown as fig 0.1.1 the Plan of Work struc-
ture has been used as the format for this section of the Architects Job Book

There are circumstances which will require variations to this procedure. For example:
* in smaller contracts, some of the Plan of Work stages will be merged;
* to secure early completion, some stages may be overlapped.
* where no quantity surveyor is appointed the architect will perform some of his functions
* some elements of the design may be carried out by specialist sub-contractors.

The Plan of Work requires only small changes to accommodate such variations. More substantial vari-
ations may be needed because of pressures to achieve very rapid completions. The needs and priorities
that produce these pressures are discussed briefly in checklist 0.2.

The industry can respond with a variety of procurement paths and working methods, many of which
appear to differ from the established procedures in the Plan of Work (see checklist 0.2). however each
stage remains basically the same.

This job book has been written for the architectural profession in Zambia. It should be remembered that
there may be different professional and technical standards in other countries.

Whatever the circumstances it is vital for the architect to analyze the special requirements of each
project to identify any variation in the methods of working set out in the Plan of Work and the Archi-
tects Job Book. Fundamental actions must be taken in good time to implement the desired procurement
path.
 0.2
INTRODUCTION
Checklist 0.1:- The Plan of Work Stages

These outline descriptions recognize developments in methods of working which have evolved in the
UK since the original Plan of Work was developed there in the 1960s. The contents are compatible
with and applicable to practice under CAP 825 of the laws of Zambia. The precise operations in each
stage may require modification when carried out in different sequences or in particular circumstances.

A Inception
Client establishes basic requirements, cost ranges, timetables, etc.
He appoints an architect and principle consultants.
The basic project organization is established.

B Feasibility
The design team is organized. The brief is developed as fully as possible. The site, legal and other
constraints are studied. Alternative design strategies are considered. The client is advised about
the feasibility of the project in functional, technical, financial and contractual terms. His decision
is sought on how the project is to proceed.

C Outline proposals
The brief is further developed in line with the general approach to layout, design, construction and
services. A cost plan is established. The client is asked for authorisation to proceed.

D Scheme design
The brief is completed and architectural, engineering and services designs are integrated. The cost
plan, overall programme and outline specification are developed and planning and other necessary
approvals are applied for. A report is submitted to the client for his approval.

E Detail design
The team designs, co-ordinates and specifies all parts and components, completes cost checks and
obtains clients approval of significant costs. Specialist tenders may be sought.

F Scheme design
The team prepares working drawings, schedules and specifications and agrees with client how the
work is to be carried out. Specialist tenders may be sought.

G Bills of quantities
Bills of quantities are prepared and all drawings and arrangements for obtaining tenders are com-
pleted. Specialist tenders may be sought.

H. Tender action
Main contract tenders are obtained by negotiation or

J. Project planning
Contract documents are processed. The contractor receive information needed to plan the work.
The site inspectorate is briefed and all roles are defined. The site is made available for work to
start.
0.3
0.4

K. Operations on site
Contract is administered and contractual obligations fulfilled with progress and quality control
monitored. Financial control, with regular reportage to the client is maintained.

L. Completion
Project is handed over for occupation. Defects are corrected. Claims are re resolved and final ac-
count is agreed. Final certificate is issued.

M. Feedback
The performance of the building and the design and construction teams are analysed and recorded
for future reference.
 0.4
INTRODUCTION
Fig 0.1.1 Traditional plan of work sequence

The dotted lines on this and the other figures are a reminder that during the early stages the processes
of developing and refining the brief are cyclical.

Aspects of the design will need to be frozen in increasing detail at each stage. Everyone must be made
aware that subsequent changes may result in delays and extra cost.

Inception Design and Contract Pro- Project planning

Production curement and site opera-
Information tions

B C

F G

H J

M L

This figure shows how the four main sections of work can overlap. More radical variations to the se-
quence of stages are shown in the following figures:
0.5 Inception Design and Contract Pro- Project planning
Production curement and site opera- 0.6
Information tions
Fig 0.1.2 Two stage tendering
A

Approximate bills
B C G1

D Contribute H1 Select contractors

Contribute
E

F G2 Full bills

Appoint contractor J
H2

M L

Inception Design and Contract Pro- Project planning

Production curement and site opera-
Information tions
Fig. 0.1.3 Contractor Appointed at end of stage C
A

Approximate bills
B C G1

Appoint contractor H1 J
D

F G2 Full bills

Cost check
K
H2
M L
 0.6
INTRODUCTION
Checklist 0.2 The client’s needs and priorities

Effect on the plan of work

A client may have overriding priorities under the following headings. A realistic assessment must be
made with the guidance of the architect.

TIME

Where the client is likely to gain substantially from and early completion and there is no over-
riding pressure, the traditional plan of work process is preferable.

If early completion is vital, shortcuts can be taken, but this may result in lower quality and / or
increased costs.

Contractors may be accelerated completion can be requested. A guaranteed completion time can
be negotiated, but the client must be advised that this will be costly.

QUALITY AND COST

The client must be made aware from the outset that:

High quality building requires adequate investment in time and money;
Low cost targets for design and construction can result in reduced building performance and
high maintenance costs.

FIXED PRICE

Forms of contract can be arranged to give a fixed price. The total removal of risk to the client
will inevitably result in higher costs as the contractor will price this risk. Fixed price contracts
require fully detailed information at tender stage.

FLEXIBILITY

If the project cannot be defined in detail but work has to be started early nonetheless, a path has
to be chosen which will allow time and costs to be controlled as the work proceeds.

Other factors may affect the traditional plan of work:

COMPLEXITY

Highly serviced or technically sophisticated buildings will need special care. There may have to
be commitment to packages supplied by specialist contractors and manufacturers, such as inte-
grated services and wall ceiling and floor systems etc.
Much of the detailed design work, production and building information packages will be pro-
vided by specialist firms working with the design team. Skillful coordination is required to en-
 sure that the resulting design is attractive and works well. Design drawings, performance speci-
fications, programmes, tendering and contract conditions will all need to be defined and ex-
ecuted with special clarity and precision.

0.7
0.7

Fig 0.2 The client’s needs and priorities cont.

NEGOTIATIONS

If the client is assured that competitive tendering is not appropriate, time may be saved by direct
negotiation with and early appointment of the main contractor and / or sub-contractors.

PACKAGES

The client may be attracted to the apparent simplicity of the “Total Building Package”. Building
contractors and management consultants offer a variety of design and build services, but there is
a danger with these that the designers may be held at arms length from the client. Contractor-led
teams may seem design time in their own terms of productivity, and may not recognize the im-
portance of design as a factor in the overall quality of the product.

ARCHITECTS LED PROJECTS

The architects‟ role as lead consultant may also include a full time management role for an ad-
ditional fee.
The client may require the architect to engage a full team of consultants under a single fee
agreement. In this situation the architect must make sure that the division of responsibilities and
costs is clearly understood and formally agreed by the design team.

The architect / project manager may accelerate the project by various means including:
Negotiating the main contract
Early competitive tenders using approximate bills of quantities
Use of specialist contractor or sub-contractor design and build
Contractor made responsible for production methods and information to meet performance spe-
cifications. This is checked by the architect.

In Zambia it is likely that the majority of projects will, for the foreseeable future, be undertaken using
the traditional procurement path.
A INCEPTION

Contents Page

Actions required of the Architect and client A.1

Action checklist for work stage A A.2-A.3
Checklist A.1: Exploratory meetings with the client A.4-A.5
Checklist A.2: Reaching agreement with the client A.6
Checklist A.3: Architect‟s appointment outside “normal services” A.7
Checklist A.4: Organising Architect‟s drawing A.8-A.9
Checklist A.5: Organising Job files A.10
Checklist A.6 Project programmes A.11-A.12
Checklist A.7 Design team appointment A.13-A14
A INCEPTION
Actions required of the client and Architect

The following extract from “Architects appointment” (Part 1: Architects services) describes in outline
the architect‟s main duties in the inception of a project:-

“Discuss the clients requirements including timescale and any financial limits; assess these and give
general advice on how to proceed; agree the architects services.

Obtain from the client information on ownership and any lessons and lessees of the site, and any exist-
ing buildings on the site, boundary fences and other enclosures, and any known elements, encroach-
ments, underground services, rights of way, rights of support and other relevant matters.

Visit the site and carry out an initial appraisal.

Advise on the need for other consultants‟ services and on the scope of these services.

Advise on the need for specialist contractors, sub contractors and supplies to design and execute parts
of the works to comply with the architects‟ requirements.

Advise on the need for site staff.

Prepare, when required, an outline timetable and fee basis for further services for the client‟s approval.”

During stage A, the client should be asked to supply information about the site as described above and
to discuss as fully as possible his requirements to enable a broad plan of action to be decided.

The architect should ensure his office is organized to undertake the project, and will initiate the neces-
sary office procedures.
A.1
A.2

ACTION CHECKLIST FOR WORK STAGE A - INCEPTION

The purpose of this checklist is to act as a reminder of the tasks that may have to be carried out during
this work stage. You should use the checklist to plan your workload, and to check back at the end of the
stage to unsure that some important aspect has to been overlooked.

Office Procedures

1 Arrange a preliminary meeting with the prospective client.

2 Define his status in relation to the proposed work; for example

- a private individual
- the representative of a company or government department
- a contractor in a package deal
- a project manager acting for a client
- an engineer requiring an architectural consultant

3 If feasible make discrete enquiries about his standing and authority in representing his or-
ganization, or his financial standing

4 If another architect was formerly engaged on the project, ask him to confirm that his in-
volvement has ceased and that his fees have been paid, as required by CAP 825.

5 Assess the new work; consider what contents are required, relevant local history and “poli-
tics”, any physical and legal constraints

6 Assess what office resources the job will require.

7 Decide whether to proceed.

8 Initiate office procedures; open files, set up expenditure resource control systems, identify
or create useful administrative forms.

Job Administration

1 Arrange project meetings with the client to discuss project requirements, management and
administration, the architects appointment and the involvement of other consultants. Define
roles and responsibilities.

2 Accept the appointment by letter.

3 Check that the client has set up his own organizations and appointed his representative(s)

Design team and reports

1 Arrange meetings to discuss proposals for the project. (formation of design team, fees etc.)
 A.2
A INCEPTION
Action checklist for work stage A:- page 2

Brief

1 Carefully record all information provided by the client and obtained from preliminary searches

2 Write to the client confirming the information you have been given or have obtained to avoid mi-
sunderstandings now or in the future.

Site

1 Obtain maps, information and visit he site

2 Record information gathered from your site visit, and any observations. A photographic record of
your visit will be invaluable.

Approvals

1 Obtain information on contractors or specialist sub-contractors the client may wish to involve.

Any research you are able to do at this stage into the client, his needs, and the technical, planning and
regulatory aspects of the proposed building will probably pay dividends in the future. Review prece-
dents from your records and the literature on the subject.

“Watchpoints” for the Workstage A – Inception

 The initial meetings between client and architect should establish the basis for a mutually satis-
factory working relationship. When promoting your practice and your services, do not exagge-
rate.

 Identify and clarify areas of possible misunderstanding. Define roles and responsibilities of
client, architect, consultants and contractors. Don‟t hurry, this is time well spent.

 Establish the basis of the commission properly. Do not proceed until this has been done and the
appointment has been confirmed in writing, unless there are exceptional circumstances.

 Advise the potential client if his ideas, expectations or cost limits are unrealistic. Many clients
have never built before; yours may have been previously badly advised before he came to you,
and you may have to convince him that you are correct. Do your homework before the meeting,
not after.

 Define the consultancy services you may need to properly execute the project. Explain why it is
better that the appointments are made direct. Many clients expect that once an architect is ap-
pointed other consultants either are not necessary or will be paid for out of the architect‟s fee.
A.3
A.4

ACTION CHECKLIST FOR WORK STAGE A - INCEPTION

Use this checklist to prepare for the meeting. The client may want to know:
 What work you have done
 What work you have in progress
 What services you provide in-house
 What established links you have with the building industry and with your professionals and dis-
ciplines
 Your financial viability
 Your staff capacity

A new client will want to know whether the philosophy, expertise, track record and resources of your
practice will meet his needs.

Show the client photographs of completed projects and examples of completion entries. Take him to
see any works in progress. Invite him to see your office and meet the staff who may be working on his
project.

Find out as much as you can about the client and his proposals before the first crucial meeting. Ask
questions – the more open and honest the relationship is from the start, the better will be the final re-
sult.

Remember that any agreement reached at the initial meeting should be recorded in writing as soon as
possible. They should also be included in any subsequent formal agreement.

1 The Client
 Check whether any other architect has been involved in the project and obtain any necessary
disclaimers.
 Note details of the client‟s organization, its experience in building projects, its management
capability and any special skills available.
 Make sure the client nominates a representative and open channels for efficient day to day
communication.

2 The Project
 Discuss the client‟s general requirements, for example the aims of the project and the re-
sources available

3 The Site
 Ask the client for information about he site
 Record names and addresses of landlords, occupants etc.
 Clarify whether the tenure is freehold or leasehold, whether there are any restrictive covenants,
rights of way, or other restrictions on the site.

4 Running the project

 Describe how the team will collaborate, working by stages through the plan of the work
  Describe how cost control and budgeting will be carried out and warn the client if his intended
programme and/or budget seem unrealistic.

A.4
A INCEPTION
Checklist A1:- Exploratory meeting with the client, Page 2

 Recommend the early appointment of consultants and the quantity surveyor whenever their
services are likely to be required. Explain their roles in the consultant team. Confirm your rec-
ommendations in writing in case the client does not act now and problems subsequently arise.

5 Contract Procedures
 If relevant, discuss alternative contract procedures and any specialist services which may need
an early decision to meet the client‟s programme. This may involve the early appointment of a
contractor or specialist firms.

6 Architects Appointment
 Carefully explain the services provided and the basis for paying the architect, quantity sur-
veyor and consultants. Confirm this is writing as soon as possible. Make sure the client under-
stands any limit to the services provided and the staging of fee payments.

7 Consents
 Explain that the architect will apply for planning consents but cannot guarantee approval.
 Warn the client of other relevant fees and expenses such as land or buildings surveys and fees
for negotiations with adjacent owners.

8 Project Personnel
 If known at this stage, advise the client of the names of key personnel, particularly the partner
in charge and the project architect.
A.5
A.6

Checklist A2:- Reaching agreement with a client

1 Before Formal Agreement

 Agree as much as possible at an early stage.
 Make sure the client understands the distinct roles and responsibilities of the other con-
sultants involved.
 Give the client a copy of the Scale of professional fees (from CAP 825), and explain the
main terms and provisions.

2 Drawing up an Agreement
 Confirm in principle agreements reached.
 Agree services to be provided and appointments of quantity surveyor and other consul-
tants as appropriate.
 Establish basis of agreement, e.g.
- Formal memorandum of agreement
- Exchange of letters
- Clients own standard form
 Confirm arrangements for signing and exchanging copies of the agreement.

3 If work proceeds before the agreement is signed

There may be exceptional circumstances where work must proceed before a formal agreement
can be completed. In these circumstances send the client a letter by recorded delivery accepting
the appointment and setting out:
 The brief
 Services to be provided
 The basis for fees (percentages, time charges, disbursements etc.)
 Consultants to be appointed, e.g. arrangements for indemnity insurance
 Confirm that the agreement is to be in accordance with CAP 825.

4 Formal agreement
 If used, carefully schedule the services to be provided on the ZIA Memorandum of
agreement. Write in details of the basis for the calculation of fees (percentages, time
charges, rates for disbursements etc.)
 Include details of the anticipated cost of the works.
 Carefully write in details of the agreed method of payment and method of calculation of
interim accounts.
 Include details of consultants to be appointed, and by whom.
 State interest rates to be charged on late fee payments.
 Agree basis of settlement if early termination occurs, e.g. time basis for partially com-
pleted stage, lump sum, or formula agreement.

5 Lines of communication
 Confirm lines of communication with client. Take careful note of any requirement for
confidentiality.
 Define roles and responsibilities of client‟s representatives.
  Agree arrangements and time scales for reportage to client‟s boards and/or committees
 Agree policy for publicity, including design team name boards and signing of building.

A.6
A INCEPTION
Checklist A3:- Architect’s appointment other than “Normal Services”

The headings given here are taken from part two (2) of “Architects appointment”. The checklist is not
exhaustive, but will be of use in deciding if the services the client requires fall outside the definition of
normal services within CAP 825, and therefore require a specific fee agreement with the client.

Services and investigations

Building sites Building failure
Measured surveys Repairs and restoration work
Soil investigations Problems in use
Condition surveys Energy studies
Schedules of dilapidations Cost in use
Structural surveys Valuations

Development services
Area development Demolitions
Estate plans Environmental studies
Roads and sewers Site infrastructure

Design services
Furniture and fittings Acoustical studies
Shop fitting Special constructional research
Works of art Garden or landscape design
Exhibitions Presentation material
Perspectives Models

Cost estimating and financial services

Replacement costs Grant applications
Negotiations for finance

Negotiations
With planning authorities Landlords approvals
Planning appeals Rights of owners and lessees
With building inspectorate Party wall negotiations
Litigation and arbitration

Administration and Management

Site staff Direct labour
Project management As built drawings
Design and build contracts Maintenance manuals
Separate trades contracts Maintenance programmes

Fees for the above services would normally be negotiated on a time charge or lump sum basis.
A.7
A.8

Checklist A4- Architect’s drawings

A systematic approach should be adopted at the start of the job. Drawings must be classified correctly,
a register must be drawn up and maintained, and all issues must be recorded. Establish a drawing num-
bering system which will serve both the design period and the needs of the production information. It is
useful to prepare and circulate a statement of the adopted system for the use f the staff, consultants, the
contractor and the clerk of works.

Scale must be appropriate to the category of drawing. Where more than one scale is used, mark each
element with own scale to avoid misunderstandings.

Keep the range of sizes to a minimum. Normally work in “landscape” format. Ensure that the job title
and reference number appear at the bottom right hand corner when open and folded.

It is of great importance that adequate cross references are given on every drawing. When drawings are
revised, cross references must be updated.

Revisions often involve a series of drawings. Each revision must be given a unique revision letter and
clearly described. Cross references must be updated and copies of previous issues must be marked as
superseded. It is useful to demarcate amendments on a drawing with a symbol or a convention.

There are various conventions used for drawing numbering, including:

 CI SfB; used also for classifying product literature

 CPI (Coordinated project information). This system is aimed at improving the coordination of
all documents used in the procurement of buildings. It provides the team with a set of conven-
tions which links together drawings, specifications and bills of quantities, through documents
such as the National Building Specification (NBS) and SMM7, the current RICS standard me-
thod of measurement. The CPI reference system is as follows:

(a) Originations reference: CPI pro a code for each originator:

A = Architect S = Structural consultant
M = Mechanical consultant E = Electrical consultant
Others may be given their own prefix, e.g. LA = Landscape Architect.

(b) Information type reference: Each drawing may be classified by:

D = Design drawing which is not a production drawing
L = Location drawing A = Assembly drawing
C = Component drawing S = Schedules
(c) Elements of the work: Group (0) to (9) as follows:
0 = General 6 = electrical services
1 = sub structures 7 = fixtures and fittings
2 = superstructures 8 = (Vacant)
3 = openings (secondary elements) 9 = external works
4 = finishes
 5 = piped and ducted services

A.8
A INCEPTION
Checklist A4:- Architect’s drawings page 2

A typical reference will be AL(4) 03, which is an Architect‟s (A) Location drawing (L) showing finish-
es (4), and is the third (03) in the series.

Keeping registers

In practice the consistency and flexibility of the drawing numbering system the maintenance of a prop-
er drawing register is of greater importance than adopting a particular standard convention for drawing
numbering. Most offices will evolve their own preferences for numbering systems through time, and it
is important that all staff are familiar with and use the office system.

Standard forms for drawing registers encourage consistent numbering and the proper recording of
drawings and drawing issues.

It is good practice to allocate the control of drawing registers to one person, who will also be responsi-
ble for the allocation of drawing numbers. Make sure the registers are meticulously maintained.

When a drawing is issued it should be covered by a letter or standard issue form which gives the draw-
ing reference, title, date of issue, and number of copies. This ensures a full record of the issue is filed
for future reference. Similarly, carefully maintain a register of all drawings received, recording the date
that they are received and any actions required. Ensure only up to date drawings are kept in use.

Detailed checklists for production drawings that may be required are provided under section F.
A.9
A.10

Checklist A5:- Organizing Job files

It is easier to manage the recording, file and retrieval of information if you use pre-printed forms. They
help you develop the systematic approach that is essential for good project administration.

Remember that file notes will have to be made of many telephone calls and conversations. A pad of
memorandum forms next to your telephone can be invaluable.

Develop a methodical approach to site visits and inspections by using a standard format for recording
notes.

A rational filing system needs to be developed and meticulously maintained. The following headings
are given for guidance:-

Office procedures Approvals

Time sheets Planning permissions
Office costs Building regulations
Resources control Landlords
Fee accounts
Recoverable expenses

Job administration Design and cost control

Client correspondence Design team minutes
Financial and stage reports Correspondence with consultants
Client approvals/agreements Financial statements
Pre-contract correspondence Specifications
Programmes

Site Contract
Surveys, site investigations Main contractor correspondence
Access Sub contractor correspondence
Public utilities Tenders: Main contract
Adjoining properties Sub-contract
Wayleaves and restrictions Suppliers
Advance contract works
Brief Clerk of works reports
Client requirements Minutes of progress meetings
Design data Architects instructions
Environmental considerations Claims
Specialists requirements Valuations and certificates

Prepare a file index for each project at the outset. Ensure that files are kept centrally and that there is a
booking system for file that are taken out of the central registry
Files should be clearly marked with the file reference, contents and the name and address of the firm
(in case the file is mislaid).

A.10
A INCEPTION
Checklist A6:- Project programmes

It is essential that the activities of the design team are programmed in much the same way as the con-
tractor will programme the activities of the construction team.

The job programme must be devised to take into account the resources available and be related to the
total office workload programme as well as the requirements of the project.

A bar chart is simple to use and keep up-to-date. Occasionally complex “fast track” projects will re-
quire the use of more sophisticated Critical Path Analysis techniques. The content and presentation of a
bar chart programme may vary considerably according to the size and nature of the project. Two kinds
are commonly used in practice:

1. Basic Project programme

These are usually based on weekly intervals and cover the full duration of the project.

Work periods are noted on the bar chart for the work stages A-L, identifying key dates for cost
checks and reports.

Critical dates or “milestones” are noted for the activities of the architectural, quantity SURVEY-
ING AND CONSULTANT TEAM MEMBERS.

Other critical dates noted on the basic project programme are:

 Consents; dates applications made and granted.
 Contractor; dates for start on site, completion (in phases?), occupation.
 Contingency period, preferably before appointment of the main contractor.
 Lead-in times for materials or components on long order, defining key dates for preliminary
contracts and/or advance orders.

Remember to allow time for the client‟s own decision-making process, which can be considerable.

2. Supplementary programmes

These determine detailed timetables for the activities of the design team and interlink various contribu-
tions relating to specific events or period within the overall programme. They need to be more detailed
than the overall programme and will usually be on weekly or even daily basis.

These programmes should be formally issued to all team members and form the basis for team work-
ing. They should be updated following design team meetings and the client may need to be informed of
any significant changes.

Constant updating of both programmes is essential to identify any changes and shifts in critical opera-
tions. These must be formally agreed at progress or design team meetings.
 Continued…

A.11
A.12

Checklist A6:- Project programmes page two

Staff Resources allocation

Time estimates for individual activities can be estimated from the project and supplementary pro-
grammes. Relating available staff resources to the overall project programme(s) enables forward plan-
ning to provide a picture of staff requirements over a given period.

It is important to not that the manipulation of staff resources to accelerate progress in design projects is
not always effective. This is because at many stages of the design process work is necessarily restricted
to a few designers. Also, the progress of consultations with the client, local authorities and others is of-
ten outside the control of the design team. No increase in output can be gained by simply increasing the
number of staff on the job at these times. In design work, change of staff on the job is often accompa-
nied by a prolonged “warming up” period.

The following considerations need to be taken into account when allocating staff resources:-

1. The total staff available must equal or exceed the peak demand made by the programme or pro-
grammes. If necessary, programmes must be adjusted to suit the available resources. Hiring of
temporary or contract staff to cater for peaks in the office workload can be expensive and produc-
tivity can be low.

2. Activities requiring scarce or special skills should be accorded higher priority than those for which
more general skills will suffice. It is better to get the difficult jobs out of the way early. There is a
better chance of accelerating more routine tasks by increasing manpower.

3. Activities on which a large number of subsequent activities depend, and those on the “critical
path” deserve priority over those not critical to later stages.

4. Economic working demands that available staff resources should never exceed the resources re-
quired by a considerable margin. Economic practice is therefore often a delicate balancing act be-
tween the conflicting demands of several programmes. It is normal for actual progress to differ,
sometimes considerably, from the planned programme due to many circumstances, but the pur-
poses of programming are still valid:-

(a) To enable the team leader to anticipate and smooth out peaks and troughs in the office work-
load.
(b) To enable the team to monitor progress against the programme and where necessary to plan
to recover lost time.
 A.12
A INCEPTION
Checklist A7:- Design team appointments

Architects should be able to offer informed advice about the range and scope of services available in
related disciplines as well as an outline of the fee structures of other professions.

When advising a client about the appointment of a consultant an architect should be able to provide a
description of the service required by the project. This will help the client negotiate a suitable agree-
ment.

In all instances where a client asks an architect to advise on likely fees for other professional discip-
lines, reference should first be made to an experienced member of that profession or quotations should
be obtained specific to the project in hand.

Quantity Surveyors

In Zambia conditions of engagement and the scale of fees foe quantity surveyors are governed by CAP
825, the Architects and Quantity Surveyors Registration Act. Fee scales for normal services are manda-
tory.

An architect needs to be aware that fees for normal services are based on a percentage of the project
cost; presently 2.5% for new-build projects in most circumstances, and 3% for work to existing build-
ings. Expenses such as printing charges, travel and disbursements will increase the total amount paya-
ble. If there are variations which have to be measured the quantity surveyor will charge an additional
fee (3% of any additions, 1.5% of any omissions). Installment of payments are left for the client and
Quantity surveyor to negotiate.

Land Surveyors

An accurate site/building survey is essential. Specialist firms of land surveyors are available to under-
take large, complex or difficult surveys.

For most purposes in Zambia the scope of surveys required will be within the capability of many archi-
tectural and engineering practices. Reference should be made to the survey checklists contained in sec-
tion B, to determine the scope of the survey required. Once the scope of the survey is established quota-
tions for the cost of the survey should be prepared, or obtained from the land surveyor or engineer. The
client‟s approval to the cost of a survey must be obtained before work proceeds.

Valuation/General Practice Chartered Surveyors

General practice surveyors have specific expertise in matters relating to property valuation, acquisition
and property law. An architect may frequently work in close collaboration with a chartered surveyor,
particularly in relation to commercial property where the surveyors advise on matters such as marketa-
bility, rental levels achievable, site values and ownership/purchase can be crucial. Good advice from a
chartered surveyor can be an invaluable contribution to the development of a brief and feasibility stu-
dies.

A.13
A.14

Checklist A7:- Design team appointments page two

Professional fees for valuations are usually based on a percentage of the value of the property. Fees of
the services may be time related or negotiated.

Structural Consultant

The Engineering Institute of Zambia is established under CAP 826 of the laws of Zambia. Members of
the institute follow standard conditions of engineering and fee scales set by the institute.

There are various fee scales covering the various conditions under which an engineer may be ap-
pointed, e.g.:

 For report and advisory work.

 For civil, structural, mechanical and electrical work where an architect is not appointed by the
client.
 For structural engineering work where an architect is appointed by the client.
 For engineering services in relation to sub-contract works.
 For engineering services in relation to direct contract works.

Partial services are usually charged on a proportional or time related basis. Disbursements cover the
normal range of costs and expenses.

Additional services for which an additional fee may be charged include:

 Surveys and survey reports
 Investigations
 Inspections and reports
 As built drawings
 Preparation of details for shop fabrication of steelwork, ductwork, or specialist components
 Services of a resident site engineer or engineering clerk of works.

The engineer‟s agreement requires the client‟s comments on drawings, reports, recommendations etc.
in a reasonable period of time so as not to cause delays or disruption to the consulting engineer‟s ser-
vice.

Architects should be aware that:

(a) Working drawings in architects terms are not provided by M & E engineers
(b) Builders work drawings for M & E work are for the architect to provide. It is the architect‟s re-
sponsibility to coordinate requirements for structure, holes, shafts, chimneys, insulation, fire
stopping, access, etc.
(c) Coordination drawings, where commissioned, show detailed layouts and relationships for their
proper organization and layout.
 (d) Installation drawings are the responsibility of the contractor or specialist sub-contractor, for fa-
brication, equipment installations, pipe work layouts, supports etc. the sub-contractor is re-
quired to invite the engineer‟s comment prior to fabrication/installation.

Contract documents must emphasize the contractor‟s duty to coordinate all service work on site.

A.14
B FEASIBILITY

Contents Page

Work Stage B: Feasibility

Actions required of the architect and client B.1

Action checklist for work stage B B2-B.5

Checklist B.1: Developing the brief B.6

Checklist B.2: Information base for feasibility study B.7-B.8

Checklist B.3: General survey requirements for feasibility study B.9-B.10

Checklist B.4: Information to be shown on survey plans B.11-B.12

Checklist B.5: Surveys of existing buildings B.13

Checklist B.6: Trial Holes B.14

Checklist B.7: Consents required, general considerations B.15

Checklist B.8: Consents (Planning) B.16

Checklist B.9: Other consents B.17

Checklist B.10: Planning applications, details on drawings B.18

Checklist B.11: Building regulations, drainage B.19

Checklist B.12: Main services, public utilities B.20

Checklist B.13: Financial appraisal B.21-B.23

Figure B.13.1 Specimen Financial Appraisal
Checklist B.14: Design team appointments B.24
B Feasibility
Actions required of Architect and client

The following extract from “Architects Appointment” (Part 1: Architects services) describes in outline
the architect‟s main duties in the feasibility phase of a project:-

“Carry out such studies as may be necessary to determine the feasibility of the
client’s requirements; review with the client alternative design and construc-
tion approaches and cost implications; advise on the need to obtain planning
permissions, approvals under building acts or regulations and other similar
statutory requirements.”

Throughout stage B the client should provide all information required by the architect and assist in stu-
dies carried out by the design team. If necessary, he should initiate studies within his own organization
to complement the feasibility study.

If after consideration he accepts a recommendation to proceed, he should appoint further consultants as

required and agree a programme of work for subsequent stages.
B.1
B.2

Actions Checklist for workstage B - Feasibility

Use this checklist to plan your workload for this stage, and to check back at the end of the stage that
some important aspect has not been overlooked. As with all checklists, there will be some activities not
appropriate to the project in hand.

Office Procedures
1 Prepare office resources for this stage.

2 Initiate office procedures including time sheets record chargeable time and expenses; make regular
progress checks on the programme established by the design team.

3 Regularly report to the client on fees, time charges, and expenses.

4 Prepare fee accounts as appropriate and check that payment is made.

Job Administration
1 Obtain client‟s written approval to any extra costs incurred on his behalf (surveys, legal fees, etc.).

2 Check that any consultant‟s appointments have been accepted.

3 Discuss with the client if there is need for the early appointment of a contractor or specialist sub-
contractors.

4 Agree any studies to be undertaken by the client.

5 Consider discussion of project proposals with local interest groups and local authorities if client
agrees.

6 Maintain control over resources and programme.

7 Agree submission date for the stage B report and record the actual date of submission and approv-
al, with relevant comments.

Design Team and Reports

1. Initiate design team meetings. Adopt a standard agenda and system of written reports to the design
team meetings.

2. Organize team to establish responsibilities, programmes and procedures.

3. Agree supplementary programme for stage B.

4. Define input by the client and any special studies by the architect, quantity surveyor, or other con-
sultants.

5. Appraise potential financial and contractual constraints imposed by the brief.

6. Appraise essential brief, site and design factors for feasibility studies with engineers and quantity
surveyor.

B.2
B Feasibility
Action checklist for work stage B - Continued

7. Agree format of feasibility report to client and the contributions from design team members.

8. Collate contributions and consolidate report to client.

9. Present report to client and seek his comment and instructions to proceed.

Brief

1 Establish with the design team the strategy for developing the brief and undertaking any research
required.

2 Determine the clients contribution, in terms of:-

- clients organization and functions
- project experience
- special skills
- history of project
- future plans
- functional requirements
- quality required
- priorities (cost, speed, quality, phasing etc.)
- client requirements (cultural values, commercial considerations)
- user requirements (efficiency, comfort, security)
- public considerations (aesthetic, amenity, convenience)
- client resources (expertise, management, finance, time)

3 Determine the contributions of architect, quantity surveyor, consultants and client.

4 Determine contributions from contractors or specialist sub-contractors if involved at this stage.

5 Agree what special investigations, visits etc need to be made, and agree cost with the client.

6 Determine procedures for collating and recording the requirements of the brief, and obtaining the
client‟s agreement.

Site
1. Initiate necessary surveys.

2. Obtain quotations for surveys for client‟s approval.

3. Carry out studies on the site and in the locality.

4. Establish facts about boundaries, access, rights, easements, etc. (client‟s solicitor is usually respon-
sible for this).

Continued…

B.3
B.4

Action checklist for work stage B - continued

Approvals

1. Make enquiries with local authorities on planning constraints, services, traffic, environmental and
other factors.

2. Apply for preliminary consents as appropriate.

3. Remind consultants to check on consents, regulations.

4. Check that any contents essential to further progress the project are obtained in writing.

5. Ensure client is aware of and reveals any restraints, rights and obligations.

Design and Cost Control

1 Carry out essential conceptual drawings and design work for the feasibility study (including alter-
native approaches) in conjunction with engineers and quantity surveyor, with particular reference
to cost constraints.

2 Prepare drawings, diagrams, etc. needed for the feasibility report.

 It is more appropriate at this stage that drawings should be in sketch or diagrammatic form than “fi-
nished” drawings.

Contract

1 Where relevant advise on the appropriate form of contract to use.

2 Make initial enquiries to suitable contractors, sub-contracting specialists, plant and equipment
suppliers etc.
 B.4
B Feasibility
Action Checklist for work stage B – “Watch Points”

Stage B is crucial preliminary stage in the development of the project which, if thoroughly carried out,
will establish the project on a sound footing and will guide the procurement process.

 Make sure the appointed consultants assist you and the client to draw up a brief which will realisti-
cally reflect the accommodation and standards required.

 Check all information scrupulously. Accept nothing on trust. Initiate site surveys, consult relevant
authorities. Discover the full circumstances of the project and note any restraints which may affect
its initiation or progress.

 If you need advice on a matter with which you are not familiar, consult a suitable specialist. Never
gamble or guess!

 Be frank with the client; take time and trouble to build up a good working relationship with him; it
is vital to the success of the project. Make sure he understands your philosophy, and you his. re-
member he is going to have to make numerous difficult decisions about priorities, costs and pro-
gramme during the course of the project and will rely on your advice to assist him in his decision
making.

 The feasibility report to the client will establish the basis on which the project will proceed. You
may have to tell him, however reluctantly, that the job is not feasible. Make sure your report is
comprehensive, soundly researched, and draws positive conclusions.

 You may need to include a programme for the whole process of procurement. Remember that if
rapid completion is required difficult decisions may have to be made now about the best method of
procuring the building, as “fast tract” methods have major implications for the design of buildings
and the process of design development.
B.5
B.6

Checklist B.1 – Developing the brief

The brief and the design process develop together. The requirements of the client are considered to-
gether with other design criteria such as planning constraints, building regulations, structural and ser-
vices engineering considerations and aesthetic concepts. These in turn influence the brief, which is ad-
justed accordingly. This cyclical process is repeated in successively greater detail until the end of the
stage E (Detail design).

The more complicated the building the more important it is that the brief is developed systematically.
The first stage to this process is to evaluate the client‟s initial brief.

1 Does the client’s initial brief give an adequate statement of his requirements?
To assess this, refer to the checklist B.2:- Information Base for feasibility study, adapting or mod-
ifying it to meet the needs of the job. If the architect‟s assistance is need in compiling the initial
brief, and if the amount of work involved exceeds that described in the fee structure that has been
adopted, agree a fee structure for the additional work. A similar agreement may have to be reached
between the client and quantity surveyor/other consultants.

2 Agree with the client and design team what other information is needed to develop the brief
Agree how this information is to be obtained, and who is going to collate, process and record it.

3 Agree the responsibilities of each member of the design team in developing the brief
Refer to checklist B.13:- Design team roles and responsibilities. Ensure that a fee basis is agreed
for the work.

4 Agree a programme of work and review progress until the brief has been finally developed
and agreed.
Report to the client on the development of the brief at the end of each work stage. Include a sum-
mary or copy of the initial brief, the brief as developed so far, and any other relevant design data.
It may be prudent to draw the client‟s attention to changes that have been made and explain the
implications. Ask the client to approve the revised brief as the basis for the next work stage.

The key to developing a good brief is to be a good listener. Ask questions rather than prompting the
client with your own preconceptions of his activities and requirements. Respect his stated requirements,
but remember he may not be experienced in building projects or other aspects outside his particular
area of experience. Clients come to accept their current situation and may not recognize that their exist-
ing accommodation is no longer up to standard.
 B.6
B Feasibility
Checklist B2:- Information base feasibility study

1 Project information
Project name
Type of works
Site address
Purpose of building

2 Critical dates
Site possession
Start on site
Completion
Partial occupation/use

3 Main contract requirements

Alternative methods
Systems of construction
Need for permanent site staff

4 Physical factors / the site

Adequacy of access
Surveys, investigations made / needed
Existing buildings, tenancies etc
Areas to be retained in occupation by the client

5 Statutory constraints
Regulations applicable
Consents and approvals granted or required

6 Environment
Weather
Noise and vibration
Physical pollution
Topography

7 Aesthetics
Building design
Sitting, landscaping
Materials
Conservation aspects
8 Client’s policy / priorities / deadlines
Overall timetable
Extent of client‟s contribution / participation
Client‟s representation

B.7
B.8

Checklist B2:– Information base for feasibility study two

9 The building
Expected life
Flexibility in use
Standards, quality control
Maintenance

10 Project Costs
Cash flow / funding constraints
Cost limit constraints
Timescale / base date for estimates / inflation
Costs in use / maintenance costs

11 Use of building
Relationship of functions
Number, activities and space/physical needs of occupants
Duration and frequency of occupation
Special items to be accommodated, e.g. machines, animals
Vehicles (assess weights, turning circles etc)
Safety and health risks e.g. noise, heat, chemicals.
Future trends/changes, need for flexibility
Phasing, occupancy to be retained during contract works
Zoning, permanent and temporary
Conflicting activities
Communication routes, systems
Fire risks
Security requirements, secure areas and zones
Flexibility in internal arrangement
Staff hierarchy / confidentiality of areas
Special occupational needs
Facilities for health and safety
Amenities
Energy policy
H & V, ventilation requirements
Special services
Noise and lighting criteria / day lighting
Psychological considerations; views, materials, space allocation
Layout and sitting of plant and equipment
Control systems
Commissioning, access and maintenance
12 Design team appointments
Special sub-contracts, suppliers
Design warrantee / collateral warrantee requirements

B.8
B Feasibility
Checklist B3:– General survey requirement for feasibility study

When a survey is need a number of decisions need to be made and actions taken. These are general re-
minders which will help establish the framework. Checklists for specific surveys follow:

1 What king of survey is required?

For example, general or particular information about
- context and location
- existing buildings
- geological or soil conditions
Prepare key drawings to indicate precisely what is to be surveyed.

2 Why is the survey needed?

Initial requirements are for the feasibility study. Further information will be required for later
stages, but it may be more economic in the long term to undertake a detailed study now. Discuss
and agree with the client

3 When do the results need to be available and what form should they take?
Depends on the type of survey and level of detail as well as the urgency of the feasibility report.
Surveys presented in draft form may help to progress the programme and can provide early warn-
ing of potential difficulties and the need for further study. Decide early whether photographs are
needed and give precise instructions where these should be taken from.

4 Who will carry out the survey and who will pay for it?
The survey may be carried out by the architect‟s own office or by outside surveyors or engineers
as appropriate. If the client is paying he must approve estimates beforehand.

If the survey is to be carried out by the architect‟s own office, check that the following equipment is
available and in working order:-

Compass manhole lifting irons

Level tape
Theodolite survey board
Sighting rods and markers scales
Ladder camera, lenses, films etc
Chain toolkit-screwdrivers, crow bar etc
Electric torch, spare batteries

Consult the local authorities in connection with planning, public health, building regulations, fir, roads
and highways.

If outside surveyors, photographers, specialists and contractors are to be engaged for various parts of
the survey obtain estimates from them and confirm:
  By whom they are to be engaged (by architect or client direct)
 How surveying fees are to be paid.
 Who is doing what part of the work.
 How and when the results are to be presented.
 Arrangements for access, security, safety and insurance.

B.9
B.10

Checklist B3:– General survey requirements continued

5 Does the client have access to the site?

Obtain keys if necessary. Notify persons on site as appropriate.

6 Have the site boundaries been established?

Obtain registered land plans of the site. Identify survey pegs on site or reestablish missing pegs.

7 Does the client have any relevant information about the site?
For example:
- consents obtained or being sought
- drawings
- title deeds, leases
- restrictive covenants
- ownership of boundary fences, walls
- rights of way, common or shared access
- rights of light, air and support etc

8 Are there any properties adjoining the site?

If so, consider:-
- their general character, usage and age
- whether there may be any conflicts of use or interest
- whether there is any evidence of subsidence
- fire risks
- party walls
- shared services
- ownerships at boundaries

It may be advisable to record in detail the condition of adjacent properties, noting in particular the loca-
tion and extent of any signs of structural damage, as adjacent owners may claim in the future that dam-
age has been caused or worsened by subsequent building works.
 B.10
B Feasibility
Checklist B4:– Information to be shown on survey plans

Prepare key drawings which show precisely what is to be surveyed and how it is to be shown on the
plans. Survey drawings must show information clearly and precisely.

Main overall dimensions should be shown. Elevations of adjoining buildings/walls should be drawn on
separate sheets at the same scale as the plan. Incorporate sections through the site where appropriate.

Use this checklist to brief the survey team by clearly marking up a copy with the items required.

1 General information
- existing and proposed boundaries
- outline of existing buildings and roads
- boundary fences, walls (height, materials, condition, ownership)
- access ways, location and use
- ditches, ponds, waterways
- wet/bad patches (seasonal variations?)
- rock outcrops/pits or other geological features
- termite mounds
- positions of trial holes
- footpaths and rights of way

2 Levels
- position and level of bench marks, or indicate basis of datum
- calculated levels in true relationship to ordnance datum level
- spot levels on a closer grid where variations occur (changes in level, hillocks etc)
Show spot levels:
- at bases of trees
- on all service covers
- on pavement kerbs and road crowns where they enter the site
Indicate contours, intervals (in meters), and position of sections.

3 Sections
Draw sections along section lines indicated on the key drawings

4 Services
Check all information with local authorities and/or services companies. Check information thus
obtained with particular reference to invert levels. Where it is not possible to physically check in-
vert levels note this on the survey plan.
 Indicate all services above and below ground adjacent to, connecting to, or passing through the
site. Show relevant levels, falls, heights, access points, manholes (show cover levels and inverts),
as well as:-
- pylons, posts (show headroom under cables)
- soil and surface water drains
- electricity cables
- telecommunication cables
- any other services

B.11
B.12

Checklist B4:– Information to be shown on survey plans

5 Trees, planting
Show trees, hedges and large shrubs
- height and position
- spread of benches
- diameter of trunk 1M above ground level
- species ad condition
- topsoil analysis (specialist item – all provisional sum)

General information about site and area. Note:-

6 Context and character

- relationship to surrounding area
- plans for adjacent development (local knowledge, local authority)
- general character, visual quality
- derelict, shanty areas
- illegal occupation, informal crop growing or grazing

7 Topography
- form and contours
- water courses, lakes, ponds
- geological factors, soil conditions
- quality of natural landscape

8 Traffic
- movement pattern, surrounding road layout
- vehicular and pedestrian routes to shops etc.
- traffic noise, pollution, accident hazards
- rights of way
- condition of roads, pavements, steps etc

9 Population
- density
- social aspects
- land use, non-conforming or illegal users

10 Environment
– rivers liable to flood or pollution
– flooding from sewers or septic tanks
 – sewage treatment works or old septic tanks
– tanneries, abattoirs or other noxious uses
– airports, flight paths
– railways, busy roads, lorry parks and similar noise sources

B.12
B Feasibility
Checklist B5:– surveys of existing buildings

1 Drawings
Obtain or survey and prepare the following:-
General plans, sections, elevations
Existing occupations/uses
Specific details of construction
Details of decorations, profiles etc.
Substructure
Superstructure
Primary elements (frame layout and sizes)
Secondary elements (door, window types etc)
Finishes
Services
Installations
Fixtures and fittings
Loose equipment

2 Written report
Include any information which cannot be shown graphically
Describe any opening up required
Report on any structural and other defects noted, for example:
- dry rot, damp, termite attack
- infestation; rodents, beetles, insects
- recent repairs and redecoration (which may be covering up defects)
- settlement cracks, misshapen openings, gaps at skirtings, and windows
- bulges in walls out of plumb
- sagging roofs and roof coverings
- deflection of beams or lintols. Cracks at beam bearings etc.

The architect or surveyor should state how much of the structure he was able to see and where. He
should not infer the whole state of the building from sight of a part of it. A statement on the following
lines will be appropriate in most circumstances:-

“It has not been possible to make a detailed examination of the following structures except in the posi-
tions described because material damage would have been caused in gaining access:
- Floors………………………………………………………………………………….
- Roof……………………………………………………………………………………
- Voids…………………………………………………………………………………..
- Other…………………………………………………………………………………...
It is appropriate the client should be advised to call in specialists, e.g. structural and mechanical engi-
neers, timber treatment companies etc. Determine fees, expenses or disruption likely to result from
opening up and seek the clients instructions.

B.13
B.14

Checklist B6:- Trials holes

1 General

Investigations by bore holes and/or trial pits is made to determine information and data for the design
and construction of foundations, underground structures, road works, earthworks, etc

The structural consultant may be ale to give preliminary advice by examining available information
about the geology and history of the site, (e.g. maps, files, engineering data from earlier works in the
area, local knowledge, etc.)

The consultant, if appointed, should recommend the type and extent of investigation, and the number
and distribution of trial holes necessary to obtain a reliable assessment of subsoil and water table condi-
tions.

The investigating firm should allow for carrying out the work in accordance with any special require-
ments of the owners or occupants of the site. They should be made responsible for all security, protec-
tion and related insurances during the duration of their work.

2 Fieldwork

The fieldwork should be supervised by the engineer and daily liaison should be made so that any varia-
tions indicated by the bore hole results can be assessed. Site records should be sent to the engineer in-
cluding:-
- bore hole numbers and locations
- dates and times of boring
- type of plant and methods of boring
- diameter of bore casing and core
- description of strata and depth of base of each strata
- depths of samples taken, or in situ tests carried out on cores
- water levels

on completing the site work the constructor should submit to the engineer preliminary bore hole logs
including a list of samples so that instructions can be given for laboratory testing.

3 Report

The final investigation report should be submitted as a draft (for approval of its form, not content). Un-
less otherwise specified by the engineer it should contain:-

- description of work carried out (site and laboratory work)

- bore hole logs
- laboratory test results (geological classification, index of properties, sulphate content, etc.)
- record of water levels and variations in stand pipes/bore holes
- results of strength tests
- plan showing positions of trial and bore holes (can be incorporated with main survey plan where
appropriate).

B.14
B Feasibility
Checklist B7:– Consents required, General considerations

Consents may have to be obtained during stages B, C, D, E and F from authorities, organizations or
persons having jurisdiction over or rights affecting the project, or who are affected by the project. Con-
sents which could affect the feasibility of the project should be obtained, at least in outline, during
stage B.

Depending on the nature of the project, the site, and the amount of definitive information provided by
the client, each consent should be obtained at the earliest possible stage and in any case in time to pre-
vent abortive work. Only those consents which affect only detail should be left until stage D.

If it is in the client‟s interest to proceed with work before consents have been obtained, he should be
warned that he will have to meet the cost of such work if consents are not given and the work is ab-
orted.

Do not promise a client that the consents he requires will be forthcoming. He might be misled into
making an expensive mistake such as buying a site for which a consent cannot be obtained. His instruc-
tion to proceed with applications for consents should be confirmed in writing. He should also agree to
pay the associated fees.

1. Obtain from the client

- any information or special instructions about the way to approach authorities or individuals to-
gether with copies of relevant leases, covenants, etc, etc.
- Discover whether any conditions affect the project and what permissions might have to be ob-
tained.

2. Note the names and addresses

- of all relevant local authorities and interested parties. Include owners of adjacent property, land,
or who‟s rights might be affected by the development.

3. Confirm procedures and timetables

- for consents, party wall notices and so on. Check with the client what action he and his other
advisers require from you, and what actions they will take directly.

4. Keep a running list

- of consents applied for, dates of applications, dates of likely decisions and consents obtained.
report progress at regular design team meetings and keep the client informed.
B.15
B.16

Checklist B8:– Consents (Planning)

1 Study local plans

Study local planning authority policy and plans. Check if they are still current. Are there publica-
tions, circulars or government policies relevant to your submission? If so study them.

2 Consult a senior planning officer

What are the planning officer‟s views? Be prepared to put your own case forward calmly and per-
suasively.

3 Talk to local people and local officials

Find out about the views of local people, local officials and local interest groups.

4 Offer something positive

What positive planning gains will your proposal bring to the community? (employment, improved
infrastructure, removal of dereliction, improved appearance or public amenity etc.). Define them,
and be prepared to prove or demonstrate them.

5 Formal requirements
Establish the local authority‟s formal requirements for submissions. Will an outline submission
suffice at this stage?

Discover whether the client has any views about approaches to local authorities and/or individuals. He
may have his own contacts and lines of communication, or considerations of confidentiality may con-
strain who you can consult.

Check which authorities have jurisdiction over the land/buildings, and note the details of departments
and key personnel on file.

Discover of confirm:-
- any previous applications and consents relating to the site
- whether the project is exempt; e.g. government land/buildings
- future or possible plans for the site and locality
- whether the area is subject to use zoning
- maximum or minimum site coverage, plot ratios and density
- definition of terms, e.g. persons/bed space, net/gross etc.
- building lines, height limitations
- car parking and delivery access requirements
- aesthetic controls, use of particular materials etc.
- any precedence that might be relevant
Check the following:
- dates for forthcoming planning and/or council meetings
- probable time scales for a decision to be taken
- number and types of drawings required
- procedures, e.g. advertisements, public notices. Time scale?

Obtain forms for applications and notification certificates as appropriate. Decide whether perspectives
and/or models might be required and if so ask client to authorize the additional expense.

B.16
B Feasibility
Checklist B8:– Other Consents

Check what other consents are required and from whom: consider:
Statutory consents:-
- external advertising
- external signs
- temporary structures (site accommodation etc)
- building control authority/public health acts
- forestry
- licensing justices
- ministries
- police departments
- fire authority
- transport authorities and others
- statutory undertakers, public utility companies
1 Contact undertakers
Deal directly with statutory undertakers.
- is the present or planned network adequate?
- What contribution will they require from your client?
- What are their time scales for providing services?
- What are their requirements and conditions for wayleaves, etc.?
2 Roads and highways
The architect, or engineering consultant when appointed, should check with the departments re-
sponsible:
- any relevant road construction or improvement plans or proposals
- building lines, splays and improvement lines
- loading requirements, special access for exceptional roads
- street lighting requirements
Obtain requirements and standard specifications for:
- unadopted roads
- road widths
- pavement widths
- access cross overs
- turning circles
- sight lines
- construction specifications, etc.
Discover requirements for:
- stopping up or diverting highways
 - bridges
- overhangs over highways and footpaths
- procedure for obtaining formal consents
Follow the authority‟s guidance about presentations and submissions, particularly:
- number and type of prints
- notices
- certificates
- use of perspectives, models etc
B.17
B.18

Checklist B10:– Planning applications, details on drawings

(a) Outline applications

Include:
Site plan (location plan drawn to a suitable scale to identify the site)
Layout (site plan drawn to a suitable scale, not less than that specified by the local authority)

Indicate:
North point
Scale
Boundaries of site
Existing roads and buildings etc
Use of building(s)
Density, i.e. plot ratio, sit coverage, dwellings/acre etc.
Floor areas, net and gross as appropriate
Car parking numbers and ratios
Approximate contours and/or levels
Position of mains services
Nearest public roads
Existing access points to the site
Proposed access points to the site
Trees and features to be retained.
Draw a red line around the site, blue line around adjoining land in the same ownership
Ensure consultant‟s drawings also comply with the requirements of the relevant authority.

(b) Detailed applications

As above but include:-
Details of buildings specified by the authority
- plan of each floor
- plan of roof
- elevations of all sides to show finishes, materials, colors
- section in outline
- reference point for levels
- other relevant information, e.g. details of adjacent buildings

Indicate:-
Additional details of site layout, planting paving etc
Additional details of access and site roads (layout, construction radii, car park layout, etc.)
 B.18
B Feasibility
Checklist B11:– Building regulations, drainage

1 Approach
Ask the client if he has any views about approaching the authorities and/or individuals. Remember
he may have his own contacts

Check which authorities have over site/buildings and which department/section is responsible for
building regulations in the area.

Clarify, define and confirm areas of responsibility with the design consultants.

2 Buildings
Check that the project is not exempt from regulations (e.g. certain government uses). If the project
is exempt, what is the client‟s policy on compliance with codes of practice, e.g. means of escape.
Consider making a courtesy submission for information and/or comment. Remember insurance
may be difficult to obtain on buildings for which it is not possible to demonstrate compliance with
regulations or accepted codes of practice.

Check the following:-

- by-laws and regulations requiring consents
- height limitations
- highway developments
- means of escape/fire officers‟ requirements
- transport authorities
- public health acts
- any previous applications and consents
- demolition requirements
- any notices or clearance orders
- information about sub-soil, water table conditions
- any mineral workings under or adjacent to the site
- failures in the locality and reasons for these

3 Drainage
Check the following:-
- local by-laws
- specifications for adoptable drainage works
- existing systems affecting the project:
combined system
separate foul and surface sewers
soil sewers and storm drain/soakaway systems
surface water to watercourses
 - private drainage; cesspit, septic tank, pit latrines, etc proximity to bore holes or water-
courses
- details, positions, sizes, invert levels and direction of flow of all foul and surface water
sewers on or near the site.
- Check loading/demand on existing system, and history of flooding or surcharge
- Methods of connection possible and whether the constructor or local authority is to
make the connection
- Is an oil or grease trap required?
- System for internal drainage (ventilation/anti syphonage etc)
B.19
B.18

Checklist B12:– Main Services, Public Utilities

1 Approach
Ask client for guidance about approaches to companies and individuals

Check which company has jurisdiction over the site/buildings and which company provides which
service. Note details on file including a record of the personnel involved.

Define and confirm areas of responsibility with the various consultants. Always check personally
that they have fulfilled their responsibilities (agenda item, design team meetings).

2 Water
- by-laws and regulations (obtain copies)
- tariffs
- charges for supply and contribution to infrastructure
- size of supply required/available (permanent and temporary). If possible give notice of supply
required for construction
- pressure required/available
- location, depth and size of mains on or near the site
- position of intake/meter requirements
- consider provision of bore hole where mains is available (watering of grounds, security of
supply)
- consider on-site storage (intermittent supply, low pressure)
- requirements for bore hole supplies; location, permission for extraction of ground water

3 Electricity
- estimated load (permanent and temporary). If possible give notice of supply required for con-
struction purposes
- whether sub-station will be required
- location and required clearance from all cables, towers and pole lines on or around the site
- tariffs, charges for supply etc.
- position of connection to network, cable routes, intake duct requirements

4 Telecommunication
- permanent and temporary services required
- location and clearance requirements from cables and pole lines on or near the site
- requirements for ducts/inspection chambers underground
- position of intake duct
- restrictions on relationship to other cabled supplies

5 Procedures
 - check dates by which applications have to be made to comply with programme
- confirm drawings and information required
- obtain necessary forms for client to approve and sign
- make arrangements as appropriate for temporary supplies to avoid delay to the commencement
of construction

B.20
B Feasibility
Checklist B13:– Financial appraisal

The financial appraisal is usually prepared by the quantity surveyor where appointed, and may be part
of the feasibility report or be appended to it. Even where there is a quantity surveyor the architect may
decide to write the appraisal himself in consultation with the quantity surveyor.

Remember that a bald statement of assorted figures will make the client little the wiser. Set out the in-
formation under clear headings and state the context, assumptions made and the parameters for the in-
formation given.

1 State:
- state date the report was prepared
- what information was available/not available
- what items are excluded

2 Define the context

- existing cost criteria
- the budget
- other financial factors appropriate; cost in use, cash flow, financial pay-back etc.

3 Define assumptions and predictions

- relevant dates assumed
- degree of accuracy
- assumptions made of interest and inflation rates
- identify basis for calculation, e.g. cost indices, measurement
- items not yet clarified

The specimen financial appraisal, fig B.01 is an example of the information that may be included in a
report to the client. This kind of report should be provided at the end of stages B, C, D, E and F, and
should be prepared in consultation with the quantity surveyor. The degree of precision possible will
increase as the project proceeds.

An input may be required from the client and/or his other advisors into matters such as acquisition
costs, revenues generated etc for complete appraisal of the financial viability of the project.
B.21
B.22

Figure B13.1:– specimen Financial Appraisal

Project Name:…………………………………………………………………………………………….

Job No:…………………………………Report stage……… Report Date:……………………..

This estimate supersedes previous estimates

1 Capital Cost
Assessment of total capital cost of building:
Main contract
Site investigation
Abnormal site works
Abnormal costs in substructure etc
Contingencies
External services
Other items Sub total K……………………..

Supplementary contracts
Preliminary contracts
Direct works
Completion/fitting out
Other items Sub total…………………………

Direct purchase items

Furniture and fittings
Artwork, sculpture etc. Sub total…………………………

Fees and expenses – design team

Architect
Quantity Surveyor
Structural Engineer
Services Consultant
Landscape design
Others Sub total…………………………

Salaries and expenses of site inspectorate Sub total…………………………

Capital total………………………

2 Total Capital Cost

 Add:-
Site cost (or market value if already owned)
Legal and other fees
Finance
Risk and profit
Staff administration costs
Removal and disruption expenses
Other

B.22
B Feasibility
Figure B.01:– Specimen Financial Appraisal continued

3 Assessment of cost in use

(all figures per annum)
Amortization of capital investment
Depreciation
Management expenses
Rates
Rents
Insurances
Regular maintenance
Cleaning
Repairs
Periodic major maintenance (financial provision)
Services (power, water, etc)
Waste removal
Others Total Annual cost K………………………

4 Value and viability

Total capital cost K………………………(A)
Rental return, per annum (or equivalent rental cost saving if
Owner-occupied) K…………………………..
Less total annual costs K…………………………..
Net annual return/cost K………………………….
Annual appreciation K………………………….
Total K………………………(B)
Annual return on capital employed = …………..% (B/A%)

Notes
1 The example given is a simplistic calculation of return on capital employed. In practice a
real assessment of value and viability might be more complex and may take into account
factors such as additional turnover generated, liability for taxation, grant aid etc. the client‟s
accountant or financial advisers may prepare the assessment of viability, and their view of
the affordable capital cost may form the budget for the project.
2 The appraisal should be accompanied by a statement of the assumptions made, what items
are not available for inclusion, what items have been omitted.
3 The client‟s attention should be drawn to the affects on the appraisal of shifts of the as-
sumed rate of inflation, and the cost estimates given.
B.23
B.22

Checklist B14:- Design team roles and responsibilities

Quantity Surveyor

The quantity surveyor will assist the architect to consider cost aspects of the site and special factors
such as access and topography, and will review costs of alternatives.

He will analyse cost information on other similar projects, local levels of building costs and cost trends,
and will advise whether the cost range proposed is feasible and whether the client‟s cost limits are ap-
propriate to his requirements and the standards of quality stipulated.

He will suggest tendering procedures and contract forms appropriate to the initial brief and the implica-
tions on time and costs.

He will liaise with other consultants in all matters and will contribute to the design team meetings and
to the feasibility report.

Civil/structural engineer

The engineer will advise the architect about site and local conditions such as soil and geological fac-
tors, roads, sewers, water supply, etc. he will carry out desk studies on site appropriate to stage B, e.g.
- obtain geological records, maps, etc
- enquire from LA or from records about geological conditions etc.
- advise on the need for site investigations at this stage, and arrange investigations where appropriate

He will suggest appropriate types of foundation and structure, primary drainage systems, access points,
and indicate optimum solutions to engineering problems as required.

He will liaise with the quantity surveyor to assist him in evaluating cost levels.

The engineer will contribute to design team meetings and to the feasibility report.

Mechanical and Electrical engineers

The mechanical and Electrical engineers will liaise with the architect and structural consultant to study
climatic conditions, problems of noise, emissions etc, and will consult supply authorities.

They will analyse conditions and brief to establish primary environmental requirements and will indi-
cate possible systems in relation to building forms and types of being considered. They will advise on
environmental standards and preliminary design criteria, including implications on building construc-
tion and any need for research, etc.
They will assist the quantity surveyor to decide an appropriate level of costs for the mechanical and
electrical services, and suggest appropriate design, tender and contract arrangements.

Thy will liaise closely with the architect, quantity surveyor and civil/structural engineers and will con-
tribute to the stage B feasibility report to the client.

B.24
Outline Proposals
Actions required of the architect and client

The following extract from “architect‟s appointment” (Part 1: Architect‟s services) describes in outline
the architect‟s main duties in the outline Proposals stage of the project:-

“With Consultants where appointed, analyse the client‟s re-

quirements; prepare outline proposals and an approximation of
the cost for the client‟s preliminary approval”.

During stage C the client will confirm existing appointments and approve the appointment of other
members of the design team as necessary.

He will initiate and complete any studies required within his own organization, assist as required with
all studies carried out by the design team and provide further information as required.

When he has been given the outline proposals, the client should be in a position to decide whether his
requirements can be met in a satisfactory way. He can then instruct the design team to proceed to the
next stage.
C.1
Outline Proposals
Action Checklist for Work Stage C – Outline proposals

Use this checklist to plan the work load for this stage and check back at the end of the stage to ensure
that some important aspect has not been overlooked. There may be some activities not appropriate to
the project in hand.

Office Requirements

1 Prepare office resources for stage C

2 Maintain records of chargeable time, time sheets, an note all expenses

3 Review programme and progress regularly, and check resources

4 Where the job is large and costly, report to client regularly costs incurred

5 Prepare fee accounts as they become due

6 Obtain client‟s approval to any extra fees to be incurred

Job Administration

1 Decide with client whether any consultants need to be appointed.

2 Consider with client when to appoint contractor or specialist sub- contractors, or whether to put
in hand advance orders to meet the client‟s programme.

3 Remind client of any studies he needs to complete.

4 Discuss presenting proposals to clients staff for appraisal

5 Maintain regular control over resources and programme and review regularly

Design Team and reports

1 Meet to consider client‟s approval of and comments on the feasibility report

2 Agree a plan of work and timetable for stage C

3 Develop design concepts including structure and services, general approach to layout, design
and construction.
 4 Define input required from client to develop brief and design

5 Brief quantity surveyor to prepare cost comparisons of alternative designs, and structural and
services solutions. Agree preferred solutions.

6 Review progress against overall programme.

7 Agree recommendations on preferred procurement path.

C.2
Outline Proposals
Action Checklist for Work Stage C – Outline proposals continued

8 Agree report content, presentation and timetable

9 Consolidate and present stage report to client

Brief
1 Extend the brief and design data as the scheme develops.

2 Notify team members of all changes to the brief and confirm revisions to the client approval.

3 Seek the client‟s approval to costs associated with any further studies required.

Site
1 Carry out further studies of site and locality

2 Progress enquiries with authorities

3 Clarify any outstanding queries on legal constraints and similar matters affecting the site.

Approvals
1 Progress enquiries with authorities on matters affecting approvals

2 Apply for consents as agreed with the client and according to programme.

Design and cost control

1 Review scheme in light of client‟s comments of feasibility study

2 Carry out further research as project requires

3 Visit similar projects, review literature

4 Study functional problems, circulation etc

5 Study effects of physical and legislative constraints

6 Develop diagrammatic analyses of requirements and solutions for discussion

7 Investigate alternative solutions to functional requirements and discuss with the client accordingly.
8 Prepare an outline scheme integrating structural and services requirements, showing critical dimen-
sions, spaces, functions, circulation etc.

9 Pass scheme to quantity surveyor and consultants for assessment for stage C report.

10 Consolidate proposals, prepare and present report to client.

C.3
C.4

Action Checklist for Work Stage C – Outline proposals continued

Contract

1 Review with the client the need for advance contracts or orders to progress the project to pro-
gramme.

2 Consider types of contract and identify most suitable procurement path, including specialist sub-
contracts.

3 Make arrangements for obtaining design warrants from specialist contractors and others as appro-
priate.

Watchpoints

 The brief will expand rapidly as the design develops. Carefully research the information required
and the standards assumed.

 Make sure the structural and services designs are developed to meet the standards required and
budget proposed, and in a way which is integrated with the building concept. Close liaison with the
consultants is crucial.

 Innovation invokes risk. If elements of the design require the use of new and untested materials or
techniques, ensure that everyone, including the client, understands the risks.

 Design development may show that some elements of the brief conflict. New possibilities may
emerge. Keep the client informed – must agree all changes to the brief.

 Carefully record design decisions reached and changes to the brief. See that design team meetings
are minuted and copies are sent to all concerned.

 It is crucial at this stage to design within the framework of a budget. Establish a cost plan with the
surveyor and stick to it.
 C.4
Outline Proposals
Checklist C1: Design team meetings – stage C

Watchpoints

 The key to an effective and productive meeting is preparation and sound organization

 The agenda for the meeting should be circulated in advance. Participants should submit a written
report under the required headings. If it is not possible to attend the design team meeting a written
report Must be submitted. It should be the responsibility of the team leader to ensure that all parties
are kept up to date with decisions made and actions required. Clear objectives should be set for
each meeting, and the agenda should specify decisions that have to be made to meet the pro-
gramme.

 The use of a standard agenda assists in the preparation for meetings, ensures a consistent record,
and assists in the preparation of minutes. Proper minutes are essential to ensure that actions are fol-
lowed up.

 It is usual, but not essential, that the architect/design team leader chairs the meetings and produces
the minutes. Minutes should be quickly circulated to all design members and to the client.

 Small working groups tend to be more productive than large committees. One representative from
each firm or discipline on the design team should be sufficient.

 Allow sufficient time to conduct the business of the meeting thoroughly but efficiently. Do not
overload a meeting with too much business – two hours should be regarded as the normal limit for a
meeting.
C.5
C.6

Figure C1:- Specimen Agenda for Design Team Meetings – Stage C

1.00 Personnel/Apologies
Introduce team members and record absentees/apologies received.

2.00 Correction and approval of minutes of previous meeting

Architects/Team Leaders Report (general matters)

01 Appointments/changes in design team personnel
02 Progress on actions from previous meeting
03 Review of design team programme and progress
04 Programme modifications
05 Programme targets/short term objectives for design team
06 Other administrative and general matters
4.00 Client’s Report
01 Progress on actions from previous meeting
02 Clients policy modifications
03 Clients brief: - modifications, additions, changed priorities etc.
04 Clients approvals of design, cost estimates, programme etc.
05 Other information required by or form the client
5.00 Architect’s Report:- Design Matters
01 Progress on actions and design since last meeting
02 Review site information; constraints, surveys, consents etc.
03 Progress on required approvals
04 Review development of, and modifications to the brief
05 Presentation/review of design proposals
a) Coordination; design principles, structure and services
b) Drawings received, issued, required, in preparation
06 Other items
6.00 Engineer’s Report
01 Progress on actions and design etc
02 Report on research into standards/requirements/approvals required
03 Presentation/review of structural design proposals
04 Other items
7.00 Services Engineers Report
01 Progress on actions and design
02 Report on research into environmental conditions, requirements, standards, approvals etc
03 Presentation/review of services design proposals
04 Other items
8.00 Quantity Surveyors Report
01 Progress on actions from the last meeting
02 Report on development of/variations to the cost plan
03 Comment on budgetary implications of alternative design solutions
04 Comment on implications of design concepts and programme on main contract, sub-contract maters (ap-
propriate tender procedures, contract forms, need for advance orders etc).
05 Other items

9.00 Any Other Business

10.00 Date of Next Meeting.
C.6

OUTLINE PROPOSALS

Checklist C2:- Design Team Roles and Responsibilities

Quantity Surveyor

The quantity surveyor will advise the team on the feasibility of constructing various design solutions
within budget. Quick cost studies are prepared of alternative structural and services solutions. Alterna-
tive layouts, constructional methods and services are considered.

Advice is given on the economic aspects of alternative forms of contract and contracting methods.

A preliminary cost plan is developed against which costs will be checked as the design progresses, ei-
ther by comparison of requirements with cost information taken from other similar projects or by ap-
proximate quantities based on assumed specifications. (See Fig. C.02).

The preferred outline scheme is evaluated and a financial statement is prepared for inclusion in the
stage C report to the client in conjunction with other design team members.

Civil and Structural Engineers

The engineer will work with the architect to develop structural concepts as layout, design and form of
construction evolves.

He will liase with the services consultants on spaces and structural requirements for alternative me-
chanical and electrical systems.

The team will work closely through meetings to resolve, coordinate and integrate services, structural
and architectural design concepts.

The engineer will contribute to the stage C report to the client.

Mechanical and Electrical Engineers

At the conceptual stage the services engineer can assist the architect in deciding the building the build-
ings orientation and envelope according to environmental considerations.

Advice is given on appropriate systems for alternative design solutions, taking into account perform-
ance, cost and cost in use.

The architect will integrate the input with the building‟s form and structure.
Information is given to the quantity surveyor on likely cost ranges, and QS proposals for services ele-
ments of the cost plan are agreed.

The services engineer will contribute to the stage C report to the client.

C.7
C.8

Figure C.02:- Specimen Cost Plan/Elemental Cost Summary

Project…………………………………………………………………………………………………….

Job No…………. Report No……………… Report Date……………….. Gross floor area………….

No. Element per m gfa total % of total

Demolitions and Alterations

1. Substructure
2. Superstructure
2a Frame
2b Upper floors
2c Roof
2d Stairs
2e External walls
2f Windows and external doors
2g Internal doors

3 Internal Finishes
3a Wall Finishes
3b Floor finishes
3c Ceiling finished

4 Fittings and Furnishings

5 Services
5a Sanitary appliances
5b Services equipment
5c disposal installations
5d Water installations
5e Air treatment
5f ventilating system
5g Electrical installations
5h Lift installations
5j Protective installations
5k Communications installations
5l Special installations
5m BWIC with services
5n Builders on services

6 External works
6a Site works
6b Drainage
6c Services
6d Minor building works
Sub total
Preliminaries @ ……………..%
Sub total
Contingencies @ ……………%
Sub total
Design Margin @……………%

TOTAL OF PROJECT 100%

C.8
SCHEME DESIGN

Actions required of the Architect and Client

The following extract from “Architects Appointment” (Part 1: Architects services) describes in outline
the architect‟s main duties in the scheme design stage of the project:-

“With consultants where appointed, develop a scheme design from the outline proposals taking
into account amendments requested by the client; prepare a cost estimate; where applicable give
an indication of possible start and completion dates for the building contract. The scheme design
will illustrate the size and character of the project in sufficient detail to enable the client to agree
the spatial arrangements, materials and appearance.”

During stage D the client will provide all relevant information required by the architect, assist in stu-
dies carried out by the design team, and according to the time-table, initiate studies within his own or-
ganisation. He will take all necessary steps relating to site acquisition.
D.1
D.2

Action Checklist for Work-stage D – Scheme Design

Use this checklist to plan workload for this stage and check back at the end of the stage to ensure that
some important aspect has not been overlooked. There may be some activities not appropriate to the
project in hand.

Office Procedures

1 Prepare office resources for stage D

2 Maintain records of chargeable time, time sheets, and note all expenses
3 Review programme and progress regularly, and check resources
4 Where the job is large and costly, report to client regularly costs incurred
5 Prepare fee accounts as they become due
6 Obtain client‟s approval to any extra fees to be incurred.

Job Administration
1 Obtain client‟s approvals for any additional fees
2 Check that client‟s approvals are given or appointing specialist firms and advance contracts
3 Maintain control of resources and programme
4 Record client‟s approval offstage D report and instructions to proceed

Design Team and Reports

1 Meet to consider client‟s approval of and comments on the stage C report
2 Agree a plan of work and time-table for stage D for architect, consultants, quantity surveyor and
client.
3 Where necessary, programme advance contracts
4 Ask the client for any outstanding information required for the brief to complete this work stage
5 Warn the client that modifications to the brief, apart from minor details, may now cause delays
and additional costs/fees.
6 Develop design proposals, coordinating construction methods, services schemes, outline speci-
fications for all disciplines and related cost studies.
 7 Coordinate and finalise contributions to the overall design and cost plan, arranging meetings as
necessary.
8 With consultants, assist the quantity surveyor to develop the cost plan
9 Agree report content, presentation and time-table

10 Consolidate and present stage report to client

D.2
SCHEME DESIGN
Action Checklist for Stage D – Outline Proposals Cont.

Brief

1 Review what information is required for the brief. Inform the client that this should be final;
changes to the brief after this point may result in delays and increased costs/fees.
2 Complete research, visits, user studies.
3 Inform the client, quantity surveyor, consultants of the results of studies
4 Keep all team members informed of changes to /developments of the brief.

Site

1 Maintain and complete studies as required

2 Progress enquiries with authorities
3 Check any outstanding legal matters affecting the site are being dealt with by the client.

Approvals

1 Apply for planning and other consents as agreed with the client. Inform the client of any fees
payable.

2 Progress other enquiries, e.g. services, public health, fire brigade, traffic, health and safety

Design and Cost Control

1 Review client‟s approval and comments on stage C report

2 Develop design and update drawings; review developments with consultants and specialist
firms to ensure full coordination of locations, routes, spaces, access and buildability.
3 Check design and outline specifications against brief and design criteria
4 Prepare scheme design referring to quantity surveyor and consultants, particularly for advice
and resolution of conflicting requirements.
5 Undertake a comprehensive cost plan review with quantity surveyor and consultants for inclu-
sion in the report to the client.

6 Consolidate proposals, prepare and present report to client.

 D.4

Action Checklist for Stage D – Scheme Design Cont.

Contract

1 Review requirements for advance contracts or orders to progress the project to programme, and
present to client for consideration and approval
2 Initiate procedures for advance contracts as required if approved.
3 Make arrangements for obtaining design warranties from specialist contractors and others as
appropriate.

Watch-points

Maintain close collaboration with the consultants to ensure a positive programme of development.
Determine dimensional and constructional requirements for spaces and voids for services systems
Consult authorities and ascertain relevant codes of practice, standards etc ensure that proposals
will satisfy regulations and accepted technical standards. Remember that manufacturers of materi-
als and components tend to overstate product performance and will not draw your attention to
limitations. Check they have been approved and used in similar circumstances and review the ac-
tual performance in use. Obtain manufacturers guarantees and warranties wherever possible.

During this stage specifications begin to be developed. The architect is responsible for specifying
materials and work-man-ship, and in collaboration with other consultants, providing the quantity
surveyor with descriptions. Collate material as is comes to hand and keep specification notes up to
date. The quantity surveyor can then develop the cost plan in detail and provide information to the
design team to enable them to keep within cost targets.

Make sure that consultants consult public utilities, health and other regulatory authorities as neces-
sary for design development.

Keep the client informed of any changes in the brief and any cost problems which require his de-
cision.
D.4
SCHEME DESIGN

Checklist D1 – Design Team Roles and Responsibilities During Stage D

Quantity Surveyor

The quantity surveyor will collaborate with the architect and consultants to develop and refine cost
forecasting as the project evolves. The architect should arrange for him to present regular reports to
the design team so that costs are kept under control.

The information he provides will assist the architect and consultants to specify appropriate standards
for materials and work-man-ship.

The quantity surveyor will contribute information and advice for conclusion in the stage D report to the
client.

Civil and Structural Engineers

Site surveys and investigations are analysed to provide date for design solutions.

The engineer will collaborate in developing the design, and will advise the architect on structural solu-
tions and criteria for foundations, superstructure, roads, drainage etc. The architect must ensure that
structural requirements are compatible with space and access requirements for the services installa-
tions. A programme of regular reviews is essential.

The engineer will prescribe profiles, basic specifications, building tolerances and define basic rules for
voids and holes in structural elements.

The engineer will provide the QS with input for the cost plan, and will contribute to the stage D report
to the client.

Mechanical and Electrical Engineers

The M & E engineers will establish final design and performance specifications; with other members of
the team they will coordinate the services with the structure and fabric of the building. They must liase
closely with the architect on all services aspects including the location and installation of equipment
and plant, service voids, and access for installation, maintenance, service repairs and eventual replace-
ment.
At this stage decisions will be made on services layouts and coordination with building structure, gen-
eral ceiling, wall and floor layouts, and access for commissioning and maintenance.

The M & E engineers will assist the QS to develop the cost plan, obtaining quotations and estimates
from specialist firms where appropriate.

The services engineer will contribute to the stage C report to the client.

D.5
D.6
Figure D.1.1:- Specimen Agenda for Design Team Meetings – Stage D

1.0 Personnel/Apologies
01 Introduce team members and record absentees/apologies received
02 Appointments/changes in design team personnel

2.0 Correction and approval of minutes of previous meeting

3.0 Clients Report
01 Progress on actions from previous meeting
02 Clients Brief:- results of research, modifications etc.
03 Clients approvals of design. Cost estimates, programme etc.
04 Other information required by or from the client

3.0 Architects Report:- Design matters

01 Progress on actions and design since last meeting
02 Review site information; constraints, surveys, consents etc.
03 Progress on required approvals
04 Review development of, and modifications to the brief
05 Presentation /review of design proposals
a) Coordination; design principles, structure and services
b) Drawings received, issued, required, in preparation
06 Other items

5.0 Engineers Report

01 Progress on actions and design etc
02 Report on standards/requirements/approvals required
03 Presentation/review of services design proposals
04 Other Items

6.0 Services Engineers Report

01 Progress on actions and design etc.
02 Report on standards/environmental requirements, approvals etc.
03 Presentation/review of services design proposals
04 Other items

7.0 Quantity Surveyor’s Report

01 Progress on actions from last meeting
02 Report on development of/variations to the cost plan
03 Comment on budgetary implications of development of designs and specifications.
04 Comment on implications designs and programme on main contract, sub-contract matters (appropriate
tender procedures, contract forms, need for advance orders etc)
05 Other items
8.0 Architects/Team Leaders Report (general matters)
01 Progress on actions from previous meeting
02 Review of design team programme and progress
03 Programme modifications
04 Programme targets/short term objectives for design team
05 Specialist sub-contracts and advance orders
06 Other administrative and general matters
9.0 Any Other Business

10.0 Date of Next Meeting

D.6
DETAIL DESIGN
Actions required of the Architect and Client

The following extract from “Architect Appointment” (Part 1: Architects Services) describes in outline
the architect‟s main duties in the Detail Design Stage of the project:-

“ With the other consultants where appointed, develop the scheme design; obtain the client’s ap-
proval of the type of construction, quality of materials and standards of workmanship; co-
ordinate any design work done by consultants, specialist contractors, sub-contractors and suppli-
ers; obtain quotations and other information in connection with specialist work.

With other consultants where appointed, carry out cost checks as necessary; advise the client of
the consequences of any subsequent changes on the cost and programme.

Make and negotiate where required applications for approvals under building acts, regulations
and other requirements.”

During stage E, the client will provide the design team with any further information they require.
E.1
E.2

Action checklist for workstage E- Detail design

Use this checklist to plan the workload for this stage and check back at the end of the stage to ensure
that some important aspect has not been overlooked. There may be some activities not appropriate to
the project at hand.

Office Procedures
1 Prepare office resources at stage E

2 Maintain records of chargeable time. Time sheets and note all expenses

3 Review programme and progress regularly, and check resources

4 Where the job is large and costly, report to client regularly, cost incurred

5 Prepare fee accounts as they become due

6 Check that the client has settled all outstanding accounts

Job Administration

1 Obtain client‟s approvals

2 Check that the client has fully understood the implications of the stage D report and that there
are no areas of uncertainty left, either in the design stage or in the scheme generally

3 Maintain control of resources and programme

4 Record client‟s approval of stage E report and instructions to proceed.

Design Team Reports

1 Meet to consider client‟s approval of and comments on the stage D report.

2 Agree a plan for work and timetable for stage E for architect, consultants, Quantity Surveyor,
Client, and for advance contracts.

3 Complete detailed design of building with all it‟s elements, construction and services systems,
including coordination of builders work for services and specialist installations.
4 Keep all design team members up to date on design decisions and variations

5 Maintain close collaboration with Quantity Surveyor for cost checks and review cost plan pe-
riodically.

6 Report to the client on detailed design and cost plan and obtain his approval to proceed.

7 Make sure that both the client and the consultants understand that the basic design is now com-
plete and that any changes may result in delays and additional costs/fees.

E.2
DETAIL DESIGN
Action checklist for stage E – Detail design Cont.

Brief
1 Consolidate the brief including all changes and additions made during this and proceeding
stages.

Approvals

1 Continue actions to obtain any outstanding consents required.

2 Advise the client that without basic consents such as planning approval, further progress on the
project is at his own risk.

Design and Cost Control

1 Review client‟s approval and comments on stage D report.

2 Update drawings and proceed with detailed design in close collaboration with consultants; keep
Quantity Surveyor informed of all variations so that he can asses cost implications.

3 Review structural details against finished sizes shown on architectural drawings, and check re-
quirements for service zones, holes through floors etc., including allowances for building toler-
ances.

4 Review services details, layouts, routes, ductways, access locations, service zones, and open-
ings in structure and building elements. Coordinate services layouts with finishes (ceiling
layouts etc.). Consider building tolerances.

5 Obtain quotations for specialist work.

6 Review design against performance requirements.

7 Decide basis for contract preliminaries, preambles, and form of specification according to form
of contract and client requirements/established precedents.

8 Develop detailed specifications for materials and workmanship

9 Periodically review cost plan with the Quantity Surveyor.

E.3
E.4

Action Checklist for Stage E – Scheme Design Cont.

Contract

1 Arrange advance contracts or orders to progress the project to programme, if the client ap-
proves. (Remember advance orders or letters of intent commit the client to further expenditure).

2 Compile tender lists for client‟s approval.

3 Prepare drawings, specifications, and other documents for tendering.

Watchpoints
* Note that in small schemes, “standard” designs and schemes which are not technically complex,
stage E may be merged with Stage D and/or Stage F.

* Maintain an organized flow of information between all consultants to ensure a successful “Fit”
of their elements, and compatibility between builders and specialist work.

* It is useful for consultants to use architect‟s base negatives, but make sure these are current and
updated as necessary.

* If action is delegated to consultants or a specialist firm, the architect/team leader should proper-
ly coordinate and supervise progress to an acceptable conclusion within the programme.

* The client should be asked in good time to supply detailed final information about facilities,
furnishings, fittings, etc.

* Periodically check design developments against the cost plan.

* Allow enough time to fully brief specialist sub-contractors or suppliers, for them to formulate
tenders and proposals, and for you to fully evaluate limitations, and implications for other as-
pects of the design.

* Carefully collect and update specification notes as the detailed design proceeds, and collate for
inclusion in production information.

* Tenders for services sub-contracts may be required at this stage to enable nominations to be
made at main contract tender stage. Consider preliminary clauses, contract conditions, atten-
dances.
* Insist that all team members agree and keep to the timetable set.

E.4
DETAIL DESIGN
Checklist E1:- Design Team Roles and Responsibilities During Stage E

Quantity Surveyor

The Quantity Surveyor will carry out cost check and advise the architect and consultants on financial
implications of design decisions. The architect should arrange for him to report regularly to the design
team on the cost plan to keep the proposals within budget. He will contribute to the stage E report to
the client.

The architect and Quantity Surveyor should agree a programme for drawings to be submitted to the
quantity surveyor to enable the bills of quantities to be produced efficiently and on time.

Civil/Structural Engineer

The engineer will collaborate to enable final decisions to be made on all matters related to design, spe-
cifications, construction, and costs of all parts of the building. The architect will liaise with the engi-
neer to ensure proper integration of structural, services and building fabric considerations as required
and through design team meetings.

Where necessary the engineer will develop working drawings and specifications for the bills of quanti-
ties and tender documentation for nominated sub-contract works or for advance contracts.

He will contribute to the stage E report to the client.

Mechanical and Electrical Engineers

The M & E engineers will assist in finalizing design integration, specifications, construction and costs
of all parts of the building. Their proposals will develop information and specification sufficiently to
allow sub-contract tenders to be drawn up. The architect will agree a programme for sub-contract ten-
dering to ensure that sub-contracts are let according to the overall programme.

They will provide information on builder‟s work requirements for agreement and incorporation in the
architects and engineers drawings and specifications. They will provide specifications and requirements
for commissioning and performance testing.

The M & E engineers will contribute to the stage E report to the client.
E.5
E.6

Figure E.1.1:- Specimen Agenda for Design Team Meetings – Stage E

1.0 Personnel/Apologies
01 Introduce team members and record absentees/apologies received
02 Appointments/changes in design team personnel

2.0 Correction and approval of minutes of previous meeting

3.0 Clients Report

01 Progress on actions from previous meeting
02 Clients approvals of design, cost estimates, programme etc.
03 Other information required by or from the client

4.0 Architects Report:- Design matters

01 Progress on actions and design since last meeting
02 Progress on required approvals
03 Review clients detailed requirements
04 Presentation /review of detailed design proposals
a) Coordination; structure and services, tolerances
b) Drawings received, issued, required, in preparation
05 Other items

5.0 Engineers Report

01 Progress on actions and design etc
02 Report on progress of design/ calculations etc.
03 Presentation/review of structural design proposals
04 Other Items

6.0 Services Engineers Report

01 Progress on actions and design etc.
02 Report on progress of design/ calculations etc.
03 Presentation/review of services design proposals
04 Review of progress/requirements for nominated sub-contracts
05 Other items

7.0 Quantity Surveyor’s Report

01 Progress on actions from last meeting
02 Report on implications of detailed design on the cost plan
03 Comment on implications of design and programme on main contract, sub-contract matters (appropriate
tender procedures, contract forms, need for advance orders etc)
05 Other items
8.0 Architects/Team Leaders Report (general matters)
 01 Progress on actions from previous meeting
02 Review of design team programme and progress
03 Programme modifications
04 Programme targets/short term objectives for design team
05 Specialist sub-contracts and advance orders
07 Other administrative and general matters

9.0 Any Other Business

10.0 Date of Next Meeting

E.6
PRODUCTION INFORMATION

Actions required of the Architect and Client

The following extract from “Architect Appointment” (Part 1: Architects Services) describes in outline
the architect‟s main duties in the Detail Design Stage of the project:-

“ With the other consultants where appointed, prepare production information including draw-
ings, schedules and specifications of materials and workmanship; provide information for bills of
quantities; all information to be complete in sufficient detail for the contractor to be able to pre-
pare a tender”

During stage F, the client will be asked to make decisions on matters of tendering, contract conditions
and contractual requirements.
F.1
F.2

Action checklist for workstage F- Production Information

Use this checklist to plan the workload for this stage and check back at the end of the stage to ensure
that some important aspect has not been overlooked. There may be some activities not appropriate to
the project at hand.

Office Procedures
1 Prepare office resources at stage F

2 Maintain records of chargeable time. Time sheets and note all expenses

3 Review programme and progress regularly, and check resources

4 Where the job is large and costly, report to client regularly, cost incurred

5 Prepare fee accounts as they become due

6 Check that the client has settled all outstanding accounts

Job Administration
1 Obtain client‟s approvals

2 Check that the client has fully considered stage E report and has approved the detailed design.

3 Liaise with the client as necessary as the work proceeds

4 Maintain control of resources and programme

5 At the end of the stage, advise the client of the anticipated range of tenders. Record client‟s ap-
proval and instructions to proceed.

Design Team Reports

1 Meet to consider client‟s approval of and comments on the stage E report.

2 Agree a plan for work and timetable for production information.

3 Review instructions from the client on provisions to be included in the building works and in
the contract conditions.

4 Maintain cost checks through the quantity surveyor

5 Agree procedures with consultants to ensure coordination of their inputs

6 Agree contract particulars and tendering details with critical dates for actions.

7 Consider with client the need for appointment of full-time site inspectorate (clerk of
works/resident architect)

F.2
PRODUCTION INFORMATION
Action checklist for stage F – Production Information Cont.

8 Check whether any approvals are outstanding

9 Submit reports to the client on progress and on cost checks as appropriate

Brief

1 Consolidate final information for brief, production drawings, specifications, preliminaries

Site

1 Check on final requirements and information

Approvals

1 Complete actions to obtain any outstanding consents required.

2 Advise the client that without basic consents such as planning approval, further progress on the
project is at his own risk.

Design and Cost Control

1 Review client‟s approval and comments on stage E report.

2 Coordinate construction information with information for structural, services and specialist in-
stallations, calling design team meetings as necessary.

3 Prepare programme for production drawings, schedules, drafts for preliminaries, specifications
etc. in conjunction with other consultants, to meet the overall programme and the quantity sur-
veyor‟s requirements for information for bills of quantities.

4 Check all drawing cross references and cross references to specifications for anomalies and
completeness.

5 Complete collation and drafting of preliminaries, preambles, and specifications for materials
and workmanship and pass to the Quantity surveyor for incorporation into the contract bills.
Contract
1 Finalise contract particulars

2 Confirm arrangements (documents, tender lists, tender board procedures) for final sub-contract
tenders, check that dates coordinate with main contract tenders.

3 Obtain clients agreement to placing advance orders for nominated sub-contracts or suppliers.

4 Prepare list of main tenderers and recommend shortlist to client for approval.

F.3
F.4

Action Checklist for Work Stage F:- Production Information Cont.

Watchpoints

* From now on any changes to the clients requirements, however minor, will almost certainly re-
sult in abortive work, delays to the project and additional fees, Make sure he understands this
and is prepared to accept the consequences if changes are made.

* This is a testing time for the architect‟s organization. Detailed drawings have to be prepared,
information gathered, and sub-contract tenders progressed. Advance contracts may be required
or may even be in progress. Coordination of many different inputs is required.

* Drawings will also be required for building regulations and other approvals, for enquiries to
manufacturers and possibly for advance orders.

* Check that the insurance provisions in the contract are adequate. If in doubt consult a specialist
broker.

* The client must be made fully aware of his contractual obligations. Make sure that the prelimi-
nary and general provisions are adequate and that the client understands them all. In particular
consult the client to establish an amount for liquidated and ascertained damages. Remind the
client of his duty to settle payment certificates within the due period, and warn him of the con-
sequences if he fails to do so.

* Monitor work being done by consultants on tender documents. Are they using appropriate
forms and letters?

* Ask the quantity surveyor to give you his priorities for receiving information for bills produc-
tion, and plan your drawing production accordingly. Establish “question and answer proce-
dures” as soon as possible to maintain a flow of information.

* You may need to place advance orders for long delivery items. Remember a letter of intent may
commit the client to expenditure. The client must approve all such orders.
 F.4
PRODUCTION INFORMATION
Checklist F1:- General Procedures for production Information

The reminders given here are about setting up and maintaining standard procedures and methods of
work. Much of this should have been done at an earlier stage of the design development. Formulate
procedures which the architect and consultants can follow throughout the project as early as possible.

Drawings

1 Agree with other consultants a common basis for drawings – numbering, scales, sheet sizes,
titles, annotation etc.

2 Agree to the use of copy negatives for overlay drafting, including procedures for ensuring nega-
tives are kept up to date.

3 Consider whether the use of standard details is appropriate, or if new details need to be devel-
oped.

4 Incorporate feedback from other projects. What worked well last time? What did not work so
well?

5 Agree how drawings and information from specialist sub-contractors, suppliers and/or the client
is to be incorporated.

6 Agree a timetable for supplying information to the quantity surveyor and other consultants, and
keep to it.

7 Draft a schedule of the production drawings and other information needed.

8 Assess the amount of work involved against the agreed timetable, and allocate the necessary
resources.

9 Confirm a system for recording and distributing information and revisions

10 Develop specifications and drawings together to avoid unnecessary duplication of notes and en-
sure consistency.

Specification
The architect is responsible for the contents of the specifications. This is the most detailed part of the
design process and should be developed as work proceeds, not left until the last moment.

1 Do not leave the task of the quantity surveyor. He is not accountable for any problems which
arise from the specification during construction.

2 It is a good idea to refer to previous project specifications to save time and duplication of effort.
However, if modifying existing specifications to suit present job, ensure you do not perpetuate
or add to existing errors. Ensure there are no omissions.

F.5
F.6
Checklist F1:- General Procedure for production Information Cont.

3 The specification will form the written brief to the quantity surveyor for his descriptions in the
bills of quantities. Be systematic and consistent. Consult him to establish the method of measure-
ment and format he uses.

4 Reference to “standard” specifications (such as the Government General Specification) is advisa-

ble. However it is still necessary to specify the particular materials and standards of workmanship
required for the project in hand. Standard specifications have not been frequently updated in Zam-
bia, and many references to codes of practice are outdated. However, they have the advantage of
reflecting local practice and being well understood by the local contracting industry.

5 Whatever system you adopt, allow time for the system to be understood and developed. It is useful
for someone in the office to specialize in specification writing, to be able to help others and to
check consistency.

6 Offices may develop systems of specification clauses for particular types of work, e.g. housing.
Alteration work. Update all such systems frequently.

7 From the first meeting with the client it is advisable to record information regarding contract con-
ditions, preliminaries and specifications for eventual incorporation in the contract bills.

8 Pay particular attention to building tolerances. Set practical tolerances within each trade, and be
specific. Beware for example of average screed depths being assumed when you require minimum
depths.

9 Draw up a programme for the preparation of specifications and agree it with the quantity surveyor,
including preferred sequences.

10 When the specifications are drafted, but before being printed, check to ensure the job is properly
covered and that the drawings, schedules and specifications are consistent.

11 Specifications are prepared to ensure that the building meets the aesthetic and quality standards
required. Be realistic but state clearly what you want in a way which ensures you will get it. Re-
member, if you don‟t ask for it, you wont get it.
F.6
Production Information
Checklist F2:- Information to be shown on working Drawings

This checklist is intended to help prepare and check working drawings. It is not exhaustive, and many
items will not be relevant to some projects. Each job must be tackled according to its own require-
ments. Information to be shown on survey drawings is given under section B.

Site plan and drainage

Where levels are complicated information may have to include sections as well as plans. Site plans can
be overlaid on a negative of the site survey drawing).
- orientation/north point
- site boundaries, rights of way, road names, adjoining buildings.
- Building lines, site lines
- New access points from roads, new roads and paths
- Outline of buildings with overall dimensions and information required to position the building on
site.
- Floor levels relating to same datum as survey.
- Surface and foul drain runs, gulleys, grease traps, manholes, petrol interceptors, connections to pub-
lic sewers, location and direction of flow of sewers, septic tanks and Soakaways. Show pipe sizes
and gradients of drains, key references for manholes and cover/invert levels. (manhole details and
sizes should be shown on separate schedules.)
- Steps or changes in level
- Position and inverts of water, electricity, telecommunications and other entries with positions of
existing mains. Show location of service entries and meters.
- Indicate banking, cutting or other excavation. Show areas for temporary storage and spreading of
topsoil and other excavated material.
- Indicate permitted location for contractor‟s compound, locations for temporary hoarding, require-
ments for protection of existing features, restrictions on access. (may be shown on a separate over-
lay).
- Show requirements for phasing.
- External landscape layout, hard and soft landscape details.
- External lighting, street lighting, security lighting.

Pans or Sections
Substructure (shown dotted on elevations)
- levels/datum
- existing and reduced ground levels
- retaining walls
- strip foundations, foundation pads, piles.
- Access to crawl ways
- Ductways for services
- Tanking
- Reinforcement (when not shown on engineer‟s drawings).
Structure (show floors and other hidden structures dotted on elevations. Show beams and other over-
head elements dotted on plans)
- frames and cladding
- external walls

F.7
F.8

Checklist F2:- Information to be shown on working Drawings continued

Structure
- Expansion joints, isolating construction
- Copings, vents, balustrades, parapets.
- Coursing heights
- Lintels, cills
- Suspended floors, strutting, trimmers
- Galleries and mezzanines
- Lift shafts, motor rooms, pump rooms
- Roofs, access hatches
- Roof members, wall plates
- Insulation, provision for ventilation of roof spaces
- Duckboards, catwalks
- Rainwater runoff, layout and outlets/overflows
- Columns and beams
- Flues in structure, balanced flues
- Internal walls, load bearing and non load bearing distinguished
- Damp proof courses, membranes and flashings
- Stairs and ramps (observe conventional notation; arrows indicate “up” direction on stairs, “vee”
indicates down slope of ramps) number risers on stairs. Show headroom.
- Vents
Secondary Elements (some may be scheduled)
- external and internal door openings, door swings and numbers
- cills heights, lintel heights
- balustrades, handrails, guardrails
- fire stops to voids
- suspended ceilings, access to services in voids
- roof details/roof lights
- gutters, rwps, hopper heads, svp‟s
- windows, inc opening lights and numbers
- sound insulation
- ironmongery
- waste disposal
- ducts in screeds, trunking runs
- external wall finishes, cladding, decoration.
- Floor finishes and screeds, screed thickness
- Internal wall finishes and paneling
- Stair finishes, nosings, non slip inserts
Piped services details
Drainage
 - soil and waste pipes
- overflow pipes
- anti-syphonage and trap vents
- manholes
- gullies and back gulleys
- rodding eyes, inspection chambers/access points, drain vents
- septic tanks and soakaways
- vent pipes and balloons
- rain water dish drains, storm drains, outfalls
- invert and cover levels, gradients and falls
- cover types/references

F.8
PRODUCTION INFORMATION
Checklist F2:- Information to be shown on Working Drawings Cont.
Piped Services – Hot and Cold water
- Rising main
- Meters
- Hot water cylinder
- Isolating taps/stopcocks
- Hose reels
- Drinking water points
- Cold tanks
- Expansion tanks
- Dry risers
- Overflow pipes, drain cocks
Electrical Services (could be scheduled in part)
Mains supply
- Incoming cable, inlet and riser
- Emergency equipment; generator and batteries, UPS system
- Fuse board/meter board
- Distribution board, power distribution units
Power Points
- Switched socket outlets (1 gang, double gang)
- Spur outlets; switched indicators
- Cooker control units
- Shaving points
- Towel rails
- 3-phase, high amperage outlets for plant and equipment
Lighting
- switch locations, zones, type (gang, dimmer, waterproof) no of ways.
- Wall points; wall washers, up lights
- Ceiling points/ceiling fittings; references
- External light fittings
- Time switches, solar switches
- Emergency lighting
- Switch cupboards
Communications
- Telephone system; inlet, distribution, outlets
- Door entry systems
- TV, satellite or cable systems; CCTV installations
- Burglar alarm/intruder detection/rapid response systems
- Intercom
- Public address
Earthing installation
- lighting protection
- ground spikes/earth net
- earthing of pipe work
Fire protection installations
- fire alarm panel, call points alarm bell locations
- smoke detection, heat detection, gas detection systems
- automatic fire extinguishers; sprinklers, halon
- emergency power back up
F.9
Checklist F2:- Information to be shown on Working Drawings Cont.
Ducts and conducts
- Vertical risers
- Main horizontal distribution routes
- Local distribution
- Cable tray, trunking, conduit (type, sizes, method of support)
- Access provision and location
Ventilation and Air Conditioning Wall units/split units
- Location sizes and support/housing of units
- Coordination with power supplies, finishes
- Condensate disposal
- Chiller location, coolant pipe runs (split units)
Central systems
- Duct sizes, support, layout, damper location etc
- Access to control dampers/fire dampers
- Air supply and return grilles-location and coordination
- Central plant housing
- Arrangements for access, installation, maintenance, ventilation
Lifts, cradles and gantries
- Builders work: pit dimensions, shaft dimensions, plant room height above top floor, headroom, lifting
beam, inserts in lift shaft walls, door openings, surrounds, call point locations, ventilation of lift shaft,
power, lighting.
- Cradle runways, gantry mountings
- Access for window cleaning on multi-storey structures where cradles are not provided
Fixtures and fittings
- Kitchen fittings and equipment; coordinate with vents, wastes etc. sanitary fittings (could be scheduled)
- Bath shower, bidet, hand basin, vanity unit.
- Hand dryer, towel disposal unit
- Mirrors
Cleaning
- Equipment storage
- Cleaners sinks, water supply
- Wash-down gulleys in floors
Storage
- Shelves, racking, cupboards
Security
- grilles, burglar bars, shutters
Services
- Fuse cupboards
- Meter cupboards
- Pipe casing and ducts
Signs
- Statutory signs; warning notices, emergency exits, safety signs
- Direction boards, notice boards, direction signs, room numbering
- External direction signs, car park notices etc
- Building identification, advertising
- Temporary site notice board
Fitted Furniture
- Reception desk/counters
- Planters
- Fitted sitting
- Bar fittings, catering fittings
- Display fittings

F.10
Checklist F3:- Competitive Tendering – Preliminary Enquiries

For the majority of projects, selective rather than open tendering id preferred. Contractors must have
experience and capacity appropriate to the project. They should be selected to compete on equal terms.

Selected contractors are asked to complete a update a questionnaire about their firms or track records.
The architect will take up references, review feedback and records from earlier projects, and make fur-
ther enquiries about those who seem unsuitable, and evolve a short list for the client‟s approval (and
Tender Board approval for projects for government and Parastatal organizations). These firms will
formally be invited to tender.

Tender Board procedures vary form time to time. Be sure to follow the current procedure for all rele-
vant projects.

For some categories of project, open tendering is required. Establish early the requirement for the
project in hand.

Selective Tendering – forming a short list

1. Review Buildings Department Register of Contracts

- is the contractor registered in the appropriate category for the job in hand?
- how up to date is the information?
- is there information on file concerning performance of recent projects
- follow up references on file to check their validity
- discretely check financial status of firms
- visit offices, workshops, work completed and in progress
- interview potential contractors

2. Set up file for your enquiries

- list of potential contractors, sub-contractors and suppliers, with details and records of enquiries
made
- copies of enquiry letters and documents issued
- copies of responses received

3. List of potential contractors

- consider results of your own enquiries
- consult colleagues and other consultants
- consult client to ascertain if he has any requirement for certain firms to be included or excluded.
- compile separate lists for main contractors, specialist sub-contractors and suppliers
- obtain client‟s approval to the list(s)
4. Establish that contractors will tender
- write formally to each potential tenderer giving relevant information and asking for confirmation
that the tender will be submitted. (see specimen letter).
- record contractors that wish to tender
- finalise tender list with the client

F.11
F.12
Figure F.3.1:- Specimen Letter of Invitation to Tender for Main Contract Works

The purpose of this letter is to establish a list of main contractors who will tender, thus avoiding the
situation where fewer than the required number on bona-fide tenders are received.

We are preparing a list of tenders for construction the works described below under the (JLC or GCW)
standard form of contract.

If you wish to be invited to tender you must agree to submit a bona fide tender by the due date. You
must not divulge your tender price to person or body before the time for submitting tenders. When the
contract has been signed, we will send all those who tendered, lists of the tenderers and prices.

Pleas reply to this letter by (date). Your inclusion in our preliminary list does not guarantee that you
will be invited to tender, nor will your opportunities for tendering for future work be prejudiced if you
do not wish to tender on this occasion.

Description of Project
a Job
b Employer
c Architect
d Quantity Surveyor
e Consultants
f Location of site (enclose site plan)
g General Description of the work
h Approximate cost range K……………………… to K……………………
i Nominated Sub-contractors for main items
j Form of Contract
k Fluctuations clauses to apply
l Contract under seal/under hand
m Anticipated date of possession is
n Anticipated period for completion of the works is………………………
o Date of dispatch of the tender documents is…………………………
p Tender period is………………………………………………….
q Tender to remain open for
r Liquidate damages: anticipated value K………………. per…………….
s Details of bond required
t Particular considerations applying to this contract.

Yours faithfully
Copy to: Client, quantity surveyor

F.12
PRODUCTION INFORMATION
Checklist F4:- Tender Procedures for Nominated Sub- Contracts/Suppliers

Before inviting tenders or quotations, consult the client, quantity surveyor and establish and set down
the facts about the site and the works. Establish the main and sub-contract terms that will apply, and the
requirements for the main and sub-contract preliminaries, bills and specifications. Sub-contract tenders
must be compatible with the main contract terms and conditions.

Selecting Nominated Sub-contractors and Suppliers

1. Decide sub-contracts required

- minimize the use of nomination: the contractor‟s responsibility are reduced in respect of nomi-
nated sub-contractors and suppliers
- Use nominations only when necessary, for example where a unique specialist system is necessary,
or the programme requires advance orders of significant design input from specialist.

2. Confirm the programme for nominated sub-contract tenders

- Consult the quantity surveyor to agree the time table for invitation of tenders and quotations to
meet his requirement for information for the bills of quantities
- Decide whether quotations are to be competitive or negotiated. Obtain approval to negotiate where
applicable.
- Programme the preparation of drawings and documents required, and the tender process, to meet
the requirements of the timetable set.

3. List Suitable firms

- compile a tender list using the procedures recommended in checklist F3

4. Prepare tender documents

- Check that the preliminary and general clauses are appropriate to the form of contract, and that all
the relevant information in included.
- Check that the drawings, specification, and/or bills of quantities clearly describe the work required
and the main contract works.
- Determine and state the requirements for approving sub-contract drawings and give timetable for
submission and approval where known.
- Include the form of Warranty where appropriate. (Remember the architect cannot accept responsi-
bility for the design of specialist sub-contract-works). State the value of the bond, if one is re-
quired.
- Retain and file copies of the tender documents and letter of invitation to tender.

5. Tender assessment
- Scrutinise each tender, check that everything required has been included and note any conditions
and qualifications.
- Reject any submissions which do not comply with the conditions of tender
- Pass satisfactory submissions to the quantity surveyor foe cost checking and comment.

F.13
F.14

Checklist F4:- Tender Procedures for Nominated Sub-Contracts/Suppliers Continued

6. Make the final Selection

- Inform the client if the value of quotations and tenders received would result in the approved esti-
mate of the cost of construction being exceeded. If necessary negotiate reductions with the tender-
ers and/or modify other elements of the project to bring expenditure within budget.
- Issue advance orders where necessary, e.g. where long delivery dates are anticipated. Limit autho-
rized expenditure at this stage of items of and work essential to maintain a programme, e.g. draw-
ing and design work where this is required for completion of production information. Obtain
client‟s approval to appoint and advance orders.
- Inform unsuccessful tenderers, and inform all tenderers of the range of tender prices after the suc-
cessful firm(s) have agreed to proceed.
 F.14
PRODUCTION INFORMATION
Checklist F5:- Design Team Roles and Responsibilities During Stage F

Quantity Surveyor

The quantity surveyor will carry out cost checks and keep the architect and the consultants informed of
results. He will give advice on cost implications of sub-contract quotations and tenders, and assist and
advise on negotiations and adjustments required to keep within budget.

He will agree contract particulars for preliminaries with other design team members and assist in estab-
lishing main contract terms and conditions so that appropriate sub-contract tendering procedures can be
finalized.

He will assist in the tendering of sub-contract works and the evaluation of returns.

Civil/Structural Engineer

In accordance with the stage programme, the engineer will prepare production drawings, schedules and
specifications for the proposed building works and operations on site. Where an advance contract or
nominated sub-contract(s) is proposed, he will prepare production drawings, schedules, specifications,
bills of quantities and tendering documents in conjunction with the architect and quality surveyor. With
the clients approval, tenders will be invited by the architect.

He may be required to assist in the technical and financial appraisal of tender returns for advance con-
tracts or specialist sub-contracts for structural work.

Mechanical and Electrical Engineers

The M&E engineers will prepare drawings and specifications and agree them with the architect. Ten-
dering procedures will be finalized and tenders for nominated sub-contractors may be obtained. Where
services are to be carried out as domestic sub-contracts, full details will be passed to the quantity sur-
veyor for inclusion in the bills of quantities and/or specifications.

He will assist in the technical and financial appraisal of sub-contract tender returns for services work.
F.15
F.16

Figure F.5.1:- Specimen Agenda for Design Team Meetings – Stage F

1.0 Personnel/Apologies
01 Introduce team members and record absentees/apologies received
02 Appointments/changes in design team personnel

2.0 Correction and approval of minutes of previous meeting

3.0 Clients Report

01 Progress on actions from previous meeting
02 Clients approvals of sub-contract tender lists/tenders
03 Other information required by or from the client

4.0 Architects Report:- Design Matters

01 Progress on actions and design since last meeting
02 Progress on required approvals
03 Review of working drawings, schedules and specifications
a) Coordination; structure and services, tolerances
b) Drawings received, issued, required, in preparation

5.0 Engineers Report

01 Progress on actions and design etc
02 Report on progress production information
03 Review of progress/requirement for advance contracts and specialist sub-contract works
04 Other items

6.0 Services Engineers Report

01 Progress on actions and designs etc
02 Report on progress production information
03 Review of progress/requirement for nominated sub-contract works
04 Other items

7.0 Quantity Surveyor Report

01 Progress on actions from the last meeting
02 Report on implications of production drawings, specifications, and sub-contract returns on the cost
plan
03 Comment on implications of design and programme on main contract, sub contract matters (appro-
priate tender procedures, contract forms, need for advance orders
04 Other items
8.0 Architect/Team Leaders Report (general matters)
01 Progress on actions from previous meeting
02 Review of design team programme and progress
03 Programme modifications
04 Programme targets/short term objectives for design team
05 Specialist sub-contracts and advance orders
06 Other administrative and general matters
Any Other Business
Date of Next Meeting

F.16
BILLS OF QUANTITIES
Actions required to the Architect and Client

The following extract from “Architects Appointments” (Part 1: Architects Services) describes in out-
line the architect‟s main duties in the bills of Quantities Stage of the project:-

“With other consultants where appointed, prepare production information including drawings,
schedules and specifications of materials and workmanship; provide information for bills of
quantities; all information to be complete in sufficient detail for the contractor to be able to pre-
pare a tender.

During stage G, the client will continue to advise on any detail decisions still outstanding. Will agree
the tender list and consider the appointment of site staff such as clerk of works, resident engineer etc.
G.1
G.2

Action Checklist for Workstage G – Bills of Quantities

Use this checklist to plan for workload for this stage and check back at the end of the stage to ensure
that some important aspect has not been overlooked. There may be some activities not appropriate to
the subject in hand.

Office Procedures

1 Prepare office resources for stage G

2 Maintain records of chargeable time, time sheets, and note all expenses
3 Review programme and progress regularly, and check resources
3 Where the job is large and costly, report to client regularly costs incurred
4 Prepare fee accounts as they become due
5 Check that the client has settled all outstanding accounts

Job Administration

1 Obtain client‟s approvals for any additional fees

2 Liaise with the client as necessary on tender lists and procedures
3 Maintain control of resources and programme

Design Team and Reports

1 Agree a plan of work and timetable for production of tender documents.

2 Coordinate progress on the production of all documentation and arrangements for obtaining ten-
ders
3 Report to the client any changes to the programme, cost estimates etc. for his comment and
agreement.
4 Advise client on appointment of clerk of works, site engineer etc; arrange advertisements and in-
terviews; select with clients approval.

Brief

1 Update records if changes are made.

Site

1 Check that the site is available for the contractor‟s inspection, and for contract works to com-
mence
Approvals

1 Complete actions to obtain any outstanding consents required.

G.2
BILLS OF QUANTITIES
Action Checklist for Workstage G – Bills of Quantities Cont.

Design and Cost Control

1 Update drawings, schedules and specifications as required

2 Reply to quantity surveyor‟s question sheets promptly

3 Finalise coordination of all drawings, schedules etc.

4 Agree a date for “freezing” of drawings for the tender documents

5 Assemble a set of record negatives/copies of all drawings and documents used for tendering and
retain safely. (Any changes from now on must be noted as Revisions and covered by AI‟s/site
works orders.)

Contract

1. Continue actions commenced in stage F

2. Agree main contract tender list.

3. Assemble and check selected drawings, schedules, bills etc that will be used as tendering docu-
ments and stamp “Contract Documents”

4. Assemble and check separate set to keep unaltered as evidence of information issued in case of
future dispute (use copy negatives for drawings). Store safely.

5. Draft AI‟s to cover late alterations necessary after “Freeze date”

6. Invite tenders for nominated sub-contract and supply works

7. Receive tenders for nominated sub-contract and supply works, and make recommendations for
acceptance to the client.

8. Provide quantity surveyor with details of nominations for inclusion in the contract bills.

9. With client‟s agreement, arrange for early appointment of selected sub-contractors /suppliers
where necessary
 10. After decisions on appointments have been made and appointments accepted, notify all tender-
ers of results.

G.3
G.4
Action Checklist for Workstage G – Bills of Quantities Cont.

Watchpoints
This is a period of intensive work for the design team. Responding to question-and-answer sheets from
the QS, and solving last minute problems puts pressure on the architect.

* Continue to monitor contributions from consultants and manufactures, particularly to assess build-
ers work requirements and attendances. (Sub-contractors in particular may slip-in-last-minute re-
quirements!)

* Identify any work that cannot be detailed for building and agree with the quantity surveyor what
cover is to be provided in the bills. Use provisional quantities and/or provisional sums only where
this is unavoidable.

* Agree with the quantity surveyor cut-off dates for changes of information for billings. Consolidate
all drawings to conform with answers to question and answer sheets. These will form the basis of
the “ as measured” set of drawings,

* Prepare copy negatives and keep these unamended for contract and record purposes to avoid later
confusion. Any subsequent amendments will be variations.

* Draft AI‟s now for such changes after “cut off” for issuing to the selected contractor immediately
upon appointment. The quantity surveyor can value them during the tender period and adjust
where necessary when he reports on tenders to the client.
G.4
BILLS OF QUANTITIES
Checklist G1:– Tenders for Sub-contract Works

Note that the specimen letter G1 includes reservations about architects checking and commenting on
drawings. Do not imply approval or acceptance of design aspects of sub-contractors or supplier‟s pro-
posals.

The specimen letters given in stage F are preliminary invitations to tender for main contract works.
Similar preliminary letters should have been sent to tenderers for sub-contract works as part of the
process of arriving at a tender list.

The stage G specimen letters relate to nominated sub-contract works. They should ideally be sent out in
good time to ensure that details of the specialist sub-contract and attendances required can be included
in the main contract tendering documents.

In order that the nominated sub-contract can ultimately be integrated into the main contract it is impor-
tant that the tender documents include:-

1) Reference to the terms of the main contract and the form of sub-contract that the sub-contractor
will be required to enter into, including details of the provisions in the appendix.

2) Details of any special factors or restrictions affecting the site

3) When necessary, an outline programme, giving anticipated start, delivery, and completion dates.

In stage H there are specimen letters of invitations to tender (and specimen forms of tender) for main
contract works, both for contracts “with Quantities” and those using drawings and sche-
dules/specifications alone.

Zambia National Tender Board Procedures have to be followed for all contracts for government and
parastatal organizations. Procedures change from time to time. Consult to ensure that the procedures
followed are current and applicable to the project in hand.
G.5
G.6

Figure G.1.1:- Specimen Invitation to Tender for Nominated Sub-Contract Works

We note from our preliminary enquiry that you wish to tender for the above works

We invite you to prepare and submit a tender by 12 noon on (date) in accordance with the information
in this letter and its attachments.

We enclose:-

(two) Copies of the form of tender

(one) Copy(s) of the drawings (nos.), specification (ref), and bills of quantities (ref).

Please note that:-

1 You may inspect the drawings and details of the main contract at these offices by appointment.
2 Visits to the site can be arranged with this office

You are required to describe in your tender all attendances and associated works that are to be carried
out by the main contractor, including unloading, protection, scaffolding, builders supplies, accommoda-
tion and welfare facilities for workmen etc.

If successful, you will be nominated to undertake this sub-contract under clause (………/…….) of the
(JLC/GC Works) standard form of contract. Details of the main contract are as described in our prelim-
inary enquiry/confirmed in the enclosed tendering documents.

All specialist drawings should be submitted to us in duplicate for inspection and comment before fabri-
cation.

Any specialist drawings required before the main contract is let should be submitted to us direct. There-
fore they should be submitted via the contractor.

We will assist in checking your drawings, but any errors and omissions, whether detected or not, re-
main your responsibility.

You should complete all part of the form of tender and retain a signed copy. Return the forms in the
addressed envelope provided by the time and date stated above.

Copy to: Client

 Quantity Surveyor
Consultants

G.6
BILLS OF QUANTITIES
Figure G.1.2:- Specimen Invitation to Tender for Nominated Supply Items

This letter may be addressed for other invitations to tender where preliminary enquiries have not been
made.

We invite your tender for supplying the above items in accordance with the requirements of the docu-
ments listed below. (e.g. Drawings, specifications, schedules)

Please note that:-

1 Your tender should be set out on the enclosed form of tender and be accompanied by your relevant
technical drawings, specifications and schedules.

2 All specialists are to be submitted in duplicate to us in reasonable time for inspection and com-
ment before the work is fabricated. We will check these drawings only as far as their coordination
and integration into the overall design is concerned. You must carry full responsibility for the sui-
tability, proper execution and performance of your work.

3 You should describe clearly all attendance and associated works that have to be carried out by the
contractor, such as unloading, protection, scaffolding, builders supplies and works necessary for
the placing and fixing of your products etc. Please include full installation and maintenance in-
structions.

Your tender should reach this office not later than 12 noon on (date) and should be clearly marked
“Tender – for the attention of (name)”.

If you are unable to quote, please return these documents immediately. This will not prejudice your op-
portunities for further work.

Copy to:- Quantity Surveyor

Consultants
G.7
G.8
Figure G.1.3.:- Specimen Letter to Unsuccessful Tenderers

This notification is sent after the successful tenderer has been appointed.

We wish to inform you that the tenders for (Job description) were opened on (date). Your tender was
not the lowest received.

The tenderers, listed in alphabetical order, were as follows:-

1)….………………………………………………………….
2)……………………………………………………………..
3)……………………………………………………………..
(etc:- list in alphabetical order)

The tenders received were as follows:-

1)….………………………………………………………….
2)……………………………………………………………..
3)……………………………………………………………..
(etc:- list in alphabetical order)

Thank you for tendering. Although your tender was not successful this will not prejudice your oppor-
tunities for future work.

Copy to: Client, quantity surveyor, consultants.

Figure G.1.4.:- Specimen Advance Order to a Nominated Sub-Contactor.

On behalf of the employer, we confirm your tender of (date) has been approved.

Until the main contractor has been appointed, we are unable to issue a nomination instruction. However
we are authorized by the employer to issue the following instructions:

(For example)
1) Please design/prepare installation drawings in accordance with the programme set out in your tender
2) Please order the following items ……………………………………………………………………..

And confirm in writing that you have initiated these items.

We confirm that the employer will reimburse you all costs properly incurred in accordance with this
instruction, and the employer reserves the right to the benefit of your work, should the nomination not
proceed.

Copy to: Client, Quantity Surveyor. Consultants

G.8
BILLS OF QUANTITIES
Checklist G2:- Design Team Roles and Responsibilities During Stage G

Quantity Surveyor

The Quantity Surveyor will continue to be supplied with drawings and specifications for all the con-
tract works. Any discrepancies or omissions should be notified without delay (preferably by question
and answer sheets) to the architect and other consultants.

The architect, quantity surveyor and consultants should check that the works are adequately and accu-
rately covered. Where this is impracticable, provisional sums for specific items will be agreed. The
architect and other consultants should agree a procedure for dealing with changes made after the
“freeze” date for information for bills of quantities.

Once the billing and tendering documentation is complete, the quantity surveyor should provide the
team and client with a final estimate of the tender figure.

Civil/Structural Engineer

The engineer will provide the quantity surveyor with drawings and specifications for billing, with bar
bending schedules or estimates of reinforcement etc. He will respond promptly to question and answer
sheets from the quantity surveyor.

The engineer will also supply copies of surveys, soil reports, trial hole records etc to accompany the
tendering documents.

Mechanical and Electrical Engineers

With the architect and quantity surveyor, the M & E engineers will implement required tender proce-
dures for nominated services sub-contracts. Queries from tenderers will be resolved, and all firms ten-
dering will be formally notified to answers to queries.

When tenders are received, the engineers will collaborate with the architect and quantity surveyor to
evaluate them for recommendation to the client.

Where there are no nominated services sub-contracts, the engineers should provide the quantity sur-
veyor with the information required for measurement and specification of the services works, and re-
spond promptly to question and answer sheets from the QS.
G.9
TENDER ACTION
Actions required of the Architect and Client

The following extract from “Architects Appointment” (Part 1: Architects Services) describes in outline
the architect‟s main duties in the Tender Action Stage of the project:-

“Arrange, where relevant, for the other contracts to be let prior to the contractor commencing
work.

Advise on and obtain the client’s approval to a list of tenderers.

Invite tenders from approved contractors; appraise and advise on tenders submitted. Alterna-
tively, arrange for a price to be negotiated with a contractor.”

The client will agree tendering procedures and receive a formal report on tenders received from the
architect. Hw will consider this and its recommendations and make a decision about awarding the con-
tract.

Before the contract is prepared, the client should understand his role as employer. He should also un-
derstand that his architect will continue to act as his agent and at the same time undertake the special
role and duties of the architect under the building contract.
H.1
H.2

Action Checklist for Work stage H- Tender Action

Use the checklist to plan the workload for this stage and check back at the end of the stage to ensure
that some important aspect has not been overlooked. There may be some activities not appropriate to
the project in hand.

Office Procedures

1 Prepare office resource for stage G

2 Maintain records of chargeable time, time sheets, and note all expenses
3 review programme and progress regularly, and check resources
4 Where the job is large and costly, report to client regularly cost incurred.
5 Prepare fee accounts as they become due
6 Check that the client has settled all outstanding accounts

Job Administration

1 Obtain client‟s approvals for any additional fees

2 Liaise with the client as necessary on tender lists and procedures
3 Advise client of anticipated changes to tender prices, if any (due to late changes, change in market
rates etc)
4 When main contract tenders have been received and considered, prepare a report with recommen-
dations
5 Discuss report with client and agree how to proceed

Design Team and Reports

1 Determine any actions necessary to deal with changes to the works required by the client or other
source.

Brief

1 Update if necessary.

Site
1 Check that the site is available for the contractors‟ inspection, and for contract works to com-
mence on the date specified in the tendering documents.

Approvals

1 Finalise all contents; warn client of consequences if all consents have not been received.

H.2
Tender Action
Action Checklist for Work stage H- Tender Action cont.

Design and Cost Control

1 Prepare any drawings, schedules, specifications etc and any AI‟s required to cover changes in the
work measured in the tender documents, provide the quantity surveyor with copies for cost as-
sessments.

2 Check that the consultants do the same.

3 Report programme and cost information to the client.

Contract

1 Check that all documents are complete for dispatch

2 Check that all insurances are covered

3 Carry out procedures for inviting main contract tenders

4 Arrange pre-tender meetings with contractors to describe the scheme‟s particular requirements and
conditions.

5 Notify successful tenderers of intended nominations for sub-contracts and supply.

6 Arrange for tenderers to inspect drawings and other documents

7 Arrange for them to have access to the site

8 Answer their questions and inform all tenderers of relevant replies in writing.

9 Check that tender documents have been correctly completed and submitted.

6 Arrange for the quantity surveyor to check for arithmetical errors and inconsistencies in pricing,
and clarify any found with the tenderer.
7 Check that tenderers return all documents required.

8 Check that successful tenderer returns priced bills etc as required

9 Notify unsuccessful tenderers after successful tenderer has agreed

10 Check that successful sub-contract nominees and successful main contract tenderer are prepared to
proceed on formal nominations

11 With clients approval, issue letter of intent and place advance orders.

H.3
H.4

Action Checklist for Workstage H- Tender Action

Watchpoints

* Be careful to follow the correct (Tender Board) procedures throughout the tendering process.

* Resist pleas for more tendering time. If preliminary invitations have been properly issued (Fig F1)
few circumstances will justify the extension.

* If tenderers raise queries on documents, answer promptly. Notify all those bidding in identical
terms

* Do not accept late tenders. Explain to the client that the lowest must be thoroughly checked for
errors and inconsistencies, and this will take some time. Your report on the tenders should also
summarise the financial effect of changes since tendering so that he has a clear picture of the fi-
nancial position.

* Beware of an abnormally low tender. Point out to the client the dangers of accepting it at face val-
ue; if necessary, advise him in writing to reject it.

* Do not reveal any details of the tenders until the contract has been let. Tenderers will want to
know where they stand soon after tender opening: give only general statements as whether their
tender is under consideration.

* Make a final check with the client that the site is in fact ready for building operations to com-
mence.
 H.4
TENDER ACTION
Checklist H1:- Procedure for Inviting and Receiving Tenders

The specimen letters G1 assumes that preliminary invitations have been issued to potential tenderers.
The letters are easy to adapt to suit other circumstances.

It is strongly recommended that NJCC standard procedures are used to obtain competitive tenders.
These are generally accepted and understood by the contracting industry in Zambia

Remember that tendering is an expensive exercise for the contractor and design team alike. Contrac-
tor‟s costs are ultimately reflected in the construction costs through the contractor‟s overheads. Selec-
tive tender lists should be limited in size:- three to five tenderers would be the norm in most cases.

Zambia National Tender Board procedures have to be followed for all projects for government or pa-
rastatal organizations. Procedures change from time to time. Consult to ensure that the procedures fol-
lowed are current and applicable to the project in hand.

Remember to allow time for Tender Board Procedures, including approval to out to tender. Submis-
sions to Tender Board have to be made through the Director of Buildings and are prepared by the Per-
manent Secretary, Ministry of Works and Supply.

Where open tendering is required, allow time for the advertisement of tenders in the press.
H.5
H.6
Figure H.1.1:-Specimen Invitation to Tender for Main Contract (Without Quantities)

This letter can easily be adapted for the use with bills of quantities by including reference to the bills in
the list of documents enclosed.

We note from our preliminary enquiry that you wish to tender for the above works.

We invite you to prepare and submit a tender by 12 noon on (date) in accordance with the information
in this letter and it‟s attachments.

We enclose:-

(two) copies of the specifications, drawings and schedules.

(two) copies of the form of tender.
An addressed envelope in which to return the tender.

Please note that:-

1 You may inspect all drawings and details at these offices by appointment

2 Visits to the site can be arranged with the office.

3 The employer reserves the right not to accept the lowest or any other tender.

4 Details of the main contract terms are as described in our preliminary enquiry/ confirmed in the
enclosed tendering documents.

You should complete all parts of the form of tender and retain a signed copy. Return the forms in the
addressed envelope provided by the time and date stated above.

Please confirm that you have received this invitation to tender and all its enclosures and that you will
return a tender by the due date.
Copy to: Client
Quantity Surveyor
Consultants

H.6
TENDER ACTION
Figure H.1.2:- Specimen Form of Tender fir Main Contracts (Without Quantities)

This form can easily be adapted for the use with bills of quantities by including reference to the bills in
the first paragraph. Where a quantity surveyor is employed, he will usually draft and include the form
of tender in the contract bills.

TENDER FOR MAIN CONTRACT WORKS

Name of Project

__________________________________________________________________

We have read the conditions of contract and have examined the drawings, specifications and
schedules you have sent to us.

We offer to execute and complete in accordance with the conditions of contract the whole of the
works described for the sum of:

K………………………………………………
(in words……………………………………………………………………….)
and within………… ……………… weeks from the date of site possession.

We enclose our schedule of rates (or breakdown of the tender sum) as required*.

We agree that if errors in pricing or in arithmetic are discovered before the tender is accepted
the tender sum will be adjusted accordingly/ we will either withdraw the tender or stand by the
tender sum submitted. (Select an alternative).

This tender remains open for a period of (number of) days from the date fixed for submitting
tenders.

We agree to provide a bond as required by the employer and name the following banks as sure-
ties, who are willing to be bound jointly and severally by us to the employer in the sum of
K…………..……… for the performance of this contract.
1 ……………………………………………………………………………
 2 ……………………………………………………………………………

The amount included in the tender sum to cover the provision of a bond is K…………………

Signed……………………………………………………………………………
On behalf of …………………………………………………………………….

Date…………………………………………………………………

Witnessed…………………………………………………………………………
* This assumes a non-priceable document with a lump sum figure only.

H.7
H.8
Figure H.1.3- Specimen Letter to Unsuccessful Tenderers

This notification is sent after the successful tenderer has been appointed.

We wish to inform you that the tenders for (Job description) were opened on (date). Your tender was
not the lowest received.

The tenderers, listed in alphabetical order, were as follows:-

1)……………………………………………………………………………
2)……………………………………………………………………………
3)……………………………………………………………………………
(etc:- list in alphabetical order

The tenders received were as follows:-

1)….………………………………………………………….
2)……………………………………………………………..
3)……………………………………………………………..
(etc:- list in alphabetical order)

Thank you for tendering. Although your tender was not successful this will not prejudice your oppor-
tunities for future work.

Copy to: Client, quantity surveyor, consultants.

Figure H.1.4:- Specimen Letter to Contractor Submitting Lowest Tender

(usually sent by telex or telegram)

The tenders were opened on (date).

We wish to consider your tender closely for possible acceptance. Please submit priced bills of quanti-
ties to this office at your earliest opportunity, for examination and checking.

Copy to: Client, Quantity Surveyor, Consultants

Figure H.1.5:- Specimen Letter to Contractor Submitting Second Lowest Tender

The tenders were opened on date (date). Yours was the second lowest opened.

If the tender lower than yours is found not to be acceptable, you may be asked to stand by your tender
and submit priced bills of quantities.

We will write to you as soon as a decision has been made, and in due course will send you a list of the
tenders received.

Copy to: Client, Quantity Surveyor, Consultants.

H.8
TENDER ACTION
Figure H.1.6:- Specimen Report on Tender Received

CONFIDENTIAL

Name of Project
__________________________________________________________________

Tenders for this project were opened on (date) and were as follows:-

Tender sum: contract period

1) (contractor…………………………. K……….….. : ………..(weeks)
2) …………………………………….. K…………... : ………………..
3) …………………………………….. K…………... : ………………..
etc.

The lowest tender submitted by (contractor) in the sum of ………………… has been examined
and a number of significant pricing errors were observed. The contractor was informed and has
subsequently withdrawn his tender. Copies of the relevant letters are enclosed for your informa-
tion.

The lowest tender submitted by (contractor) was then examined and:-

a) The rates in the schedule of basic prices are considered reasonable and no adjustment was
found necessary.

b) Minor arithmetical errors were found. The contractor has agreed to stand by his tender fig-
ure.

c) No anomalies were noted in the pricing of the bills of quantities.

d) All unacceptable conditions and qualifications to the tender have been withdrawn.

e) The time quoted for completion of works, (weeks) is considered to be a reasonable period.
Completion can be achieved within the programme.
 The tenderer has completed various works of this type for this office in a satisfactory manner,
and it is considered that this contractor is capable of completing this work without over commit-
ting his resources.

The tender submitted by (contractor) is therefore recommended for acceptance and upon receipt
of your authority we will arrange for the contract to be let to this company.

Copies to : Quantity Surveyor

Consultants

H.9
H.10
Figure H.1.7:- Specimen Letter of Intent to Successful Tenderers

Adapt this letter to suit the form of contract and the requirements of the project. For projects for gov-
ernment and parastatal organizations a pro-forma letter of acceptance may be used, refer to “ Building
Branch Objectives”

We are pleased to inform you that the employer has instructed us to appoint you as the contrac-
tor for these works. You should regard this letter as the employer‟s acceptance of your tender of
(date) in the sum of K…………….. . The contract documents will be sent to you for signing in
the near future.

As the employer requires an early start to the works, please arrange for work to commence on
the agreed date of (date), when the site will be available.

There will be an initial project meeting at this office at (time) on (date) which the employer‟s
representative, quantity surveyor, consultants and clerk of works will be invited to attend.
Please arrange for your key personnel to be present at the meeting.

Insurances

You should now arrange the insurances required by the contract conditions and as detailed in
the appendix. The originals of all policy documents should be sent to us for inspection by the
employer. Please make sure that all sub-contractors have entered into the required form of
agreement and have completed their contractual obligations regarding indemnity and insurance.

Please confirm that you have put these matters in hand and let us know the names of personnel
who will be attending the project meeting.

Copy to: Client

Quantity Surveyor
Consultants
Clerk of Works.
 H.10
TENDER ACTION
Checklist H2:- Design Tem Roles and Responsibilities During Stage H

Quantity Surveyor

The quantity surveyor will participate in pre-tender meetings with contractors, and assist the architect
in responding to questions from tenderers. He will assist the architect in checking that the tender docu-
ments have been correctly completed and submitted, and will check the completed documents, includ-
ing priced bills of quantities for arithmetical errors and anomalies.

The quantity surveyor will contribute to the formal report on tenders to the employer.

Design changes and draft AI‟s since the project was frozen are costed, and the financial implications
are taken into account in the report on tenders.

Civil/Structural Engineer, Electrical and Mechanical Engineers

All drawings, specifications, schedules etc. necessary for the tender are completed and coordinated.
Copies are provided to the architect for record purposes and for inclusion in the tender documents. Late
changes made after “freeze” date are advised to the architect and quantity surveyor in order that the ne-
cessary AI‟s can be prepared and the cost implications can be evaluated.

The engineering consultants may participate in pre-tender meetings with contractors, and will assist the
architect in responding to questions from the tenderers.
H.11
PROJECT PLANNING
Actions Required of the Architect and Client

The following extract from “ Architects Appointment” (Part 1: Architects Services) describes in outline
the architects main duties in the Project Planning Stage of the project:-

“Advise the client on the appointment of the contractor and on the responsibilities of the client,
architect and contractor under the terms of the building contract; where required, prepare the
building contract and arrange for it to be signed by the client and contractor; provide production
information as required by the building contract.”

The client will enter into the contract as employer. He will hand over the site to the contractor and
make all provisions set out in the contract to enable the contractor to proceed with the works. The client
will make whatever financial arrangements are necessary to honour certificates.
J.1
J.2
Action Checklist for Workstage J:- Project Planning

Use this checklist to plan the workload for this stage and check back at the end of the stage to ensure
that some important aspect has not been overlooked. There may be some activities nor appropriate to
the project at hand.

Office Procedures

1 Prepare office resource for stage J

2 Maintain records of chargeable time, time sheets, and note all expenses

3 Review programme and progress regularly, and check resources

4 Arrange to report to client monthly on fees due and costs incurred.

6 Check that the client has settled all outstanding accounts

Job Administration

1 Obtain client‟s approvals for any additional fees

2 Remind the client of his responsibilities as employer and define for him the architect‟s role under
the building contract

3. Remind the client of the insurances he must take out under the contract.

4 Remind the client that he must honour payment certificates in full within the period stated in with-
in the contract.

5 Explain to the client that instructions to the contractor can only be given through the architect.

6. Update the client regularly about the progress and cost of the works.
7. Confirm the appointment of the clerk of works, specify his duties and set out the procedures o be
followed.

8. Prepare contract documents for signature, first by the contractor and then by the client.

Design Team and Reports

1 Review any actions necessary to deal with changes to the works required by the client or any other
source.

2 Prepare agenda and documents for initial project meeting with the contractor.

3 Brief site supervisory staff.

4 Prepare to make regular progress reports to the client.

J.2
PROJECT PLANNING
Action Checklist for Work Stage H:- Tender Action Cont.

Site

1 Check that there is nothing to prevent contract works commencing on the date specified in the
contract.

Approvals

1 Check that there are no consents outstanding which could prevent the contractor starting the works
on time.
Design and Control
1 Prepare any drawings, schedules, specifications etc. and any AI‟s required to cover changes in the
work measured in the tender documents; provide the quantity surveyor with copies for cost as-
sessments.

2 Check that the consultants do the same.

3 Report programme and cost information to the client

Contract

1 Prepare sets of contract documents.

2 Dispatch contract documents by hand or by registered post to the contractor for signing and initial-
ing.

3 Send signed documents to the client with instructions for signing and initialing.

4 Check that all contract documents are properly signed/sealed and date them.
5 Send contractor and employer their sets of contract documents. The architect may retain a copy for
reference.

6 Ensure contractors insurances are checked

7 Nominate sub-contractors using the correct forms and instructions.

8 Assemble sets of drawings and schedule for issue to the contractor and to the clerk of works.

9 Prepare architect‟s instructions for changes since tenders were prepared, nominations and any oth-
er instructions, in time for the initial project meeting with the contractor.

10 Hold initial project meeting with the contractor, consultants, quantity surveyor and clerk of works.

11 Establish dates for commencement, completion, clarify queries about contract; agree procedures,
programme etc.

J.3
J.4
Action Checklist for Work Stage J:- Project Planning Cont.

12 Hand over drawings and other documents required by the contractor

13 Hand over site

14 Obtain contractor‟s programme for the works

15 Obtain Contractor‟s programme for receiving further information from architect/consultants

12 Complete notification of all unsuccessful sub-contractors, contractors and suppliers.

Watchpoints

* As soon as the contract is let, it is essential to provide the contractor with the full documentation,
drawings and nomination instructions. Remember, he has a limited period to allocate his resources
and start on the site, and delays in providing him with information may result in delays in his
preparations.

* Pass to the employer the originals of the contractor‟s insurances for checking (alternatively ar-
range for an insurance expert to check on the client‟s behalf). Do not accept photocopies or letters
of assurances.

* Ensure the contractor enters into proper sub-contracts without delay once nominations are issued
and accepted.

* Prepare documents for signature (two sets) and check meticulously that all insertions, signatures
and initials are complete.

* Start off on the right foot with the contractor. Issue complete sets of production information
promptly and methodically. At the initial project meeting, you must demonstrate that you have a
 good practical understanding of the contract. Be seen to be firm and fair. Insist that the whole
team attends the meeting; it is a very important one.

* Thoroughly brief your staff and the site inspectorate. Make sure the Clerk of Works is given clear
instructions about his duties.

PROJECT PLANNING
Checklist J1:- Assembling Production Information

Production Documents

Prepare copies as required. Hand then over to the contractor at the first project meeting or issue them
under a letter of instruction as follows:-

* Two copies of production drawings as required by the contract, plus additional copies as requested
by the contractor.

* Two copies of unpriced bills of quantities as required by the contract, plus additional copies as
requested by the contractor.

* Copies of nominated sub-contractor‟s and/or suppliers tenders, with full supporting documenta-
tion.

* Nomination and variation instructions, and instructions concerning anomalies in the contract doc-
uments as required.

Insurances

* Instruct the contractor on what cover is required

* Ensure the contractor checks the sub-contractor‟s insurances.

* Instruct the contractor to arrange for surety bonds.

* Issue instructions to the contractor to arrange insurances.

Specialist Work

* Ask the contractor which specialist work he wishes to price

* Ensure the contractor has no objections to proposed nominations

* Advise successful sub-contractors and suppliers

J.5
J.6
Checklist J2:- Briefing Site Supervisory Staff

The architect may decide to hold a special meeting to brief site supervisory staff, and should introduce
them at the first project meeting. The full project team should be present so that all personnel can be
introduced, and responsibilities and lines of communication can be established.

If a special briefing is held, the architect should describe the project and the method of construction,
and should outline the programme of work. He should issue any forms, diaries and other documents
required by the site inspectors.

The Job architect should agree with his colleagues and other consultants means of coordinating their
activities as a team, to avoid duplication of work and misunderstandings.

The following notes may be issued to site inspectors and form part of their job description/terms of ref-
erences:-

The Site Inspector / Clerk of Works should:

* Examine work in contractor‟s, sub-contractor‟s and supplier‟s yards

* Check the progress of the works against contractor‟s programme
* Submit reports to the architect at required intervals.
* Maintain daily diary, recording events, information issues, and observations
* Check drawings for discrepancies and seek instructions as required
* Supervise tests as required by the contract.
* Inform the architect of work not in accordance with the contract
* Notify the architect of any problems arising and any decisions required.
* Confirm all directions in writing and inform the architect to seek confirmation.
* Check effects of variations on associated trades and services
* Liaise with services engineers or inspectors as required.
* Agree coordination of trades/concealments of services with the contractor
* Check accuracy of contractor‟s day works sheets and site records.
* Attend all site meetings and sub-contractor‟s meetings.
* Maintain records of plant and materials on site.
* Maintain “ as built” records and drawings.
The Site Inspector / Clerk of Works should not:

* Modify the design

* Incur extra costs
* Instruct the contractor on methods of working
* Agree any commitments on behalf of sub-contractors or suppliers
* Accept instructions from persons other than the architect.
* Vary procedures laid down by the architect

J.6
PROJECT PLANNING
Checklist J3:- Appointing Clerk of Works

It is advisable for a clerk of works to be appointed on all major projects. Complex projects may justify
the appointment of specialist Clerk of Works – for example for services installation and/or structural
work.

Clients sometimes erroneously think that inspection by the architect means that a clerk of works is not
required. However, inspection by the architect is periodic, whereas a clerk of work has a constant in-
volvement of the on the site. On some projects, it might be appropriate to employ a full time resident
architect and/or engineer. If this is the case, the requirement should be included at tender stage, or the
contractor will not include the necessary facilities in his tender.

The clerk of works operates under the direction of the architect and must be familiar with the terms of
the contract and it‟s provisions for nominated sub-contracts. And be capable of and equipped for main-
taining full records.

The clerk of works acts in essence as the eyes and ears on site of the architect, and it is important that
he receives full support from the architect‟s office.

Fig J.3.1 Specimen letter to newly appointed Clerk of Works

We are pleased to tell you that the employer has instructed us to confirm your appointment on the terms
agreed. Your duties will commence on (date) and you will report to the project architect (name) with
whom you will liaise throughout the contract.

Please ensure you attend the briefing meeting for site supervisory staff on (date) at (location), when
your duties and responsibilities will be defined and you will be issued with the necessary report forms,
direction forms and diary.
So that you can familiarize yourself with the project, we enclose a copy of drawings, bills and specifi-
cations.

We look forward to working with you on this project. If you have any queries, please let us know.

J.7
J.8
Checklist J4:- Initial Project Meeting
The meeting is crucial. It is the first opportunity for all the project team to meet and establish effective
working arrangements. Allow plenty of time for the meeting, particularly where the project is complex.
It is essential for the project architect to be totally familiar with the project. At this meeting, he can
demonstrate that he is competent, knows what is wanted and is open to discussion and constructive in-
put from other members of the team. He should aim to get the confidence of the team and ensure that
different viewpoints are aired and conflicts resolved before the project gets under way.
Items to be covered at the initial project meeting
1.0 Introductions
* Introduce representatives who will regularly attend project meetings
* Record names, with contact addresses, roles and responsibilities
* Describe the project and its background, and identify aims and priorities
* Describe client‟s requirements; e.g. specialist appointments, restrictions
2.0 Contract
* Present status of completion of contract documents
* Hand over of production information:-
drawings, schedule, bills, specifications, instructions, nominations
* Review status of outstanding production information
* Request original insurances for checking – clarify insurances required
* Remind contractor to check sub-contractors insurances
* Clarify requirements for surety bonds
* Clarify standards required, quality control and inspection procedures
3.0 Contractor’s matters
* Confirm requirements for contractor‟s master programme:-
- incorporate client‟s requirements, phasing, cash flow etc.
- to be agreed by nominated sub-contractors, show start and completion dates
- show separate trades and integration with services elements
- indicate latest dates for information required
- allow for testing, commissioning and snagging
 - accommodate utilities supply and connections
* Establish a programme for information from specialist sub-contractors to architect for comment.
(examine and comment on drawings by specialists, - do not “approve” them)
* Review contract provisions for site facilities, restrictions, services etc.
* Define responsibility for quality control (Contractor‟s)
* Define duties of inspection and procedures to be followed.
* Contractor to obtain architect‟s agreement to list domestic sub-contractors
* Responsibility for and status of advanced orders and advanced sub-contracts
4.0 Clerk of Works’ matters
* Role of architect‟s visits; spot checks, meetings, setting of standards
* Emphasise C.o.W supportive role, and request contractor‟s full cooperation
* Review facilities required
- site staff, materials and plant on site, day works for verification etc.
* Agree procedures for quality control:-
- certificates, tests and samples required
- location and retention of sample panels

J.8
PROJECT PLANNING
Ckecklist J4 cont. Initial Project Meeting
4.0 Clerk of works matters Cont
- adequacy of storage and protection
- test procedures, e.g. concrete cube and block crushing strength tests
- visits to suppliers and manufacturers works.
5.0 Consultant’s matters
* Consultants to liaise with nominated sub-contractors through the contractor
* all instructions to be issued by the architect
* Agree arrangements and timetables for submission of specialists‟ drawings and subsequent com-
ment. Aim to agree procedure to make this efficient – this element can cause serious delay and
disruption if procedures are not clearly understood and carefully timetabled.
6.0 Quantity Surveyor’s matters
* Agree procedures and timetable for valuations and issue of certificates (dates may be set by the
client to ensure payments can be met on time)
* Clarify:-
- day works will only be accepted on written instructions
- verified day works sheets to be submitted within 7 days
- tax requirements/exempt status as appropriate
- contractor to order from schedules and specifications, not bills of quantity
7.0 Communications and procedures
* Establish procedures for a reliable and timely flow of information:-
- establish a thorough contractor‟s programme at the outset
- arrange regular reviews of the contractor‟s programme
- requests for information to be in writing
- respond quickly to queries to queries – do not wait for next site visit
- technical queries to be raised in first instance with C.o.W where appointed
- discrepancies to be referred to the architect, not C.o.W
* Remind contractor to ensure all information on site is current
* Information to and from all sub-contractors to be via main contractor
* All information and instructions to be on standard forms.
* Agree numbers of copies and distribution lists of all information
* Agree who will meet costs for additional copies of information
* Only written instructions from the architect will be valid
* Contractor to seek conformation before acting on verbal instructions
* Procedures for claims to be strictly in accordance with the contract.
- events likely to lead to a claim to be raised immediately.
8.0 Meetings
See section K.4 – meetings on site for information on the likely types of meeting required, typical
schedules and specimen agenda.
* Always issue an agenda with written notification or reminders of all meetings
* circulate minutes promptly
* Agree status of minutes:-
- minutes to be taken as direction for action
- decisions affecting the works to be reconfirmed on A.I.
- any dissent to be notified within 7 days
- all persons attending to have full delegated authority of their organisations
* Agree numbers of copies and distribution of minutes

J.9
J.10
Checklist J.4Cont:- Initial Project Meeting

Fig J.4.1 Specimen agenda for Initial Project Meeting

1 Introductions
Personnel
Roles and responsibilities
Project Description
2 Contract
Signature of contract documents
Handover of production information
Commencement and completion dates
Insurances/ Bond
Standards and quality
3 Contractors matters
Possession
Programme
Site facilities and planning
Security
Site restrictions
Sub-contractors and suppliers
Statutory undertakers
Underground and overhead services
Temporary services
Quality control
Signboards
4 Clerk of works matters
Role and duties
Facilities
Liaison
Dayworks
5 Consultants matters
Structural
 Mechanical
Electrical
Others

6 Quantity Surveyor’s matters

Adjustments to tender figure
Valuation procedures and timetable
Fluctuations
Remeasurement
7 Communications and procedures
Information required a) Contractor b) From architect and consultants
Distribution
Validity and instructions
Lines of communication
8 Meetings
Timetable of meetings
Status of minutes
Distribution of minutes

J.10
PROJECT PLANNING
Checklist J5:- Finalising the Contract

Prepare contract documents immediately the contract is awarded and the contractor accepts

The appendices to this section give detailed guidance on the completion of the contract documents

Check carefully that every document has been signed and initialed where required.

You will have written to the contractor to confirm his appointment. You should now write to the client
explaining his role as employer (see specimen letter J.5.1). Make sure that you draw attention to the
matters specific in the contract.

When all the documents have been signed it is recommended that you inform all the tenderers of the
tender prices to be submitted. This assist competitive tendering.

Fig J.5.1 Specimen letter to client when contract is ready for signature

Preparation of the contract documents is now well advanced and will be sending them to you for signa-
ture shortly.

There are a few points which we think it best to draw to your attention at this stage.

1 Architect‟s responsibilities

As architects under the contract we have an obligation to interpret the contract terms with fairness to
both parties. We are also the sole party authorized to issue instructions to the contractor. If you consid-
er that changes should be made, please inform us so that we can arrange this for you. We will report to
you regularly on progress and the financial position.

2 Visits to the Site

The contractor will appreciate your interest in the progress of the work, but please ensure that only au-
thorized persons visit the site. It is best that any visits are organized through ourselves. We must re-
mind you that the contractor cannot, under the contract, accept any instructions unless they are made
through ourselves.

3 Payments

Payments should only be made when the contractor presents our payment certificate to you. The
amounts certified must be paid in full within 14 days of issue. Prompt payment in full is essential to
enable the contractor to keep to his programme and complete on time.

If you would like any further information, please let us know

J.11
J12

Checklist J5 continued:- Finalising the Contract

Fig J.5.2 Specimen letter to the contractor with documents for signature

Further to our letter of (date) we confirm that the employer is now ready to enter into contract with you
and we therefore enclose two sets of the contract documents for your signature. These comprise:-

1 Articles of agreement and conditions of Contract

2 Contract drawings……..….. (list drawing numbers with revisions)
3 Bills of quantities …………… } as appropriate
4 Specifications (or schedule) }

Please complete the documents as follows:-

a) Sign (or seal) where indicated and witness as necessary

b) Initial all the alterations and entries in the appendix as indicated with a “X”
c) Sign each contract drawing in the marked place
d) Sign the bills in the marked place

Please return the documents to us as soon as possible, so that we can them on to the employer for com-
pletion. We will provide you with one completed set in due course.

Fig J.5.3 Specimen letter to employer with documents for signature

The contractor has now completed and returned to us the enclosed contract documents, which you
should now sign (or seal). They comprise:-

(List all documents as fig J.5.2)

You should sign and witness against the contractor‟s signature, and initial against the contractor‟s in-
itials as indicated.
Please return the documents to us immediately after signing them. We will date them and send one set
to the contractor, and return the other set to you in due course.

Fig J.5.4 Specimen letter notifying unsuccessful tenderers

We refer to our letter of (date) and confirm that your tender was not successful.

We list below the tendered prices in descending order:-

K……………………………………………………..
K……………………………………………………..
K……………………………………………………..
K……………………………………………………..

Once again, we thank you for tendering on this occasion.

J.12
OPERATIONS ON SITE
Actions required of the Architects and Client

The following extract from “Architects Appointment” (Part 1: Architects Services) describes in outline
the architect‟s main duties during Operations on site.

“Administer the terms of the building contract during operations on site

Visit the site as appropriate to inspect generally the progress and quality of the work

With other consultants where appointed, make where required periodical financial reports to the
client including the effect of any variations on the construction cost.”

The client‟s responsibility is to honour the certificates within the period stated in the contract appendix,
note progress and financial statements and approve justified variations to the scheme and costs. He
should witness commissioning and testing if he wishes, and should appoint operating and maintenance
staff in good time for them to become familiar with the building and it‟s service installation before
completion
K.1
K.2

Action Checklist for Work_stage K: - Operations on Site

Use this checklist to plan the workload for this stage and check back at the end of the stage to ensure
that some important aspect has not been over-looked. There may be some activities not appropriate to
the project in hand.

Office Procedures:

1. Prepare office resources for stage K

2. Maintain records of chargeable time, time sheets, and not all expenses
3. Review programme and progress regularly, and check resources
4. Arrange to report to client monthly on fees due and costs incurred.
5. Check that the client has settled all outstanding accounts
6. Maintain systems for invoicing contractors for the cost of prints etc.

Job Administration:

1. Keep client informed of progress and financial position as work proceeds

2. Make sure the client confirms in writing any instructions varying the works – advise about related
fees.
3. Advise the client on cost and programme implications arising from changes
4. Obtain the client‟s supplementary financial approvals as required
5. Establish the client‟s requirement for maintenance manuals and agree related fees.

Design Team and Reports

1. Maintain liaison through design team meetings

2. Coordinate work required to implement design changes
3. Maintain regular progress and financial reviews
Contract

1. Maintain record and as-built drawings for incorporation into manuals

2. Hold regular progress meetings and regulars inspection visits
3. Prepare and distribute minutes of meetings without delay
4. Agree with contractor setting out, boundaries, temporary works general tidiness of the site etc.
5. Attend contractor‟s production meeting if requested

K.2
OPERATIONS ON SITE
Action Checklist for Work Stage K: - Operations on Site Cont.
Contract (cont.)

6. Make any outstanding nominations for sub-contractors/ suppliers

7. Provide any further information as required to meet contractor‟s programme

8. Visit site as necessary to meet the contractor and make inspections – make occasion un-announced
visits
9. Liase with clerk of works and consultants
10. Liase with quantity surveyor to maintain cost control and regular financial reports / forecasts of
total construction cost.
11. Notify quantity surveyor of any works, goods or materials not in accordance with the contract, or
any other reasons why monies might be withheld
12. Respond to contractor‟s requests for information without delay
13. Deal with claims promptly and fairly. Issue the necessary notices
14. Authorise day-works where justified, after checking with the Q.S. to ensure there is no more ap-
propriate method of valuation.
15. Initiate with consultants a programme for performance testing and commissioning
16. Remind employer of the need for appointment, training and familiarisation of maintenance staff,
including witnessing of commissioning
17. Prepare for hand-over procedures
18. Should the employer require partial possession, advise him of the contractual implications before
proceeding as instructed.

K.3
K.4

Action Checklist for Work Stage K:- Operations on Site Cont.

Watch-points
Acquire a good understanding of the contract. The architect has may duties and responsibilities
under it, and must be capable of interpreting it fairly between the contractor and employer. This
implies knowledge of its terms at least as good as either.

All instructions to the contractor should be in writing, preferably on the standard form. Keep in-
structions up to date, and ensure that estimates of cost implications are realistic.

Instruct the contractor clearly what to do – never instruct him how to do it!

Progress meetings are for management, site meetings for technical matters. Site inspections should
be methodical – use check-lists and standard report forms. Allow adequate time, and don‟t be di-
verted from the purpose of the visit.

Valuations and issue of certificates must be on time. Understand what has been included in the
quantity surveyor‟s valuation so that you can check that he has excluded work and materials not
in accordance with the contract.

Do not let contractor‟s claims fester; deal with them at once.

The client must depend on you for information on programme and costs.
- the issues at stake for him may be enormous. Ensure your reporting to him is regular, and as
reliable and accurate as possible.
The contractor supervises the work. The architect‟s duty is to inspect.
 Ensure commissioning is completed and essential maintenance information is available before
hand-over to the client.

Start a system for listing and monitoring progress on outstanding items as the project nears com-
pletion. This lists should be for your use only – do not issue them to the contractor as they may be
confused with schedules of Defects, which have very specific meaning under the contract.

The risk of variations resulting in valid claims for an extension of time increases as the contract
approaches completion. Resist last minute changes. (it may be better to allow the contractor to
complete, and then organise any changes required by the client as a separate contract).

The client will require accurate as-built drawings. Maintain these as work proceeds.

K.4
OPERATIONS ON SITE
Checklist K1:- Keeping the Client informed

The client depends on the architect to keep him informed of the progress of the work and the current
financial position. He will need to agree any changes in the light of consequential effects on costs. He
will need to evaluate the effects on his own organisation of any delay to the work. The amount of in-
formation and the accuracy will depend on the client and the nature of the project. Discuss and agree
his requirements for reportage and inform all the other members of the design and construction team
accordingly.

In order that you are not inhibited in the control of progress meetings it may be preferable not to invite
the client‟s representative to these. Arrange special review meetings with the client and contractor in
response to specific issues as they arise.

1.0 Progress

The client may require: -

- Minutes of meetings
- Copies of A.I‟s issued, with explanation and drawings as necessary
- Special reports

2.0 Financial Position

The client will require detailed estimates of expenditure from time to time. He may also require cash-
flow forecasts and a forecast of total costs.

Where a quantity surveyor is appointed and the architect must therefore report the financial position
himself, a simpler report, as Fig K.1.2 may be appropriate.

3.0 Cost Increases

The client must agree any expenditure in advance – this is a requirement of the architect‟s conditions of
engagement. Extra expenditure may be required for;-

1) Unavoidable changes in design

2) New works and changes required by the client
3) Adjustment of provisional sums

The client should be advised of cost implications at the time he asks or any change, not after it has been
implemented.

Under the contract the contractor is entitled to recover cost increases due to fluctuations, calculated in
accordance with the rules laid down in the contract, and the employer is obliged to pay them. Although
the employer is not required to approve cost increases due to fluctuations, it is clearly most important
that he is kept fully aware of the effect of the fluctuations clauses, in order that he can budget for the
necessary expenditure.

K.5
K.6
Fig K.1.1 Typical monthly Financial Statement
The quantity surveyor will provide the information required for this report. The architect will appraise
the information and call for clarification or additional information as required, complete the report and
initiate any action required in the light of the financial forecast.

Project Job No……………

Financial report to end of ………………………….... (month) ……………….

Omit Add Net Cost

Financial Original approval

Approvals
Work included in contract covered by additional approvals

Subsequent additions/omissions

Total of approved costs

Contract figure (inc. contingencies)

Prime Costs PC‟s ordered

PC‟s yet to be ordered

Adjustments Effect of instructions to AI‟s No…………

Effect of envisaged AI‟s

 Adjustment to Provisional Sums

Other

Estimated fluctuations

Total Adjustments

Contingencies Original Contingency Sum

Estimated proportion absorbed to date

Estimated remainder

Final Estimate Estimated final expenditure based on current information

K.6
Operations on site
Fig K.1.1 Typical monthly financial statement, page 2

Project Job No……………………

Notes PC‟s to be ordered and variations omit add net adjustment envisaged

1)

2)

4)

5)

6)

Original Date(s) for possession

Total extensions of time granted
Current contact completion date(s)
Best estimate of actual completion date

Job architect‟s comments

Date: Signed:

Copy to: Client

Quantity Surveyor
Consultants: Struct mech elect Other………………………………
Clerk of works

K.7
K.8

Checklist K2 - Meetings on Site

The usual procedure is for the architect to arrange and chair progress meetings. The contractor will ar-
range and chair production meetings. In additional the architect will continue to call and chair design
team meetings for as long as the project requires it. Finally, there are site inspections by the architect,
which may or may not be formal and may take place on the same day as the progress meeting.
1.0 Architect’s progress meetings
These are essentially policy meetings and they should take place at regular intervals. All the people
attending these meetings should be senior and have the full delegated authority of their organisations to
act.
The agenda should be standardised and issued in advance. Meetings should take place at readily re-
membered intervals, e.g. first Tuesday of every month. See Fig K.2.1 for a specimen agenda.
Include an “action” column in the minutes. Issue the minutes as soon as possible preferably the day
after the meeting. Ensure everyone on the agreed distribution list is sent a copy.
Set up a reminder system to ensure that necessary actions are not forgotten. Issue any written instruc-
tions required immediately after the meeting.
2.0 Contractor’s production meetings
These are technical meetings with the contractor‟s supervisory team and sub-contractors. They are
usually timed to take place before the architect‟s progress meeting so that a report can be made on pro-
duction matters. The architect may be asked to attend; if so, he should act promptly on matter concern-
ing him. The contractor will prepare and distribute minutes.
3.0 Design team meetings
These will continue as long as there are matters of design development and detailing to discuss. They
are likely at this stage to be called in response to specific requirements rather than to a regular time-
table. Never-the-less, they should follow the same format and be minuted in the same way as earlier
meetings in order to maintain a methodical approach and consistent record.
4.0 Site Inspections:
The architect visits the site to determine the progress of the work and to determine if the work is gener-
ally of satisfactory quality. This is a periodic inspection; frequent or constant presence on site is under-
taken by the clerk of works or by a resident architect as an additional service. Note that the objective
of the visit should be determine, not to form a general impression. The visit therefore needs to be me-
thodical and observations should be recorded.
The inspection is a spot check and should answer the following questions:-
- does the work comply generally with the standards required in the contract?
- Is progress in line with the contractor‟s programme?
- Is the work being carried out in accordance with the (current) drawings?
Make a list of the things you want to inspect. Make use of standard formats for inspection reports.
Make occasional visits unannounced.

K.8
OPERATIONS ON SITE
Checklist K2:- Meeting on site Cont.

Fig. K.2.1 Specimen agenda for architect‟s progress meetings

AGENDA

1.0 Agree minutes of last meeting

2.0 Matters Arising
2.01 Review of “action” items from previous meeting
3.0 Contractor’s Report:
3.01 General report – records of materials, plant, labour, lost time etc
3.02 Report on sub-contractor‟s production meeting
3.03 Information received since the last meeting
3.04 Progress and programme
3.05 Information required
3.06 Causes of delay; claims arising
3.07 Architect‟s instructions required
4.0 Clerk of works report (architect’s inspection report if no C.o.W)
4.01 Site maters
4.02 Quality control
4.03 Work not in accordance with the contract
5.0 Consultant’s Report
Structural works
Mechanical works
Electrical works
6.0 Quantity Surveyor’s Report
 Valuations
Certificates
7.0 Contract
7.01 Date for completion as per contract
7.02 Contractor‟s estimated completion date
7.03 Contract sum
7.04 Authorisation expenditure
7.05 Estimated total construction cost
8.0 Any Other Business
9.0 Meetings
9.01 Next Progress meeting
9.02 Next production meeting
9.03 Scheduled visits to site

Distribution:

K.9
K.10

Checklist K2: Meeting on Site Cont.

Fig. K.2.2 Specimen letter to employer reporting on progress and expenditure

We enclose a copy of the minutes of the monthly progress meeting held last week.

You will not that the contractor has increased labour on site and now reports that progress has im-
proved and the contract is now reported as one week behind programme. The contractor still anticipates
completion in accordance with the date for completion.

Please confirm in writing by the end of the week that you approve the revised partition layout sent to
you on (date). You will note that the contractor requires confirmation of the alteration by (date) at the
latest if his programme is not to be delayed.

We enclose our current financial report. You will see that our estimate of the final cost has been re-
vised, and we have listed changes you requested with an estimate of the cost effect against each.

We hope you will be able to attend the next project meeting on (date). If you have any queries in the
meantime we will be glad to advise you.
K.10
.10
10
0

OPERATIONS ON SITE
PERATIONS ON SITE
ERATIONS ON SITE
RATIONS ON SITE
ATIONS ON SITE
TIONS ON SITE
IONS ON SITE
ONS ON SITE
NS ON SITE
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Checklist K3: Setting Out
hecklist K3: Setting Out
ecklist K3: Setting Out
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Provide the contractor with all the information he should reasonably require to set out accurately.
rovide the contractor with all the information he should reasonably require to set out accurately. Make
ovide the contractor with all the information he should reasonably require to set out accurately. Make
vide the contractor with all the information he should reasonably require to set out accurately. Make
ide the contractor with all the information he should reasonably require to set out accurately. Make
de the contractor with all the information he should reasonably require to set out accurately. Make sure
e the contractor with all the information he should reasonably require to set out accurately. Make sure
the contractor with all the information he should reasonably require to set out accurately. Make sure
the contractor with all the information he should reasonably require to set out accurately. Make sure he
he contractor with all the information he should reasonably require to set out accurately. Make sure he
e contractor with all the information he should reasonably require to set out accurately. Make sure he
contractor with all the information he should reasonably require to set out accurately. Make sure he is
contractor with all the information he should reasonably require to set out accurately. Make sure he is
ontractor with all the information he should reasonably require to set out accurately. Make sure he is
ntractor with all the information he should reasonably require to set out accurately. Make sure he is
tractor with all the information he should reasonably require to set out accurately. Make sure he is
ractor with all the information he should reasonably require to set out accurately. Make sure he is
actor with all the information he should reasonably require to set out accurately. Make sure he is
ctor with all the information he should reasonably require to set out accurately. Make sure he is
tor with all the information he should reasonably require to set out accurately. Make sure he is working
or with all the information he should reasonably require to set out accurately. Make sure he is working
r with all the information he should reasonably require to set out accurately. Make sure he is working
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information he should reasonably require to set out accurately. Make sure he is working from current
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y.
.

Pay particular attention to the following:-

ay particular attention to the following:-
y particular attention to the following:-
particular attention to the following:-
particular attention to the following:-
articular attention to the following:-
rticular attention to the following:-
ticular attention to the following:-
icular attention to the following:-
cular attention to the following:-
ular attention to the following:-
lar attention to the following:-
ar attention to the following:-
r attention to the following:-
attention to the following:-
attention to the following:-
ttention to the following:-
tention to the following:-
ention to the following:-
ntion to the following:-
tion to the following:-
ion to the following:-
on to the following:-
n to the following:-
to the following:-
to the following:-
o the following:-
the following:-
the following:-
he following:-
e following:-
following:-
following:-
ollowing:-
llowing:-
lowing:-
owing:-
wing:-
ing:-
ng:-
g:-
:-
-
Huts, Storage
uts, Storage
ts, Storage
s, Storage
, Storage
Storage
Storage
torage
orage
rage
age
ge
e

Check sitting is in accordance with requirements, and will not disrupt the proposed works or existing
heck sitting is in accordance with requirements, and will not disrupt the proposed works or existing
eck sitting is in accordance with requirements, and will not disrupt the proposed works or existing
ck sitting is in accordance with requirements, and will not disrupt the proposed works or existing
k sitting is in accordance with requirements, and will not disrupt the proposed works or existing
sitting is in accordance with requirements, and will not disrupt the proposed works or existing services
sitting is in accordance with requirements, and will not disrupt the proposed works or existing services
itting is in accordance with requirements, and will not disrupt the proposed works or existing services
tting is in accordance with requirements, and will not disrupt the proposed works or existing services
ting is in accordance with requirements, and will not disrupt the proposed works or existing services
ing is in accordance with requirements, and will not disrupt the proposed works or existing services
ng is in accordance with requirements, and will not disrupt the proposed works or existing services
g is in accordance with requirements, and will not disrupt the proposed works or existing services
is in accordance with requirements, and will not disrupt the proposed works or existing services
is in accordance with requirements, and will not disrupt the proposed works or existing services
s in accordance with requirements, and will not disrupt the proposed works or existing services
in accordance with requirements, and will not disrupt the proposed works or existing services
in accordance with requirements, and will not disrupt the proposed works or existing services
n accordance with requirements, and will not disrupt the proposed works or existing services
accordance with requirements, and will not disrupt the proposed works or existing services
accordance with requirements, and will not disrupt the proposed works or existing services
ccordance with requirements, and will not disrupt the proposed works or existing services
cordance with requirements, and will not disrupt the proposed works or existing services
ordance with requirements, and will not disrupt the proposed works or existing services
rdance with requirements, and will not disrupt the proposed works or existing services
dance with requirements, and will not disrupt the proposed works or existing services
ance with requirements, and will not disrupt the proposed works or existing services
nce with requirements, and will not disrupt the proposed works or existing services
ce with requirements, and will not disrupt the proposed works or existing services
e with requirements, and will not disrupt the proposed works or existing services
with requirements, and will not disrupt the proposed works or existing services
with requirements, and will not disrupt the proposed works or existing services
ith requirements, and will not disrupt the proposed works or existing services
th requirements, and will not disrupt the proposed works or existing services
h requirements, and will not disrupt the proposed works or existing services
requirements, and will not disrupt the proposed works or existing services
requirements, and will not disrupt the proposed works or existing services
equirements, and will not disrupt the proposed works or existing services
quirements, and will not disrupt the proposed works or existing services
uirements, and will not disrupt the proposed works or existing services
irements, and will not disrupt the proposed works or existing services
rements, and will not disrupt the proposed works or existing services
ements, and will not disrupt the proposed works or existing services
ments, and will not disrupt the proposed works or existing services
ents, and will not disrupt the proposed works or existing services
nts, and will not disrupt the proposed works or existing services
ts, and will not disrupt the proposed works or existing services
s, and will not disrupt the proposed works or existing services
, and will not disrupt the proposed works or existing services
and will not disrupt the proposed works or existing services
and will not disrupt the proposed works or existing services
nd will not disrupt the proposed works or existing services
d will not disrupt the proposed works or existing services
will not disrupt the proposed works or existing services
will not disrupt the proposed works or existing services
ill not disrupt the proposed works or existing services
ll not disrupt the proposed works or existing services
l not disrupt the proposed works or existing services
not disrupt the proposed works or existing services
not disrupt the proposed works or existing services
ot disrupt the proposed works or existing services
t disrupt the proposed works or existing services
disrupt the proposed works or existing services
disrupt the proposed works or existing services
isrupt the proposed works or existing services
srupt the proposed works or existing services
rupt the proposed works or existing services
upt the proposed works or existing services
pt the proposed works or existing services
t the proposed works or existing services
the proposed works or existing services
the proposed works or existing services
he proposed works or existing services
e proposed works or existing services
proposed works or existing services
proposed works or existing services
roposed works or existing services
oposed works or existing services
posed works or existing services
osed works or existing services
sed works or existing services
ed works or existing services
d works or existing services
works or existing services
works or existing services
orks or existing services
rks or existing services
ks or existing services
s or existing services
or existing services
or existing services
r existing services
existing services
existing services
xisting services
isting services
sting services
ting services
ing services
ng services
g services
services
services
ervices
rvices
vices
ices
ces
es
s

Ensure temporary foul drainage does not cause or hazard

nsure temporary foul drainage does not cause or hazard
sure temporary foul drainage does not cause or hazard
ure temporary foul drainage does not cause or hazard
re temporary foul drainage does not cause or hazard
e temporary foul drainage does not cause or hazard
temporary foul drainage does not cause or hazard
temporary foul drainage does not cause or hazard
emporary foul drainage does not cause or hazard
mporary foul drainage does not cause or hazard
porary foul drainage does not cause or hazard
orary foul drainage does not cause or hazard
rary foul drainage does not cause or hazard
ary foul drainage does not cause or hazard
ry foul drainage does not cause or hazard
y foul drainage does not cause or hazard
foul drainage does not cause or hazard
foul drainage does not cause or hazard
oul drainage does not cause or hazard
ul drainage does not cause or hazard
l drainage does not cause or hazard
drainage does not cause or hazard
drainage does not cause or hazard
rainage does not cause or hazard
ainage does not cause or hazard
inage does not cause or hazard
nage does not cause or hazard
age does not cause or hazard
ge does not cause or hazard
e does not cause or hazard
does not cause or hazard
does not cause or hazard
oes not cause or hazard
es not cause or hazard
s not cause or hazard
not cause or hazard
not cause or hazard
ot cause or hazard
t cause or hazard
cause or hazard
cause or hazard
ause or hazard
use or hazard
se or hazard
e or hazard
or hazard
or hazard
r hazard
hazard
hazard
azard
zard
ard
rd
d

Fencing, Signs
encing, Signs
ncing, Signs
cing, Signs
ing, Signs
ng, Signs
g, Signs
, Signs
Signs
Signs
igns
gns
ns
s

Check positions of fence and quality in accordance with specification

Check main sign board is properly located and as designed/specified
Any other signs if permitted to e in accordance with planning requirements
- It is generally not appropriate for contractors to use site signs for prominent self advertisement.

1.0 Protective Measures

Check that protection is adequate to site features, trees, adjacent property, and members of the
general public

2.0 Sitting of Contractor’s plant

Review the location of major items of plant: vibration, imposed loading on structure, safety on
site etc
3.0 Spoil heaps
Check sitting, stability

4.0 Datum
Establish and check bench mark and/or T.B.M‟s in a protected location

5.0 Soil Conditions

Examine soil conditions and compare to expectations and contractor‟s records of conditions re-
vealed on site.

6.0 Setting out and levels

Examine, but do not, “approve” the contractor‟s setting out. Raise apparent errors without delay.

7.0 As built information:

Ensure that complete records are maintained on site as wok proceeds:- e.g. underground services,
reduced levels, soft spots and over-digs. Spot check from time to time.

K.11
K.12
Checklist K.4:- Running the Contract

Prepare for your visit by compiling checkpoints appropriate to the stage of the work. Take with you
blank site visit and inspection record forms.

Architect‟s inspections are to check that the contractor is properly executing the works and meeting the
construction standards specified.

Make your inspection visits timely – it is better to inspect the first areas of (for example) the brick-
works early, before work proceeds too far, than to discover late on that work-man-ship is unsatisfactory
and large areas have to be redone.

Know the terms of the contract and the specification requirements. If you are unsure on any point, re-
turn to the office and check. You should be decisive when you give instructions, and be prepared to
cite clauses and specification requirements to support your decisions. Qualitative judgements should be
reserved for matter of appearance.

1.0 Check Materials

Are materials on site undamaged and of quality and manufacture specified?
If necessary issue written instructions to reject unsatisfactory materials
Check that materials are not being removed from the site after being included in valuations
without written consent.
Check that storage, protection and security of materials and equipment are adequate
Check samples of materials submitted against specification and drawings

2.0 Check Work

Check samples for materials and work-man-ship, and compare final work against approved
sample panels.
Check adequate protection is provided for finished work
 Check that work is carried out accurately and in the proper sequence
Issue written instructions to deal with work not in accordance with the contract.

3.0 Queries
Deal promptly with queries
Use your site visit to anticipate where additional information will be needed and prepare the
information in good time.

4.0 Site Supervision

Check that the contractor is maintaining adequate levels of site supervision and that the “person
in charge” is adequate for the job.
Remember you have the authority to instruct the removal of persons from the site (though you
should regard this as a draconian measure only to be used as a last resort!).

5.0 Record Your Visit

Standard forms are a great aid to speed of working, a methodical approach and a comprehensive
record
Issue copies of your report promptly, to all relevant parties, e.g.:- clerk of works, quantity sur-
veyor, in-house staff and consultants in addition to the contractor and to site.

K.12
OPERATIONS ON SITE
6.0 Instructions Arising
Ensure any necessary instructions are issued on the standard form without delay
Before issuing instructions check the financial implications and if necessary obtain the client‟s
approval to additions costs.

7.0 As-Built Records and Information

Check that the clerk of works and/or the person in charge are keeping accurate records of in-
formation for as-built drawings
Check that the consultants and specialist sub-contractors do the same
Ensure that drawings on site and in your office are up to date in the light of variations issued
Make sure the contractor has a realistic programme of information required from the architect
and consultants, and keeps this up to date
Ensure that the site staff are not kept waiting for information, either from yourself or his office
Ensure the contractor provides information in good time, e.g. sub-contractors drawings for
checking.

8.0 Checking Drawings and Specialist Sub-contractors work

Do not “approve” or accept responsibility for information provided by others, but mark or anno-
tate your comments and return one copy, retaining one copy (dated) for your records.

9.0 Feedback
Report to your office and consultants on useful field experience on design and construction
Report on problems with documents or procedures which call for improvements in methods for
future schemes.

10.0 Site Reports

 Prepare a written report for action on:-
- general progress
- delays and causes
- defects noted
- information required
- site instructions to be confirmed
Include comments on sub-contractor‟s work even though they may also be monitored Moni-
tored by consultants
Distribute your report as required without delay.

K.13
K.14
Checklist K5:- Commissioning and Testing of Services Installations

Advise the client in good time to appoint or identify staff the will be responsible for the running and
maintenance of the building, particularly the services installations. Allow them to observe the installa-
tion, testing and commissioning to allow them to be fully trained and familiar with the installation be-
fore taking over.

1.0 Preparation
Agree a programme with the contractor and any consultants for the commissioning and perform-
ance testing of all plant, equipment and services installations.
Provide the clerk of works with full instructions for supervising the programme
Notify the contractor that all services manuals must be submitted to consultants, and checked and
approved format in time for the hand-over of the installations.

2.0 Testing and Commissioning Programme

Agree the programme on the basis that:
The contractor and sub-contractor must carry out their own checks first
The consultant attends the contractor‟s/sub-contractor‟s final performance and commissioning
tests
The client has the opportunity to carry out his own spot checks and tests
The contractor completes associated builders work before testing is completed

3.0 Installation
When installation of plant complete:
Check plant is clean and properly regulated and calibrated
Check that fuel, water, electricity etc. are connected
4.0 Hand-over
Carry out performance tests
Ensure final adjustments are made
Obtain approvals required from statutory authorities
Assist client to make his own tests as required
Assist client in training and familiarisation programme
Record test results and obtain certificates, and hand to client

5.0 Completion
Check outstanding work in complete and defects have been rectified
Check training of client‟s staff is complete
Make sure that the maintenance manual is complete and will be available for handover to the cli-
ent at practical completion.

K.14
COMPLETION
Actions required of the Architect and Client

The following extract from “Architects Appointment” (Part 1: Architects Services) describes in outline
the architect‟s main duties during the completion stage of the project.

“Administer the terms of the building contract relating to the completion of the works

Give general guidance on Maintenance

Provide the client with set of drawings showing the building and the main lines of drainage; ar-
range for drawings of the services installations to be provided.”

Towards completion, the client will arrange for appropriate insurances, attend the necessary meetings
and take over the building for occupation, reporting any defects which require attention before the end
of the defects liability period.
L.1

Action Checklist for Workstage L: Completion

Use this checklist to plan the workload for this stage and check back at the end of the stage to ensure
that some important aspect has not been overlooked. There may be some activities not appropriate to
the project in hand.

Office Procedures
1. Prepare office resources for stage L
2. Maintain office procedures
3. Report to client on fees due and costs incurred
4. Check that the client has settled out outstanding accounts
5. Issue final fee account when all obligations are complete

Job Administration

1. Inform client of hand-over date and procedures

2. Advise the client where necessary about his own contractor‟s and staff‟s operations in relations to
the building contract
3. Remind the client of his need to insure the building and it‟s contents in time for the handover of
the building
4. Advise the client about the release of retention monies and his entitlement to liquidation damages
5. Advise the client on the availability of maintenance contracts following the period of maintenance
under contract.
Design Team and Reports

1. Review requirements to enable handover at practical completion including arrangements for the
client‟s own staff and contractors in connection with “fitting out”
2. Establish any requirements for additional work, and agree appropriate contractual procedures for
work after practical completion.

Contract:

1. Ensure that work generally and work on commissioning of all engineering systems is proceeding
satisfactorily
2. Obtain contractor‟s forecast of date for practical completion, and make your own assessment if
necessary
3. Initiate pre-completion checks with the clerk of works/site inspectorate

4. Arrange for client‟s maintenance staff to attend commissioning tests and arrange for instruction
on operating procedures where necessary
5. Remind the contractor of the requirement for maintenance manuals and drawings

L.2
COMPLETION
Action Checklist for Work Stage L: Completion Cont.

6. Hold handover meeting (see checklist)

7. Provide client with maintenance manuals, operating manuals and as built drawings
8. Issue Certificate of practical completion with a schedule of works not ye satisfactorily completed
9. Issue certificate to release part of the retention monies.
10. Remind the contractor of the need to prepare the final account within the stipulated period, and
commence work on agreeing the final account
11. If necessary implement procedures for non-completion. Issue notices and certificates required by
the contract, and advise the client of his rights in relation to liquidated damages as appropriate.
12. Agree a programme with the contractor for dealing with any work outstanding after practical
completion, and check on progress and standards
13. Prepare information and arrange contract for any additional work or alterations on behalf of the
client
14. At the end of the defects liability period, prepare a formal schedule of defects and issue to the
contractor within the period stipulated in the contract.

15. On contractor‟s notice that remedial works are completed, and carry out a final inspection

16. When you are completely satisfied that all work is in accordance with the contract, issue the cer-
tificate of making good defects
17. Issue a certificate for the final release of retention within the period stipulated in the contract
18. Complete the final account and send to the contractor for agreement. Send a copy to the client
with explanatory notes as necessary
19. Issue the final certificate when all financial and contractual issues have bee resolved and you are
entirely satisfied with the work.

L.3
L.4
Action Checklist for Work Stage L: Completion Cont.
_

Watch-points

It is the architect‟s duty to assess practical completion, but it can be difficult to resist pressure
from the client to occupy a building before it is completed. Consider and Explain the provisions
and pit-falls of the contract carefully. It may be necessary to negotiate partial possession before
completion.

Remind the client in good time for hi to make the necessary arrangements that as soon as the
building is handed over he sill assume responsibility for insurance, security and most maintenance

Make that maintenance manuals and operating instructions are compiled in time or the handover
meeting. The architect‟s own manual should also be ready. You may need to provide addition
drawings annotated with information on structural performance, provision for extensions and fu-
ture flexibility etc.

Do not issue a certificate of Practical Completion, or of making good defects, or the Final Certifi-
cate until you are sure that there are no associated issues outstanding. Remember that the client‟s
right to deduct liquidated damages ceases when you issue the final certificate – ensure that if he
wishes to exercise his entitlement he has done so. Remember also that the final certificate may be
taken as conclusive evidence that everything is completed in accordance with the contract.
L.4
COMPLETION
Checklist L1:- Pre –completion Checks and Inspections

Contractor:
1. Warn the contractor to make sure that the building is ready for inspection well before the date of
practical completion

Clerk of works
1. Instruct the clerk of works to maintain systematic preliminary inspections and to keep the architect
advised of progress and any difficulties likely to arise as well as any defects discovered.

Outstanding Items
1. Consolidate schedule of outstanding items from:-
- architect‟s progress meeting minutes
- consultant‟s reports
- clerk of works reports
- architects instructions
- site visit memoranda

Remedial Work
1. Instruct contractor to carry out remedial work such as:-
- repairs to existing roads and pavements
- damage to adjacent property

Record Drawings
1. Remind the contractor to complete record drawings etc., according to an agreed programme
Programme
1. In collaboration with consultants, advise the contractor and through him, all the sub-contractors to
initiate a programme of checks on specialist installations

Inspections
1. Instruct the clerk of works to ensure that all defective work is rectified or replaced and report any
difficulties or delays anticipated.
2. Where relevant, ask that a client representative attends final checks
3. Check that all builder‟s work associated with services is completed

Issue Instructions
1. Issue instructions to the contractor for sub-contractors to carry out outstanding or remedial works
noted at inspections.

Maintenance Manuals
1. Remind the sub-contractors through the main contractor to prepare as-built drawings and assemble
the information required for maintenance manuals and operating instructions.

L.5
L.6
Checklist L2:- Handover of the Building
Before the meeting

1. Remind the client of the reasonable standards which are appropriate to the class of work specified.
It is the architect‟s duty to decide the acceptable standard
2. Remind the client‟s representative of the basis and history of the contract, if he has not been in-
volved from the start.
3. Write to the contractor and all those required to attend the meeting detailing the arrangements,
giving adequate notice.

Handover Meeting Arrangements

1. Record attendance

2. Explain the purpose of the meeting - to agree that work is ready for handover to the client for oc-
cupation
3. Undertake a tour of inspection of the buildings and site
4. Ask client to confirm that he will accept handover
5. Contractor hands over keys to client – check that these have been labelled and all required copies
are handed over
6. Record meter readings and stocks of fuel, spares etc. at handover

7. Hand over maintenance manuals and operating instructions, test certificates, as-built drawings etc
8. Remind the meeting of client‟s and contractor‟s responsibilities during the contract period.
9. Define arrangements for dealing with any outstanding items or defects
10. Agree any additional works required by the client

Defects
1. Confirm in writing within 14 days any defects and remedial works to be carried out, marking
which items are urgent
2. Periodically check progress and work carried out

Additional Works
1. Liase with the Quantity Surveyor, contractor and client to agree a basis for pricing
2. Prepare drawings and instructions, and obtain the client‟s agreement to these and related costs
3. Instruct the contractor to proceed (by means of an extension to the contractor or an agreed separate
instruction)

L.6
COMPLETION
Checklist L3 – Action in the Defects Period

Certificate
1. Immediately after handover, issue the required certificate of practical completion

2. Within 14 days of practical completion, issue an interim certificate releasing the appropriate
amount of the retention fund

3. If required, issue further interim certificates from time to time as revaluation proceeds (these need
no longer be at previous regular intervals)

Liquidated Damages
1. Remind the client that if he wishes to exercise his entitlement to liquidated damages, he must do
so before the final certificate is issued.

Final Account
1. Set a date for the completion of the final account after consultation with the quantity surveyor

2. Ask the quantity surveyor to check that the contractor obtains all final accounts from sub-
contractors and submits all remaining invoices, accounts etc.

3. Review the progress of the final account each month with the quantity surveyor

4. Obtain through the quantity surveyor a statement of all outstanding or unresolved claims, and if
necessary call a meeting to resolve them
5. Keep the client informed of the progress of the final account and nay significant cost adjustments
arising

6. Report the value of the final account when it is sent to the contractor for his agreement

7. If necessary, prepare or arrange separate final accounts for works ordered after practical comple-
tion

8. When the final certificate is agreed, start procedures for issue of the Final Certificate.

L.7
L.8
Checklist L4:- Final Inspection and Certificate

Prepare for Final Inspection

One month before the end of the Defects Liability Period:-

1. Give an appropriate notice of the final inspection to the contractor, consultants and client
2. Undertake a detailed inspection (clerk of works if available)
3. Obtain schedules of defects from consultants
4. Obtain Client‟s list of defects
5. Prepare a separate schedule of any modifications or additional work the client may require
6. Compile schedules and issue to the contractor, quantity surveyor, client and consultants, within
14 days of the expiration of the Defects Period

Programme of Work
1. Ask the contractor to prepare a programme of work for all outstanding items and obtain client‟s
comments and agreement to times of work being carried out
2. Instruct the contractor to advise when all items of outstanding work have been completed
Arrange Final Inspection
1. Make arrangements for the final inspection with the client, contractor, quantity surveyor, clerk of
works and consultants

Certificates
1. Issue an interim certificate for the final release of retention
2. Receive the final agreed account from the quantity surveyor

Final Certificate
1. When, and only when the architect is completely satisfied that all work is in accordance with the
contract, and all financial matters have been resolved, issue the Final Certificate in accordance
with the contract conditions

Drawings and Records

1. Where relevant ask the contractor to return all drawings and records
2. Agree how documents are to be stored, and for what period, and arrange secure storage of docu-
ments.

L.8
Section 2: Contract Administration
“Contract Administration” is divided into sub-sections which correspond broadly with the clause
headings used by the main forms of contract.

Contra administration cannot be separated from job administration and architects will have to refer fre-
quently to section 1 “Job Administration.” The decisions which ensure the smooth running of a con-
tract have to be taken in the pre-contract stage.

There is no detailed reference to arbitration, although many architects may at some time be asked by
employers to advise on or explain arbitration clauses. Specialist guidance should be sought if the need
for arbitration arises.

Comments:

This text comprises general comment – it is not to be taken as legal commentary. Architects wishing to
be reminded of legal principles relating to construction contracts should refer to an appropriate text.
Architects are strongly advised to consider taking legal opinion in disputes arising from interpretation
of the contract.

Detailed comments refer specifically to the standard forms of contract most commonly used in Zambia:

1) The standard form of contract 1970 edition (revised 1972) (commonly referred to as the ZIA
form, more accurately as the JLC form)
2) The general conditions of contract for works to be executed for Government. (commonly referred
to as GC works form).

These comments are not intended to provide a full commentary on these forms; they highlight matters
which may be of concern to those persons administering a contract.

Abstracts from the Clauses

Where appropriate, abstracts are given which give the actual words or phrases used in the clauses, so
that architects can check which actions are required and which are empowered. For points of detail the
original, full version of the contract form should be studied.

“Watch-points”

The offer common sense advice and observations and are informal in style.

Section 2: Contract Administration

The “Specimen” forms and letters

These are models to be adapted to suit particular circumstances. Never use any of them without prop-
erly assessing the particular situation you are dealing with. The context is all-important . However
busy you are, never photocopy a specimen letter, fill in the project details and send tit out. Examples
are there to help you see how facts should be presented and marshalled, and what style, approach and
attention to detail is needed. They can also be a useful part of the process of solving a problem; they
are not solutions in themselves.

References

This section ends with a list of references. These items may be obtained from the RIBA Bookshop;

RIBA Publications Ltd

Finsbury mission
39 Moreland Street
London EC1V 8BB
Tel: 071 251 0791
Fax: 071 608 2375
Appendices

The appendices contain additional information about the preparation of contract documents.

Bibliography

A short bibliography is included of standard texts and titles for general reading and information.

Section 2: Contract Administration

CONTENTS

INTRODUCTION

0.1 The contract

0.2 Architects and Administration
0.3 The choice of contract form
0.4 Standard Administration Form

1.0 Intentions of the parties

Issue of contract documents
Issue of drawing and details
Correction of inconsistencies
Contractor‟s programme
Custody of contract documents
Use and return of drawings
Removal of unfixed materials
“Watch-points”

2.0 Possession and Completion

Possession
Delayed completion
Antiquities
 Non-completion
Partial possession
Practical completion
Defects liability
“Watch-point”

3.0 Control of the Works

Assignment
Sub-contracting
Nominated Sub-contractors
Nominated suppliers
Access for the Architect
Person-in-charge
Exclusion from the works
Architect‟s Instructions
Variations
Provisional Sums
Setting out
Clerk of works
Setting out
Inspection and Tests
Postponement of work
“Watch-points”

Section 2: Contract Administration

4.0 Payment

4.1 Contract Sum

4.2 Progress payments
4.3 Fluctuations
4.4 Loss and Expense
4.5 Certificates After completion
4.6 Final certificate
4.7 “Watch-points2

5.0 Statutory obligations

Statutory requirements
Conditions of employment

6.0 Injury, Damage and Insurance

Injury to persons and property

Damage to adjoining property
Insurance of the works
Action after loss or damage
“Watch-points
7.0 Determination

7.1 Determination
7.2 Action on determination
7.3 Removal from site
7.4 Employer‟s loss and expense
7.5 Out-break of hostilities
7.6 “Watch-point”

SECTION O:- INTRODUCTION

CONTENTS

Page No(s)

0.1 The contract 0.1.1 - 0.1.2

0.2 Architects and Administration 0.2.1 - 0.2.2
0.3 The choice of contract form 0.3.1 - 0.3.4
0.4 Standard Administration forms 0.4.1

Architects Instructions 0.4.2

Fig. 0.4.A Architect‟s Instruction Form 0.4.3

Clerk of Works Directions 0.4.4

Fig. 0. B Clerk of Works Direction Form 0.4.5

Extension of Time 0.4.6

Fig. 0.4. C Notification of Extension of Time 0.4.7

Partial Possession by the Employer 0.4.8

Fig. 0.4.D Certificate of Partial Possession 0.4.9

Non Completion 0.4.10

Fig. 0.4. E Certificate of Non Completion 0.4.11
Practical Completion 0.4.12
Fig. 0.4.F Certificate of Practical completion 0.4.13
Fig. 0.4.G Certificate of Practical completion of Nominated Sub-Contract works 0.4.14

Completion of Making Good Defects 0.4.15

Fig. 0.4.H Certificate of Making Good Defects 0.4.16

Interim Payments 0.4.17

Fig. 0.4.J Certificate of Interim Payment 0.4.18

Amounts for Nominated Sub-contractors in Certificate 0.4.19

Fig. 0.4.K Direction of amounts included 0.4.20

Notification to Nominated Sub-contractor 0.4.21

Fig. 0.4. L Notification to Sub-contractor 0.4.22

Final Certificate 0.4.23

Fig. 0.4.M Final Certificate 0.4.24

0.1 The Contract

The term “Contract” signifies the binding together of two or more persons over a common intention.
A contract is an agreement which is intended by the parties to give rise to obligations which are en-
forceable at law. Where one party is in breach of his obligations, the other may seek to enforce the per-
formance of them or claim compensation in the courts.

Under a building contract, the contractor undertakes to carry out work in return for a sum of money
paid by the employer. These are the two parties to the contract. Parties may be individuals or legal enti-
ties which may be incorporated as a company un-incorporated as a partnership, club or society, or
joined as trustees. It is important that the identities and nature of the parties to a contract are clearly
established at the outset.

The architect is not a party to the contract, but he is given certain powers under the terms of the stan-
dard forms.

The terms of a building contract should be set out clearly in writing, although this is not a legal re-
quirement. At its simplest, this is effected by an exchange of letters, which may incorporate conditions
by reference. However, the terms of building contracts tend to be complex, and it makes sense to use
standard forms which have been drafted by experts. These are available for most types of construction
project.

The JLC Form of Contract

The forms of contract published by the Joint Liaison Committee through the ZIA are document s
agreed with the bodies representing general contractors, specialist contractors and sub-contractors,
employers and the professions. They are generally understood and accepted by tenderers. Amendments
may be issued from time to time, and these should be incorporated. There is a tendency in Zambia for
qualifications and ad-hoc amendments to be introduced by employers, contractors or on the advice of
professional consultants. Such amendments should be used only with the greatest of care, and prefera-
bly only after carefully considered legal advice.

The information on which the accepted tender is based should obviously be the same as that carried in
the contract documents. This is sometimes overlooked when last minute changes are made. Inevitably a
subsequent corrective instruction is required, or there may be a claim, or worse still a dispute.

Consider carefully which descriptive documents are to become contract documents. There will usually
be drawings, but the appropriate manner in which the other essential information is carried in bills of
quantities, specifications or schedules will depend on the particular job and the terms of the contract.
All the documents should be free from error ambiguity or conflict. This compatibility is of course also
needed between contract documents and documents issued later to amplify or explain the work.

Page 0.1.1
0.1 The Contract

Take care when making the necessary entries to the contract. Vague or conflicting entries, or spaces
left blank, do little to establish the agreed intentions of the parties.

Sub- Contracts

The terms of a main contract are not automatically imported into any Sub-contract. There is often an
express requirement in main contracts for the use of specific forms for some sub-contracts to ensure a
close correlation with main contract conditions. The main contract may also require the contractor to
ensure that certain conditions appear in his sub-contract forms.

As a rule, only the parties to a contract (or their lawful assignees) have rights and duties arising from
that contract. In contract law this is know as “private of contract”. For example, in normal circum-
stances a specialist sub-contractor has no duty in contract to the employer, for matters such as design
and fitness for purpose. (He may, however, have duties in “tort”). Collateral Agreements are necessary
to being others into a contractual relationship, to enable rights and duties outside of the main contract to
be enforced. This is particularly valuable where specialist sub-contractors have design or performance
responsibilities which are outside the main contract obligations.
 Page 0.1.2
0.2 Architects and Administration
Registered architects who act as contract administrators have general duties under CAP 825 of the law
of Zambia as follows:-

First schedule, part I. (conditions of engagement);

(1) “Architects shall give such… periodic supervision and inspection on ensure that the works are
executed generally in accordance with the contract….”

First schedule part II. (Scale of professional Fees)

(1) “… general supervision of building works, certifying accounts and administering the contract...”

Second Schedule, Rule 20. (unprofessional conduct)

(1) “It will be deemed unprofessional conduct on behalf of a registered person… to act other than
in an impartial manner in all cases of dispute between employer and contractor, and interpret the
conditions of a contract other than with entire fairness as between employer and contractor.”

“Watch Point”

The precise role of the architect as a contract administrator will depend on the terms of his appointment
and on the terms of the building contract. However, there are some practical watch points to bear in
mind:-
 Investigate and advise on the appropriate procurement path at an early stage, preferably feasibil-
ity.

Consider the most appropriate form of contract – a recommendation should be based on the cli-
ent‟s requirements. The consequences of the choice should be understood by all parties.

Standard aids should be used to develop sound procedures for tendering and administering the
contract.

Make an early decision as to what will be included in the contract documents. Check the clarity
of the information and the consistency between documents.

Read the form of contract and make sure you understand what it requires of you. Check you
have the intended edition and that it includes all the additions and amendments.

Make sure the contract form is completed properly, with option clauses clearly marked and ap-
pendices completed in full. Check that the contract is correctly executed and try to have all the
documents signed, sealed or initialled as appropriate before work commences on site.

Page 0.2.1
0.2 Architects and Administration

Establish clear responsibilities with the contractor at the outset, for such matters as site supervi-
sion, site management and programming. Agree a policy for issuing architects instructions, site
visits, progress meetings and communication generally. Agree with consultants clear procedures
and lines of communication, always through the architect.

Remember, implied terms may exist in addition to the express terms of the contract.

Follow the rules and procedures laid down in the terms of the building contract meticulously.
They have been designed to assist contract administration and are contractual obligations.

Be fair decisive and timely where the contract requires action or where the contractor might oth-
erwise be unable to fulfil his obligations. Avoid the risk of claims and of allegations that the
employer is in breach of contract through you.

Do not exceed the authority stated in the contract conditions. Where the contract refers to agree-
ment by the employer it means precisely that if the employer wishes you to act for him, get it
confirmed in writing.
 Keep accurate records of all important discussions, visits, decisions and instructions. You might
need to refer to them not only during the duration of the contract, but also throughout the defects
period and beyond.

Page 0.2.2
0.3 The Choice of Contract Form
Choosing the appropriate form of building contract should not and often cannot be tackled until the
procurement path and therefore the type of contract have been established.

The following factors will be influential:-

1) The type of work (whether new building, extensions, refurbishment and alterations, maintenance
or repair work).

2) The type of operation (whether mainly building work, civil engineering work, interiors, landscap-
ing etc)

3) The time factor (is there enough time to prepare full documentation before tenders are invited? Is
time for construction limited and /or subject to key dates).

4) Design Team (The extent to which consultants are to be involved, and their roles and responsibili-
ties)

5) The nature of the work (The likely cost, complexity, and the extent of specialist skills involved)
6) The finality of the brief (can the scope of the work be accurately determined at tender stage? Are
there likely to be significant changes as work progress).

7) The design factor (Is design down to fine detail a crucial aspect of the work? Be honest! Can the
details be developed as work proceeds?)

8) The cost (Must the contract figure be accurate/final? What allowance can be made for inflation?
Is the employer subject to strict accountability? Does the employer have potential problems with
cash flow? Does the employer have access to forex?).

9) Early appointment of contractor (would the presence of a contractor on the design team at the pre-
contract stage be beneficial? Can the work be negotiated or must it be competitively tendered?).

10) The risk factor (how are the risks to be apportioned? Is the contractor expected to bear the risk of
shortages, strikes, damage etc. and to price accordingly?).

The procurement path – Types of Contract

The procurement path will influence the appointment of consultants and their responsibilities. It will
also influence the method and timing of the contractor‟s appointment and the extent of his responsibili-
ties.

Page 0.3.1
0.3 The Choice of Contract Form
__________________________________________________________________________________

1.00 Traditional contracts

Consultants are appointed for design and cost control. The contractor is appointed by competitive ten-
der on complete information, or earlier by negotiated on partial or national information

1.01
Traditional contracts are for work-man-ship and materials only. Under these contracts responsibility for
design is limited to what is implied by the obligation to comply with statutory requirements and “fit-
ness for purpose”. The contractor undertakes to carry out and complete the work as shown or described
on the documents supplied by the employer. As a rule the contractor is responsible for work-man-ship
and materials, and this extends to the work-man-ship of sub-contractors, whether domestic or nomi-
nated. The contractor will be responsible for all defects that arise, except those which can be directly
attributed to the faulty design of the work.

There are essentially two types of traditional contract:-

a) Lump sum contracts

b) Measurement contracts
1.02
Lump Sum Contracts (Sometimes referred to as fixed price contracts)

The contractor undertakes to carry out a defined amount of works in return for an agreed sum. Lump
sum contracts “with quantities” are based on drawings and priced bills of quantities. Lump sum con-
tracts “without quantities” are based on drawings and specifications and/or schedules of work – a
schedule of rates or a contract sum analysis may be required as the basis for negotiation of variations to
the contract.

1.03
Measurement contracts (Sometimes referred to as re-measurement contracts)

The contractor undertakes an amount of work which cannot for good reason be accurately measured
pre-contract. The cost is ascertained by measurement and valuation according to procedures and sched-
ules laid down in the contract.

Measurement contracts can be on the basis of drawings and bills of approximate quantities. This is ap-
propriate where the type of work is known, but the quantity cannot be measure accurately. The work is
measured as the work proceeds and is valued at the rates in the contract bills.

Measurement contracts may be on the basis of drawings and a schedule of rates. This is appropriate
where the quantity of work is so uncertain that not even approximate bills can be prepared, or when
there is not time to prepare them.

Page 0.3.2
0.3 The Choice of Contract Form
Measurement contracts maintenance work are often term contracts. The contractor undertakes to carry
out work of a particular kind over a given area and for a given period of time. The precise requirements
are often not known until the work has to be done. The contractor is usually appointed after competitive
tender on the basis of a schedule of rates with percentage adjustments according to the value of the
work required.

Cost reimbursement contracts, sometimes referred to as cost plus contracts are a form of measurement
contract. The contractor undertakes to carry out an indeterminate amount of work for a sum of money
based on the actual cost incurred, plus a fee which is to cover overheads, a fee for management, and
profit.

In a cost plus fixed fee contract the fee is fixed at tender stage. This is appropriate where the amount of
work can be estimated reasonably well. The contractor has an incentive to work efficiently in order to
stay within his budget.

In a cost plus percentage fee contract the fee is related to the total prime cost. It is sometimes on a slid-
ing scale rather than a flat rate percentage. The contractor has no real incentive to work efficiently, and
therefore, this type of contract will only be appropriate where requirements are very difficult to ascer-
tain pre-contract, perhaps for certain types of maintenance work.
In a cost plus fluctuating fee contract, the percentage fee varies inversely to the prime cost of the work.
As the prime cost increases so the percentage fee decreases. The contractor has an incentive to work
efficiently and to keep prime costs down.

2.00 Design and Build Contracts

Consultants are appointed to advise the employer on his requirements. The contractor is appointed ei-
ther by competitive tender or by negotiation. Responsibility may be for total design and construction,
preferably on the basis of a fully worked out statement of requirements from the employer, or it may be
for design development and production information on the basis of a scheme design supplied by the
employer.

2.01
Under a traditional contract, the contractors design responsibility is limited to an implied duty to warn
the employer when he has real doubts about the design and matters of build-ability. The contractor is
responsible for his working methods and for the design of temporary works such as scaffolding and
formwork. He might have responsibility for the fitness of materials, components and construction
where there has clearly been reliance on his specialised knowledge and skill. However, he is not re-
sponsible for matters of general design.

Page 0.3.3
0.3 The Choice of Contract Form
2.02
The design and build procurement path requires the use of a contract where the design responsibility is
expressly include. Unless a clause which reduces the design liability has been introduced, this design
liability will be absolute; the contractor undertakes to produce a building fit for the purpose intended.
In a turnkey or package deal this will usually be the case, as no independent consultant will have been
engaged.

2.03
Many design-build contracts expressly limit the contractor‟s design liability to that of exercising rea-
sonable skill and care. This matches the normal professional liability of professionals engaged by con-
tractors to prepare their designs.

2.04
It is possible for the contractor in a traditional construction contract to accept design liability for some
par to the work; for example, for piling, proprietary systems, suspended floor slabs roof trusses etc.
This can be done by incorporating a supplement in the main contract. Establish the extent of the liabil-
ity carefully, particularly if some of the preliminary design work has been done by consultants.
3.00 Management Contracts
Consultants are appointed for design and cost control. The management contractor is appointed on a fee
basis to manage construction and to place all work through separate trades contracts (i.e. Management
Contracting). Alternatively, the management contractor may be appointed on a fee basis to manage the
construction, but all trade contracts are placed directly by the employer (i.e. Construction Manage-
ment). The management contractor may also be responsible for the management of design and cost
control.

3.01
The contractor joins the design team at an early stage in order to contribute his special knowledge of
the industry and its methods, and his expertise in labour management, programming and site opera-
tions. He is paid a consultant‟s fee and has a direct contractual relationship with the employer.

3.02
The work is carried out by contractors directly responsible to the management contractor through a se-
ries of individually let “works packages.” Building work carried out directly by the Management Con-
tractor is usually limited to at most a small “direct labour gang to carry out operations such as site
cleaning and off loading.

3.03
The management contractor may be reimbursed his prime cost in the provision of site facilities and
staff, in addition to his management fee. The Management contractor may be appointed on the basis of
a tender or negotiation, in which the cost of the site establishment will be taken into account as well as
the level of management fee required.

Page 0.3.4
0.4 Standard Administration Forms

Building contracts refer to the issue of instructions, valuations, certificates etc, but do not usually stipu-
late the form they must take. Letters or standard forms can be used for instructions and even certifi-
cates. If confusion is to be avoided as to the status of a letter or form, it is essential that it is agreed at
the outset what form these important communications should take.

Architects are recommended to use the range of contract administration forms produced by the ZIA for
use with the JLC form of contract. For government contracts, building branch uses a range of forms
suited to the GC works contract.

Standard forms convenient, and if used properly will help to reduce the risk of error and ambiguity.

Letters will be needed where, for example, the architect is consenting to a proposal by the contractor or
giving a warning of possible future instructions. Whenever the architect is giving an instruction which
requires action in compliance from the contractor an architect‟s instruction (site works order in GRZ
contracts) should be issued, preferably on the standard form. This will indicate the cost implications of
any, or will state that the instruction is at no cost to the contract. The consistent use of Architect‟s In-
structions/ site works orders has the practical advantage that the records of all such decisions are filed
in one place. It should be remembered that architect‟s instructions are not necessarily variations!

Care should be taken over distribution. It is essential to keep the employer, quantity surveyor, appropri-
ate consultants, and where necessary specialist sub-contractors fully informed. It is equally important
that the clerk of works/site inspectorate receive copies.

Agree at the outset the most efficient lines of communication. It is often necessary to send communica-
tions simultaneously to the contractors site office as well as to his head office in order to avoid admin-
istrative delays.

Page 0.4.1
0.4 Standard Administration Forms

Architect’s Instructions

Only the architect is empowered to issue instructions under the contract, and this should be made clear
to all parties at the outset. All instructions must be made in writing. A contractor acting on oral in-
structions, or directions form the clerk of works, consultants or the client does so at his own risk. Such
directions have not effect until confirmed in writing by the architect.

The standard form, fig. 0.4.A should be used for all instructions requiring action from the contractor,
whether or not they have a financial implications or affect the fabric of the building.

The standard form includes provision for the valuation of the instruction, and the estimation of the ad-
justed cost of the works. The cost information is for the benefit of the employer, and depending on the
circumstances, the architect may decide to include this information only on the client‟s copy of the in-
struction. Any estimate should be carefully prepared in conjunction with the quantity surveyor.
 Page 0.4.2
0.4 Standard Administration Forms
Fig. 0.4. A Architect’s Instruction Form

Architect‟s name
and Address

Works

Situate at Architect’s
Instruction
To contractor Instructor No.

Under the terms of the contract Date

Dated
 I/We issue the following instructions. Where applicable the contract sum
will adjusted in accordance with the terms of the relevant condition.

For office use: Approx. costs

Instructions K omit K add

Office reference Signed

Architect/Supervising Officer
Amount of Contract Sum K……………
Approximate value of previous Instructions K……………
Approximate value of this Instruction K……………
Approximate adjusted total K…………...

To Contractor Copies to Employer Quantity Surveyor Clerk of Work Structural Consultant

Heating Consultant Electrical Consultant Architect‟s File

Page 0.4.3
0.4 Standard Administration Forms

Clerk of works directions

The powers of a clerk of works are limited. The clerk of work is employed solely as an inspector on
behalf of the employer, under the direction of the architect. The clerk of works may only give direc-
tions in relations to matters over which the architect may give instructions. Even so, these directions
have no authority unless confirmed in writing by the architect.

Two maintain a consistent record, a clerk of works direction forms should be used for all directions is-
sued. Directions should be dated and numbered in sequence. The signed top copy should be handed to
the contractor‟s representative, a copy should be handed to the contractor‟s representative, a copy
should be retained on site. An architect‟s instruction confirming the direction is then issued, referring
to the date, serial number and reference of the direction.

Commercially printed forms are not presently available in Zambia. The specimen form, figure 0.1B
may be adapted for use as required.
 Page 0.4.4
0.4 Standard Administration Forms
Fig 0.4.B Clerk of Works Direction

Issued by:
Address:
Serial No:

Job Reference:

Contractor: Issue Date:

Address: Contract date:

Works:

Situated at:

Under the terms of the above mentioned Contract,

I/We issue the following direction.

This direction shall be of no effect unless confirmed in writing by the architect and does not authorise
any additional payment.
Direction Architect‟s Use

Covered by
Instruction No.

Signed:……………………………………………. Clerk of works

Distribution: Original to duplicate to Copies to

Contractor Site Architect
File

Page 0.4.5
0.4 Standard Administration Forms

Notification and of an Extension of Time

Under JLC (ZIA) forms the contractor is required to give written notice forthwith if it becomes “rea-
sonably apparent” that the progress of the works is delayed. He is required to give notice of the cause
of delay and to provide whatever information may be reasonably necessary for the architect to consid-
er the application. (Clause 23).

If the architect considers that the completion of the work has been delayed, he must as soon as he is
able to estimate the length of delay, make a fair and reasonable extension of time in writing, stating the
event or events under which the extension is being made.

Under the GC works form, the director of Buildings is required to make a reasonable extension of time
in writing if in his opinion the works have been delayed for specific reasons outside the contractor‟s
control. (Clause 38).

Although not a requirement of the contracts, it may be advisable to state the grounds upon which the
extension of time is being granted. The certificate should be issued to the employer dated, referenced
and numbered. Copies should be sent to the contractor, clerk of works, quantity surveyor and other
consultants as appropriate.

Commercially printed forms are not available in Zambia. The specimen form fig. 0.4.C may be adapted
for use as required.

Page 0.4.6
0.4 Standard Administration Forms
Fig 0.4.C

Notification of
EXTENSION OF TIME

Issued by:
Address:
Serial No:

Employer: Job Reference:

Address:

Contractor: Issue Date:

Address:

Works: Contract date:

Situated at:

Under the terms of the above mentioned Contract,

I/We give notice that the time for completion is extended beyond the date for completion stated in the contract so as to ex-
pire on:

………………………………………………………………………………………..
(date)

Signed ………………………………

(to be signed by or for the issuer named above)

Distribution: Original to duplicate to Copies to

Employer Contractor Quantity Surveyor
Services Engineer
Structural Engineer
File

0.4.7
0.4 Standard Administration Forms
Certificate of Partial Possession by the Employer

Although the standard forms include provision for the employer to take possession of part of the works
before practical completion of the whole of the works, these provisions should be used with caution. In
effect the issue of the certificate marks the practical completion of the part concerned, which the em-
ployer then becomes responsible for and may occupy. The part taken over is referred to as the “rele-
vant part”, and the date of the issue of the certificate is known as the “relevant date.”

The employer may only take possession of part of the works with the agreement of the contractor, but
agreement may not be unreasonably withheld.

Practical completion of the relevant part is deemed to have taken place on the relevant date, and the
customary procedures of practical completion apply to the relevant part. The defects liability period of
the relevant part runs from the relevant date. Only one half of the retention monies applies to the rele-
vant part and this is released on the issue of the certificate of making good defects for the relevant part.

The certificate, dated, numbered and referenced is issued to the employer, with copies to the contractor,
nominated sub-contractors, clerk of works and consultants.
Commercially printed forms are not available in Zambia. The specimen form 0.4 D may be adapted for
use as required.

Page 0.4.8
0.4 Standard Administration Forms
Fig 0.4.D

Certificate of
PARTIAL POSSESSION by the employer

Issued by:
Address:
Serial No:

Employer: Job Reference:

Address:

Contractor: Issue Date:

Address:

Works: Contract date:

Situated at:

Under the terms of the above mentioned Contract,

I/We certify that a part of the works, referred to as the relevant part, namely:

………………………………………………………………………………………………………………………….

……………………………………………………………………………………………………………………………

…………………………………………………………………………………………………………………………..

The approximate value of which I/We would estimate for the purpose of this certificate, but no other purpose as:

ZMK………………………………………..

was taken into possession by the Employer on:

……………………………………………………………………………………………………………………………..
(date)

and that for this relevant part of the works only the Defects Liability Period will end on:

……………………………………………………………………………………………………………………………..
(date)

Signed:…………………………………………….
(to be signed by or for the issuer named above)

Distribution: Original to duplicate to Copies to

Contractor Site Quantity Surveyor
Services Engineer
Structural Engineer
File
0.4.9
0.4 Standard Administration Forms
Certificate of Non Completion

Under the JLC form of contract, Clause 22, if the contractor fails to complete the works on the due
date for completion as stated in the contract, or the revised or extended date for completion, the archi-
tect is required to certify in writing that the works ought reasonable to have been completed before the
employer may levy damages for non-completion.

Under the GC works form, clause 37, a similar certificate is required from the Director of Buildings.

A letter can be written, or the certificate might take a standard form. Commercially printed forms are
not available in Zambia. The specimen form 0.4.E may be adapted for use as required.
 Page 0.4.10
0.4 Standard Administration Forms
Fig 0.4.E

Certificate of
NON COMPLETION
Issued by:
Address:
Serial No:

Employer: Job Reference:

Address:

Contractor: Issue Date:

Address:

Works: Contract date:

Situated at:

Under the terms of the above mentioned Contract,

I/We certify that the Contractor has failed to complete the works by the date of completion or within any extended time
fixed under the contract provisions.

Signed ………………………………

(to be signed by or for the issuer named above)

Distribution: Original to duplicate to Copies to

Employer Contractor Quantity Surveyor
Services Engineer
Structural Engineer
File

Page 0.4.11
0.4 Standard Administration Forms
Certificate of Practical completion of the works.

The architect is required to certify practical completion of the works when he considers that this has
been achieved. The issue of the certificate marks an important stage in the contract, and it is important
that all parties understand its implications.

The certificate fixes the date of the beginning of the defects liability period, and the contractor becomes
responsible for the making good of defects, shrinkages or other faults which appear during the defects
liability period and which are due to materials and workmanship not in accordance with the contract.
Although the defects period is normally six months (three months in the case of minor works), other
periods may be applied to suit particular projects in Zambia, provision is usually made for the period to
include one complete rainy season. The architect should check that the period is correctly entered in
the contract appendix and/or the contract bills, in order that it is clear that the tender is based on a par-
ticular defects liability period.

For many years legal opinion has varied as to the intended meaning of the term “Practical Completion”.
Some judges have been of the opinion that if there is any work outstanding, or any known defects, then
a certificate of practical completion should not be issued. However, in recent years judgements have
favoured the interpretation common place in the architectural profession that practical completion
means completion to a stage where the employer might gain beneficial occupation of the premises, for
the practical purposes intended. Therefore, minor items of incomplete work may be allowed, providing
they are not so extensive as to prevent the employer‟s use of the building for the intended purposes.

It is important to note that the contract forms make no provision for the issue of qualified certificates of
practical completion. The whole of the works should have achieved completion before the certificate is
issued. Difficulties are likely to arise from ad-hoc modifications to the certificate. The architect might
consider procedures for sectional completion should only certain areas be incomplete.

Financial allowance should be made in the payment certificate issued following practical completion,
taking into account the value of work outstanding and known defects at the time of practical comple-
tion.

The certificate, dated, signed, referenced and numbered is issued to the employer with copies to the
contractor, nominated sub-contractors, clerk of works, quantity surveyor and consultants. The speci-
men form 0.4.E may be adapted for use as required.

The architect may if he desires, issue a certificate of practical completion of Nominated Sub-contract
works, (specimen form 0.4.F) enabling final payment to be made to the sub-contractor. The sub-
contractor must first indemnify the employer against any latent defects arising. One effect of such a
certificate is to absolve the main contractor from all further liability for the work, materials or goods
provided by the sub-contractor.

Page 0.4.12
0.4 Standard Administration Forms
Fig 0.4.F

Certificate of
PRACTICAL COMPLETION

Issued by:
Address:
Serial No:

Employer: Job Reference:

Address:

Contractor: Issue Date:

Address:

Works: Contract date:

Situated at:
 Under the terms of the above mentioned Contract,

I/We certify that Practical Completion of the Works was achieved on:

………………………………………………………………………………………..
(date)

Signed …………………………………..………………

(to be signed by or for the issuer named above)

The defects liability period will therefore end on:

……………………………………………………………………………………
(date)

Distribution: Original to duplicate to Copies to

Employer Contractor Quantity Surveyor
Services Engineer
Structural Engineer
File

Page 0.4.13
0.4 Standard Administration Forms
Fig 0.4.G

Certificate of PRACTICAL COMPLETION Of

NOMINATED SUB-CONTRACT WORKS

Issued by:
Address:
Serial No:

Employer: Job Reference:

Address:

Contractor: Issue Date:

Address:

Works: Contract date:

Situated at:

Nominated:
Sub-Contract
Works:

Under the terms of the above mentioned Contract,

I/We certify that Practical Completion of the Nominated Sub-Contract Works referred to above was achieved on:

………………………………………………………………………………………..
(date)

Signed …………………………………….…………

(to be signed by or for the issuer named above)

Distribution: Original to duplicate to Copies to

Employer Contractor Quantity Surveyor
Services Engineer
Structural Engineer
File

Page 0.4.14
0.4 Standard Administration Forms

Certificate of completion of making Good Defects.

The contractor may be required to make good defects, shrinkages and other faults which arise during
the Defects Liability period, and which arise from work not in accordance with the contract.

The architects is required to issue a schedule of these defects within 14 days of the end of the defects
liability period, and the contractor is then required to make good these defects within a reasonable pe-
riod.

Where he considers it necessary the architect may issue instructions for defects to be made good during
the defects liability period. Instructions for such “emergency work” may not be given under the con-
tract terms after issue of the final schedule of defects or after 14 days after expiry of the defects liability
period.

The contractor retains responsibility for “Latent Defects” under common law long after the expiry of
the Defects Liability Period, but the employer may have to resort to legal action for damages, and the
architect‟s powers under the contract will have expired.
The dated, reference and numbered certificate is issued to the employer, with copies to the contractor,
clerk of works, quantity surveyor and other consultants as required.

The specimen form 0.4.G may be adapted for use as required.

Page 0.4.15
0.4 Standard Administration Forms
Fig 0.4.F

Certificate of
MAKING GOOD DEFECTS

Issued by:
Address:
Serial No:

Employer: Job Reference:

Address:

Contractor: Issue Date:

Address:

Works: Contract date:

Situated at:
 Under the terms of the above mentioned Contract,

I/We certify that the defects, shrinkages, and other faults specified in the schedule of defects delivered to the contractor
as an instruction have in my/our opinion been made good.

This Certificate refers to:

* 1.) The works referred to in the Certificate of Practical Completion

Serial No……… ………………. dated …………………………

*2.) The works referred to in the Certificate of Partial Possession of a relevant part of the works

Serial No……………………….. dated……………………………

(* delete as appropriate)

Signed ………………………………

(to be signed by or for the issuer named above)

Distribution: Original to duplicate to Copies to

Employer Contractor Quantity Surveyor
Services Engineer
Structural Engineer
File

Page 0.4.16
0.4 Standard Administration Forms
Certificate of Interim Payment

Interim valuations are made whenever the architect considers them necessary for the ascertaining of
amounts due in interim payment. Certificates must be issued at intervals set in the appendix to the con-
tract calculated from the date for possession, the usual interval being one month.

The employer is required to pay the contractor the amount stated due within the period stated in the ap-
pendix to the contract – normally 14 days. If the client requires a longer period for honouring of pay-
ment certificates, the architect should advise or remind the employer that the issue of a certificate is
imminent, and should remind him of his obligation to pay within the set period.

The gross amount certified is the value of work properly carried out to the date of valuation, including
the value of goods and materials delivered to site and properly protected.

In addition the value of goods and materials stored off-site may, at the discretion of the architect, be
included provided that they are intended for the works, complete set aside and labeled, properly stored,
insured and protected, and that the contractor has legal title to the goods. The architect must inspect to
ensure that the goods are in accordance with the contract, and obtain written confirmation that the other
requirements have been followed by the contractor.

A percentage retention is made as stated in the appendix to the contract. This would not normally ex-
ceed 10%, 5% being considered appropriate for most contracts. Additionally the amount of the reten-
tion fund may be limited to a maximum amount, normally 5% of the contract sum. The appendix
should be carefully and clearly completed to indicate the intentions of the parties, particularly in rela-
tion to the limit of the retentions fund, as this may need to be varied on account of inflation, variations
etc. The provisions for retention must be made known to contractors at tender stage.

The retention fund may optionally be held by the employer (clause 30 [4A]) or placed in a special ac-
count (clause 30 [4B]). In either case the retention fund is reduced by one “moiety” (half) after issue of
the certificate of practical completion. Payment of the balance of retention monies is included in the
final certificate.

The certificate includes a statement of retention, enabling the retention monies to be adjusted to take
into account final payments authorized to nominated sub-contractors before final payment to the main
contractor, (see 0.4.F).

A standard form is produced and published through the ZIA, available through the professional center
in Lusaka, and its use by architects in highly recommended. (Fig 0.4.A).

Page 0.4.17
0.4 Standard Administration Forms
Fig. 0.4.J Certificate of interim payment

Architect‟s name
and Address

Certificate
I/We certify that under the terms of the Contract
To be presented to the
Employer for payment

Dated day of 20 for the

Work known as Serial No.

Situate at Date issue:

Payment as detailed below is due Date of Valuation:

from the employer Installment No.

 of

to the contractor
Gross amount K
of
Net retention stated below K

Contract sum K Net amount K

Previously certified K
Amount due
For payment K
(in words)

*Insert word interim or final

Signed:…………………………… Including the value of works by nominated sub-contracts
as detailed on the direction relating to this certificate

Architect/supervising Officer
Statement of Retention
Gross retention under the terms of the Contract K
Previous releases to nominated sub-contractors K
The contractor having confirmed receipt of satisfactory indemnity
Final payments is to be made to the nominated
sub-contractors listed below
the retention being adjusted accordingly.

Sub-Contractor K

Sub-Contractor K

Sub-Contractor K………………………….K

Balance of retention K
Partial release of retention K
Net retention as shown in
Certificate above K

Page 0.4.18
0.4 Standard Administration Forms
Direction of amounts included for nominated sub-contractors in certificate.

Where interim certificates include amounts for payments due to nominated sub-contractors, it is neces-
sary for a detailed statement of the amounts to accompany the certificate.

Copies of the statement, together with the notification to nominated sub-contractors, are sent to each of
the nominated sub-contractors concerned.

The statement makes provision for the gross valuation of the work by the sub-contractor, for the
amounts certified to date, and the balance certified to date. The contractor must pay to the sub-
contractor the amounts shown as due, less only any retention allowed under the sub-contract terms, any
amounts the contractor may be entitled to for delay or non-completion under the sub-contract terms,
and a discount for cash settlement within 14 days of 2.5%.

All nominated sub-contractors have to be listed on the statement to the main contractor, but in order to
maintain confidentiality it is normal for the sub-contractor‟s copy to show only the details relevant to
his sub-contract.
The directions should be dated, referenced, and related to the relevant interim certificate (s).

Where a quantity surveyor is appointed, it is usual for him to prepare the statement/direction, which
may use the form published by the ZIA, or which may be a similar form produced “in-house” by his
firm.

The form published by the ZIA, Fig. 0.4.J, is highly recommended for use where a quantity surveyor is
not appointed or where the QS does not use a suitable in-house form.

Page 0.4.19
0.5 Standard Administration Forms

Fig. 0.4.K Direction of amounts included for nominated sub-contractors

Architect‟s name
And Address

Direction
I/We direct that under the terms of the Contract for the of amounts included
For nominated sub-contractors
works known as in certificate

situated at

The following amounts have been included in the calculation of the certificate Serial No.
to which this direction elates, in respect of work, materials or goods executed
or supplied by the nominated sub-contractor (s) listed below. Date of issue

The sums stated are the GROSS amount due to the named nominated sub- Date of Valuation
contractor (s). No account has been taken of any retentions which the
contractor might with-hold under the terms of the sub-contract(s) or of any Installment No.
discounts for cash to which the contractor might be entitled if settling the
accounts within 14 days of the receipt of the architect‟s certificate or of 3
duplicate copy thereof.

Nominated sub-contractor Gross total to date Certified previously Bal. Included cert

Signed…………………………………….

Architect/Supervising Officer

0.4.20
0.4 Standard Administration Forms
Notification to nominated sub-contractor concerning amount included in certificates.

Where interim certificates include payments due to nominated sub-contractors, the architect is required
to notify them of the amounts due (clause 27 [b]). Each nominated sub-contractor should be sent a no-
tification form, which is issued at the same time as the interim certificate.

The architect may require the main contractor to provide reasonable proof that payments to nominated
sub-contractors as directed in previous valuations and included in interim valuations have been dis-
charged. If the contractor does not comply, the architect may issue a certificate to that effect, where-
after, the employer may pay the nominated sub-contractor direct and deduct the same from payments
to the contractor.

A standard form for notification of nominated sub-contractors is produced and published through the
ZIA and it‟s use is highly recommended. (Fig. 0.4.K.).

In the (hopefully) unlikely event of a certificate of non-compliance being required, a carefully drafted
letter will be required.
 Page 0.4.21
0.4 Standard Administration Forms
Fig. 0.4.L Notification to nominated Sub-contractor

Architect‟s name
and Address

Notification

to nominated
sub-contractor to nominated sub-contractor
concerning amount included
in certificate

I/We inform you that under the terms of the contractor for the

Works known as

Situated at Serial No:

A certificate has been issued for presentation to the employer Date of issue:

Date of valuation:

The contractor Installment no.

of

has been directed that in the said certificate an amount is due to you as follows

Gross total to date Certified previously Balance included in certificate

Signed:……………………………
Architect/Supervising officer

The sum stated is the gross amount due. No account has been taken of any retentions which the con-
tractor might with-held under the terms of the sub-contractor of the sub-contractor of any discounts for
cash to which the contract might be entitled if settling the account within 14 days of the receipt of the
architect‟s certificate or of a duplicate copy thereof.

Page 0.4.22
0.4 Standard Administration Forms
Final Certificate

The architect is required to issue a final certificate as soon as possible, but in an event within three
months of the following events, whichever is the latest; the end of the Defects Period; the issue of the
Certificate of making Good Defects; the provision by the contractor of the documents required for the
adjustment of the contract sum.

The final certificate takes into account the amount certified in interim certificates, the release of reten-
tion monies, and the adjusted contract sum.

It should be noted that the balance shown on the final certificate may be due to the contractor from the
employer, or to the employer from the contractor. It is important that this should be clearly indicated.

Payment is due within 14 days after presentation of the final certificate by the contractor t the employ-
er, or in the event of the balance being recoverable by the employer from the contractor, within 14 days
from issue of the certificate.
The final certificate is taken as conclusive evidence that the works have been properly carried out in
accordance with the contract, with the exception of fraudulent or dishonest concealment of defects,
defects which the architect could not reasonably be expected to have discovered, and mathematical er-
rors in the computation of the final account. The architect must therefore take great care to ensure that
the works are in all respects in accordance with the contract before issuing a final certificate, or the
employer‟s rights may be adversely affected.

No separate form of Final Certificate is published in Zambia. The Certificate form, fig. 0.4.H. is com-
pleted by insertion of the word “final” or “interim” as appropriate.

Architects may consider adapting the specimen form fig. 0.4.L. for use in Zambia.

Page 0.4.23
0.4 Standard Administration Forms
Fig. 0.4.M

Final Certificate

Issued by:
Address:

Employer: Serial No.

Address:
Job Reference:

Contractor: Issue date:

Address:

Works: Contract date:

Situated at: Valuation date:
Under the terms of the above mentioned contract,
The contract sum adjusted as necessary is ………………K

The total amount previously certified

For payment to the contractor is………………………….K

The difference between the above stated amount is

(in words)………………………………………………
…………………………………………………………
…………………………………………………………

and is hereby certified as a balance due

*to the contractor to the employer
*to the employer from the contractor
(*delete as appropriate)

All amounts are exclusive of sales tax.

Signed…………………………………………………
(to be signed by or for the issuer named above)

NB. The terms of the contract provide that the amount shall as from the 14 th day after the issue of this certificate be a debt
payable from the one to the other.

Distribute: Original to duplicate to Copies to

Employer Contractor Quantity surveyor
Services Engineer
Structural Engineer
File

Page 0.4.24
1.0 Intentions of the Parties
Contents Page no(s)

1.1 Issue of contract Documents 1.1.1 - 1.1.2

Fig 1.1.1 AI Issuing Contract Documents 1.1.3

1.2 Issue of Drawings and Details 1.2.1

Fig. 1.3.1 AI Concerning Payment for Drawings 1.2.2

1.3 Correction of Inconsistencies 1.3.1

Fig 1.3.1 AI Correcting Errors in Bills

1.4 Contractor‟s Programme 1.4.1

Fig. 1.4.1 Letter/AI requiring a Revised Programme 1.4.2

1.5 Custody of Contract Documents 1.5.1

1.6 Use and Return of Drawings 1.6.1
Fig 1.6.1 Letter requesting return of documents 1.6.2

1.7 Removal of unfixed materials 1.7.1

Fig. 1.7.1 AI Agreeing to removal of unfixed materials 1.7.2

1.8 “Watch-points”

1.1 Issue of Contract Documents

The contractor is obliged to carry and complete the works as shown and described in the contract doc-
uments. It is therefore essential to identify exactly what they constitute. The scope, quantity and quality
of the works should be clearly described in them.

The contract documents are the core of the agreement between the parties and the first point of refer-
ence should a dispute arise between them. Their preparation is therefore no mere formality. They
should be consistent, clear and complete.

Information issued subsequently should be limited if possible to amplification or clarification of the

information the contract documents contain.

Unless otherwise agreed the architect is responsible for the issue and circulation of all contract docu-
ments and supplementary information. Procedures for communication of all information relating to the
project should be agreed at the initial project meeting and recorded in the minutes. All information pre-
pared by consultants and others should be issued through the architect.
In addition to the other members of the design team and contractor‟s organization, the employer may
require copies of contract documents and all instructions and drawings subsequently issued.

Information issued under A.I. form will form a continuous and consistent record of information issued,
and the use of A.I. forms is therefore highly recommended.

Contractors often request copies of information beyond the numbers laid down as being free issue un-
der the contract. The employer may agree for reasonable numbers to be issued free of charge to the
contractor to ease the administrative burden. If not, the contractor should be invoiced directly by the
originator of the information.

Relevant Clauses – JLC (ZIA) Form of Contract

Clause 1 (1)

The contractor shall …….. carry out and complete the works shown upon the contract drawings and
…. Contract bills ……. To the reasonable satisfaction of the architect.

Quality and standards must meet with specific standards set out in the contract bills or be to the reason-
able satisfaction of the architect. Eventually the architect‟s final certificate will be taken as conclusive
evidence that the works have been completed entirely in accordance with the contract. The architect is
advised to rely on objective, published standards wherever possible, and limit items subject to archi-
tect‟s approval to superficial matters where the possibility of latent defects does not arise.

Page 1.1.1
1.1 Issue of Contract Documents
Clause 3 (2)

Immediately after the execution (signing) of this contract the architect ………. Shall furnish him (the
contractor) with …………… (a certified set of the contract documents)

The certified set of contract documents comprises one copy of the completed articles of
Agreement, two sets of contract drawings, two copies of un-priced Bills of Quantities and one copy of
the priced (contract) Bill. Specifications and schedules of work take the place of Bills in contracts
without Bill of Quantities.

Handover usually takes place at the initial contract meeting and is recorded in the minutes. Alterna-
tively the issue may be covered by the issue of an A.I.

Clause 3 (5)
The contractor shall keep one copy of ……. (the contract documents and subsequent information) ….
Upon the works…… so as to be available t the architect ….. at all reasonable times.

The contractor is obliged to keep one set of all documents on site for the architect to refer to.

Relevant Clauses – GC/works form of contract

Clause 2 is equivalent to clause 1 (1) above

Clause 6 is equivalent to clause 3 (2) and 3 (6) above.

Page 1.1.2
1.1 Issue of Contract Documents
Fig. 1.1.1 Specimen wording for an A.I. issuing contract documents

ISSUE OF CONTRACT DOCUMENTS

We enclose:

* One set of certified Contract Documents

Reference …………… of (date)

* Two sets of Contract Drawings

* Two copies of the un-priced Bills of Quantities

These documents are issued in accordance with clause 3 (2) of the contract.

Page 1.1.3
1.2 Issue of Drawings and Details
The contractor will expect to be given drawings, instructions and any further information needed to car-
ry out the works out the works according to the terms of the contract. The architect must provide such
information within a reasonable time. Failure to do so may constitute a breach of contract by the em-
ployer through his architect.

As well as general explanatory information the contractor may also request specific information.
Where further information is necessary, it should be issued in accordance with the terms of the con-
tract. The architect should insist on the contractor making clear and specific requests for information,
and resist general or confusing applications which may later result in claims that the required informa-
tion was not provided.

In a request for information required an instruction varying the work, the architect should assess the
implications for delay and cost, and if necessary obtain the employer‟s sanction before issuing the in-
struction.
The agreed procedure for issue of information should be followed and proper records kept. A.I. forms
should be used for recording the issue of further information in preference to letters.

Relevant Clauses – JLC (ZIA) Form of Contract

Clause 3 (4)

As and when … necessary… the Architect … shall furnish him (the contractor) with two copies of
such drawings or details as are reasonably necessary………

The contractor is entitled to two copies of drawings or schedules necessary to complete the works. The
cost of further copies is chargeable to the contractor, although the employer may agree to provide fur-
ther copies at his expense to assist the administration of the contract.

Relevant clauses – GC/works Form of Contract

Clause 6 includes similar provisions to 3 (4) above, but is un-specific as to the number of copies that
will be provided free of charge to the contractor.

Page 1.2.1
1.2 Issue of Drawings and Details
Fig. 1.2.1 Specimen wording for an A.I. concerning payment for drawings

PAYMENT FOR DRAWINGS

This instruction confirms the agreement reached at the initial project meeting on (date) that you will e
invoiced monthly with the cost of all drawings in addition to those issued under clause 3 (4) of the con-
tract. Accounts should be settled within 30 days.
 Page 1.2.2
1.3 Correction of Inconsistencies
The complexity of contract documentation can lead to inconsistencies, errors and omissions in and be-
tween the various documents.

Documents should be carefully checked before inviting tenders – it is often easier for a person other
than the originator to spot errors and inconsistencies. Priced bills of quantities should be checked for
errors before acceptance. If errors are found appropriate action should be taken, following the relevant
procedure for competitive tendering.

If an error, inconsistency or omission is found during the contract a corrective instruction must be is-
sued. This may constitute a variation, requiring adjustment either way.

In the event of a discrepancy where bills of quantity are used, it is generally held that contractor will
have priced the quantity and quality of works described in the bills as prevailing over the contract
drawings. Where no quantities are specified the documents are taken together, but the contract draw-
ings will normally prevail over specifications and schedules.
Relevant clauses – JLC (ZIA) Forms of Contract

Clause 1 (2)

If the contractor shall find any discrepancy…. Between thee contract Drawings and /or the Contract
Bills ….. the architect shall issue instructions in regard thereto.

The contractor is obliged to give notice in writing immediately he discovers a discrepancy or error.
The architect should carefully assess any implications, and advise the employer accordingly.

Relevant Clauses – GC/Works Form Contract

Clause 8 is equivalent to clause 1 (2) above. GC/Works states specifically that:

….. in the case of discrepancies as far as the Contract Price is concerned, the specification and Bills
of Quantities shall prevail over the drawings, and the Bills of Quantities over the Specification.

Where bills of quantity are not used, the GC/works form states that items shown on the drawings but
omitted from the specification/schedule, or shown in the specification/schedule but omitted from the
drawings shall be deemed to have been included in the contract price.

page 1.3.1
1.3 Correction of inconsistencies
Fig. 1.3.1 Specimen wording for an A.I. correcting errors in bills after the contract has been
signed.

CORRECTION TO BILLS OF QUANTITIES

Facing brickwork

We confirm that there is an error in bills under (item). This should be corrected as follows:

OMIT (item) on (page)

SUBSTITUTE ………………………………………………………………………………….
This instruction is issued in accordance with clause 1 (2) of the contract.

[add copy to clerk of works]

1.3.2
1.4 CONTRACTOR’S PROGRAMME

It is important that if a contract period is stated in the tender document‟s, this should be realistic. This
is a matter for the architect and client to agree. The employer‟s requirements, site conditions, expendi-
ture and conditions in the industry will be influential. Invitations to tender may state a specific contract
completion date, leave the tender to submit a proposed contract period, or for comparison seek alterna-
tive tenders both for the period fixed by the architect and for alternative periods.

The terms of the contract may require the contractor to submit an overall programme, and may require
a programme in a specific form. If the form of contract does not make a programme specific require-
ment consideration should be given to writing the requirement into the bills or specification.

A programme gives invaluable information about the contractor‟s intentions, what information he is
likely to need and when he will need it, and how work by nominated sub-contractors and suppliers will
be integrated. It will also give a general indication of the likely cash flow during the contract.
The contractor may be required to integrated specific client‟s requirements for interim target dates or
sectional completion into his overall programme. If this is the case the requirements should be made
clear in the tender documents, in order that the contractor can take this into account in his tender.

The architect should never approve a contractor‟s programme or interfere in any way with the contrac-
tor‟s responsibility for the co-ordination, management and supervision of the work on site. However,
he is entitled to comment, and should not hesitate to raise matters concerning the programme with the
contractor, insisting if necessary that the contractor makes proposals for revisions to the programme
which satisfy the architect‟s concerns.

Relevant Clauses – JLC (ZIA) Form of Contract

There is no provision requiring a programme to be prepared and submitted. This should be written into
the bills schedules/specification as appropriate.

Relevant Clauses – GC/Works Form of Contract

Clause 14

The Contractor shall submit…within one month…a programme showing the order
of procedure and method of carrying out the works…

The contractor is required to submit on request details of arrangements including plant and temporary
works.

Page 1.4.1
1.4 CONTRACTOR’S PROGRAMME

Fig 1.4.1 Specimen Letter or AI to contactor requiring a Revised Master Programme.

This request might also be given on an A.I form

Following our Notification of an Extension of Time, Serial No (…) issued on (date), please send us two
copies of your revised Master Programme. We make this request in accordance with (preliminary and
general item…in the bills of quantities) * (clause 14 of the contract)*.

Copies of the notification have been sent to all nominated sub-contractors, and you should ensure the
proper integration of their work into the revised programme.

Copies are sent to the employer, quantity surveyor, clerk of works and other consultants.
 1.4.2
1.5 CUSTODY OF CONTRACT DOCUMENTS

The Original Contract documents are vital documents in the event of a claim or dispute and will also
from the basis for the final account. They must be kept securely, treated as confidential, and used only
for the purposes of the contract.

Although only one set of documents is necessary to validate all the terms of the contract, two are often
prepared, one set for the contractor and one for the employer. The architect may retain the employer‟s
copy in safe keeping for reference during the contract, or may make a third copy for his use.

Relevant Clauses – JLC(ZIA) Form of Contract

Clause 3 (1)

The Contract Drawings and the Contract Bills shall remain in the custody of the
Architect or the Quantity Surveyor so as to be available at all reasonable times…
The architect or quantity surveyor holds the original copy. Both the employer and the contractor are
able to inspect the original documents at all reasonable times. The contractor will expect to have a
working copy, and the employer may also require a working copy. The clause implies that the original
documents will be held by the architect even after completion of the contract, imposing on him if fol-
lowed a requirement to maintain secure archival storage for many years. In practice, the original docu-
ments are often handed to the employer on issue of the final certificate.

Relevant Clause – GC/Works Form Of Contract

Clause 6

…The Contract Drawings…specification…Bills of quantities…Schedule of rates,

shall remain in the custody of the D.B. so as to be available at all reasonable times
for the inspection of the contractor…

1.5.1
1.6 USE AND RETURN OF DRAWINGS

Contract information may only be used by the contractor for the purposes of the contract. If the archi-
tect wishes to ensure that the information issued is returned, he may issue an architect‟s instruction to
this effect. This is particularly relevant to government contracts, and other contracts for security estab-
lishments or highly sensitive commercial projects, banks or the like.

Where consultants or the contractor are supplied with copy negatives and the architect may wish to en-
dorse these with the words:- “Copyright – to be used only for the purposes of this contract” above the
architect‟s panel.

Unless otherwise agreed the copyright of the design remains with the architect. Clearly the risk of
breach of copyright is reduced if the information supplied is returned.

Relevant Clauses – JLC (ZIA) Form of Contract

Clause 3 (6)

Upon final payment…the Contractor shall, if so requested…return to the architect

all drawings, details, specifications (etc)…

The clause refers only to the drawings etc which bear the name of the architect. In practice, this is taken
to include all other consultants and specialists details.

Relevant Clauses – GC/Works Form of Contract

Clause 6

Upon receiving the final payment the contractor shall forthwith return to the D.B. all
documents bearing his name.

This clause also expressly prohibits both parties from using information concerning the works for any
purposes other than the contract, and prohibits both parties from divulging any information concerning
costs.

1.6.1
1.6 USE AND RETURN OF DRAWINGS

Fig 1.6.1 Specimen letter (or wording of an A.I.) to contractor requesting return of project documents.

Following the issue of the final certificate, you are requested to return all the drawings, details, sche-
dules and other information we have issued in connection with the project. Please list the items so that
we can check these against our records of issues. We make this request in accordance with (clause 3[6])
(clause 6) of the contract.
 1.6.2
1.7 Removal of unfixed Materials .

Once materials are brought to site (assuming they conform to the standards required) it should not be
necessary to remove them. Only exceptional circumstances, such as a change in the programme, in-
creased damage or security risks, adverse weather, labour difficulties etc might warrant their removal.

Architects should carefully asses any requests for permission to remove materials, particularly those in
short supply. If such requests persist or materials are removed without consent the architect should in-
vestigate.

Although the contractor is responsible for the security of all materials on site, the architect should en-
sure that the employer‟s interests are properly protected. Once goods and materials have been paid for
under interim certificate, the architect should only allow their removal under stringent conditions.
Where substantial or critical items are involved the architect should advise the employer before a deci-
sion is taken.
The general rule is that the materials which are on site and have been paid for should stay there. They
are owed by the employer.

Relevant Clauses – JCT (ZIA) Form of Contract

Clause 14 (1)

…materials and goods delivered…to the works…shall not be removed…unless

the architect has consented in writing…where…the contractor has received pay-
ment, such goods become the property of the employer.

The architect may not unreasonably withhold his consent. The contractor remains responsible for the
security, insurance and storage of goods on materials on site and after they have been removed from it.

Under clause 14(2) similar provisions apply to goods and materials stored off-site, but which have been
included in interim certificates and paid by the employer.

Relevant Clauses – GC/Works Form of Contract

Clause 24 (i)

All Constructional Plant, Temporary Works and materials…shall…become the prop-

erty of the employer and the contractor shall not remove the same…without consent…

Even plant and equipment are deemed to become property of the employer until completion, or until
they are removed with consent. Surprisingly, even materials removed from site are deemed to revert in
ownership to the contractor. On completion all plant and equipment, and any unused materials revert in
ownership to the contractor and he is required to remove these from site.

1.7.1
1.7 Removal of unfixed Materials .

Fig 1.7.1 Specimen wording for an A.I. agreeing to the removal of unfixed materials.

CONSENT TO THE REMOVAL OF UNFIXED MATERIALS FROM THE SITE

We agree that you may remove (list materials) from the site to all our modifications to conform with
drawing (no). These modifications are to be made in the supplier’s workshop, and you should ensure
that the items are returned to site promptly so as not to cause delay. This is at no cost to the employer.

This instruction is issued in accordance with clause 14(1) of the contract.

 1.7.2
1.8 “Watchpoints” .

Make sure that the form of contract used is the latest edition and incorporates any published
amendments. Any special amendments required should be written into the form of contract. Con-
sider using the services of a solicitor familiar with legal drafting.

Check that the tender documents and the form of contract are compatible, paying particular atten-
tion to the entries in the appendices. Last minute adjustments may be overlooked. Carefully de-
scribe the contract drawings and bills in the contract form.

Check that the works have been properly described in the contract form, that the extent of the
works and the site are clearly shown, and that any special restrictions required on access or work-
ing methods are described in the contract documents.
 Check that the contract form has been properly completed, that it is clear which option clauses
are to apply, that the appendix is complete and that the contract is signed and sealed before work
commences.
Issue copies of contract documents as required by the contract conditions. Keep your own set
safe.

Check that the information in all documents is consistent. If discrepancies are found, respond
promptly and decisively with a corrective instruction.

Issue further drawings and information as required. Anticipate requests where possible, but in all
cases respond to specific requests for information promptly. Use an architects instruction to
record the issue of further information, quoting all drawing numbers and titles, the number of the
revision, and describing if necessary the additional information issued.

Study the contractors programme and it‟s implications for your administration of the contract. In
particular note dates for information required, nominated sub-contract periods and key delivery
dates. If these are not adequately shown, ask for more details. Never approve a contractor‟s pro-
gramme. Never interfere with a contractor‟s working methods. If there are matters which give
you cause for concern advise him in writing and ask for explanations or his revised proposals.

1.8.1
2.0 POSSESION AND COMPLETION

CONTENTS

Page No (s)

2.1 Possession 2.1.1

Fig 2.1.1 AI confirming availability of site 2.1.2
Fig 2.1.2 Certificate of Site Possession 2.1.3

2.2 Delayed completion (extension of time) 2.2.1 – 2.2.2

Fig 2.2.1 Letter requesting further information 2.2.3
Fig 2.2.2 Letter rejecting an application 2.2.3
Fig 2.2.3 Letter notifying an extension of time 2.2.3
2.3 Antiquities 2.3.1
Fig 2.3.1 AI on discovery of Antiquities 2.3.2

2.4 Non-Completion (liquidated damages) 2.4.1 – 2.4.2

Fig 2.4.1 Letter regarding non-completion 2.4.2

2.5 Partial Possession 2.5.1 – 2.5.2

Fig 2.5.1 Letter regarding partial possession 2.5.2

2.6 Practical Completion 2.6.1 – 2.6.2

Fig 2.6.1 Letter regarding practical completion 2.6.2

2.7 Defects Liability 2.7.1 – 2.7.2

2.8 “Watchpoints” 2.8.1

2.1 Possession

The employer must give the contractor possession of the site on the site on the date stated in the con-
tract. In a project for new works this effectively means exclusive possession. Ownership of the site re-
mains with the employer, who continues to be legally responsible. The use of and responsibility for
removal of debris and topsoil from the site should be clearly defined in the contract documents.

If the employer fails to give possession of the site to the contractor on the date stated, he is in breach of
contract. The contractor is entitled to unrestricted use of and access to the site, subject only to restric-
tions written into the contract documents. If the site is not available on the date stated, a new agreement
should be negotiated with amended dates for possession and completion.

Problems may arise if the contractor fails to take possession on the date stated, especially where the
sites are in some way dangerous. In these circumstances the architect should immediately issue an in-
struction requiring him to do so, and should inform the employer. Insurance and security provisions
should be checked and action taken as required.
Complications arise where the employer wishes to occupy part of the site during the contract period.
Precise requirements should be described should be described in the tender and contract documents.
Give and take will be necessary; fortunately this usually presents little difficulty as long as the contrac-
tor is made aware of the situation at the time he tenders.

Formal hand over of the site is advisable, and Buildings Branch Procedures require the issue of a certif-
icate confirming hand over of the site to the contractor in all government projects.

Relevant Clauses – JLC(ZIA) Form of Contract

Clause 21(1)

On the Date for Possession stated in the appendix…possession of the site shall be
given to the Contractor…

Relevant Clauses _ GC/Works Form of Contract

Clause 10

…the Employer…will give to the contractor so much of the site as may be re-
quired.

This clause of the GC/Works form also require the D.B. to grant an extension of time if the contractor
suffers a delay or expense as a result of the employer delaying or not giving possession of the site, or
part of the site.

2.1.1
2.1 Possession

Fig 2.1.1 Specimen letter or drawing for A.I. confirming availability of the site.

Following the initial project meeting on (date) we confirm the site will
be formally handed over for possession on (date), in accordance with
clause 21(1) of the contract. There will be a brief meeting at the site at
(time), when you will be given the keys.

Fig 2.1.2 Specimen Certificate of Site Possession, issued for all government contracts.

GOVERNMENT OF THE REPUBLIC OF ZAMBIA

MINISTRY OF WORKS AND SUPPLY

Director of Buildings
P.O Box 50800 Lusaka
WORKS FORM NO 95
BUILDING BRANCH FILE NO………..

CERTIFICATE SITE POSSESSION

CONTRACT NO………………………………………………………………………………………….
PROJECT………………………………………………………………………………………………….
……………………………………………………………………………………………………………..

Under the terms of the above mentioned contract, possession of the site was taken by me/us on behalf
of the contractor,

Mssrs……………………………………………………………………………………………………..
Of:…………..……………………………………………………………………………………………
…………………………………………………………………………………on……………………the
……………………day of………………..……………………..……………….……………………….

* being the date of the first project

* being the date for possession as stated in the conditions of contract
(*delete as appropriate)
signed on behalf of the contractor by:-
……………………………………………………………..date…………………………...
In the presence of Buildings Branch Representatives:-
………………………………………………………………designation………………….
This shall be recognized as the official receipt of possession of the site

2.1.2
2.2 DELAYED COMPLETION

The principle reason for including an extension of time provision is to protect the employers right to
claim liquidated damages in the event that he contributes to any delay.

A definite date for completion should be inserted in the appendix: there must be a precise date from
which liquidated damages can run. The contract period can only be reduced with the consent of both
parties. The completion date may be extended subject to the terms of the contract.

The grounds on which a contract may be extended are set out in contract terms. Alterations to the
printed text should not be made without careful thought, and possibly the assistance of a solicitor with
building contracts and legal drafting.

The administration of this provision is usually a matter for the architect alone. The procedural rules set
out in the contract should be followed meticulously. It is important that the contractor notifies actual or
potential delays as soon as they are apparent in order that action can be taken to mitigate the conse-
quences. The architect should respond quickly to every written notice of delay and assess what effect it
might have on the completion date. If the information given by the contractor is insufficient to assess
the claim he should claim more.

The question of financial loss should not influence decisions about extensions of time – this should be
considered separately.

The contractor is obliged to use his best endeavors to prevent delays or further delays. In legal terms
this requires the contractor to exercise the highest standards of care. There is no obligation for the con-
tractor to accelerate the remaining work to mitigate the delay at his own expense.

The employer must be advised of revisions to the completion date. It is advisable to draw his attention
to estimated financial implications at the same time.

Relevant Clause – JLC(ZIA) Form of Contract

Clause 23

…if in the opinion of the architect the completion of the works is delayed…by reason
of (see list of events below)…the architect shall…make (an) extension of time for the
works.

The clause refers only to extensions of time – there is no provision for making reductions where work
is omitted.

2.2.1
2.2 Delayed Completion

Ten possible categories of event are given which justify an extension of time:-

a) Force Majeure (difficult to define but generally an “act of God” or an event so overwhelming
as to make the normal performance of contract impossible).

b) Exceptionally inclement weather.

c) Loss of damage through fire, flood, riot etc (but not theft)

d) Civil disturbances or strikes

e) By reason of architect‟s instructions concerning discrepancies, variations, or postponements of

the works (but no other instructions)
f) Late supply of information necessary for the completion works, providing that the contractor
has requested the information at the appropriate time and in writing.

g) Delay on the part of nominated sub-contractors and suppliers

h) Delay on the part of persons directly engaged by the employer on site

i) Opening up or testing, unless the work is found not to have been in accordance with the con-
tract.

j) Inability to secure labour, goods or materials, provided that the reasons why the contractor can-
not obtain these are beyond his control and he could not have anticipated the shortage at the
time of tender. Thus if the delays are caused by failing to order materials as early as possible, or
if the contractor puts forward a completion date which is not reasonable due to known or fore-
seeable shortages, he could not normally be entitled to an extension of time under this sub-
clause.

Relevant Clauses – GC/Works Form of Contract

Clause 38 of the GC/Works Form is equivalent to clause 23 of the JLC Form.

2.2.2
2.2 Delayed Completion

Fig 2.2.1 Specimen letter to a contractor requesting further information in connection with a notice of
delay (in response to a notice claiming delay due to inability to recruit joiners at a critical
stage of the project)

Thank you for your letter of (date) notifying a delay arising from relevant events under
clause (23 or 38 as appropriate) of the contract.

Please supply the following information so that we can consider this matter fully:- (e.g.)

(1) Programmed labour requirements for the period in question

(2) The numbers of the joiners and assistant joiners during the critical period and the
previous two months.
(3) The rates paid to joiners during the critical period and the previous two months.
 (4) What enquiries were made for labour during the critical period and the previous two
months

You will appreciate that the sub-clause you refer to only includes matters which you could
not reasonably have foreseen when tendering.

Fig 2.2.2 Specimen letter to contractor rejecting an application for an extension of time (in response
to a claim concerning late supply of information).

After careful consideration of your written notice of delay to progress, and the further de-
tails which you sent in support of your claim, we conclude that no revision to the comple-
tion date s warranted.

The records show that the information you requested was supplied within a reasonable time
of your specific application. The fact that you are behind programme is obvious, but the
cause appears to lie else.

Fig 2.2.3 Specimen letter to employer notifying an extension of time

As previously discussed, we enclose a notification of an Extension on Time under. This has

been issued in accordance with clause (23 or 38) of the contract. This may course affect
your preparations for taking possession of the works.

If you have any queries regarding this matter, please let us know.

2.2.3
2.3 Antiquities

The discovery of archeological evidence and/or antiquities on site may lead to serious delay to the
progress of building work, though the risk is probably very low in Zambia. It is important that delicate
objects are not damaged unnecessarily, and that there is minimum disturbance to the site of the find.

Relevant Clauses – JLC(ZIA) Form Of Contract

Clause 34 (1)

All fossils, antiquities and……..other objects of value………found on the site……..shall be-

come the property of the Employer.
The contractor is required to carefully remove these and hand them over uncleaned and as excavated to
the architect or clerk of works.

There is no specific provision for suspension of the works pending instructions regarding preservation
or excavation, but the architect may consider suspensions or postponements under clause 21(2).

Under clause 34(2) the contractor may be entitled to recover direct loss and expense incurred in remov-
ing such objects, and if the work is postponed he may be entitled to an extension of time (Clause 23(e))
with costs(clause 24 (E))

Relevant Clauses – GC/Works Form of Contract

Clause 16

All fossils, coins …and other remains …discovered shall …be the …property of
the employer …and the contractor shall prevent his workmen from removing or
damaging any such articles.

The contractor must seek the D.B‟s approval before removing such articles, and follow his instructions
concerning their disposal.

2.3.1
2.3 Antiquities
Fig 2.3.1 Specimen wording for an A.I on discovery of antiquities.

DISCOVERY OF ANTIQUITIES

Following the report of objects discovered on site, and in accordance with (clauses 21(2) and 11(1)-
JCT Form, or clause 16 – GC/Works Form) please ensure that:

1) No work proceeds in the immediate area of the finds and that no work disturbs the area further.

2) Provide a full-time security watch over the area until further notice.

3) Provide secure and weather tight canvas cover to the area of the find
 2.3.2
2.4 Non-Completion
If the contractor fails to complete on time the employer is entitled do deduct liquidated damages, sub-
ject to the architect having issued a certificate to that effect. The employer must take care to comply
with the conditions of contract concerning notification and the time limits.

If liquidated damages are to operate, then a figure must be stated in the contract. It should be a genuine
pre-tender estimate of the loss likely to be incurred, not a penalty sum. The loss does not have to be
proved, and even if the employer suffers no loss in the event the agreed figure is still recoverable.

Architects should explain to the employer the full implications of the provision and agree (and record)
the figure to be inserted in the contract. Assessments of an appropriate amount may take into account
such matters as additional rental charges incurred, or loss of profit on rental income, or lost profit on
lost production. If it cannot be assed it may be formula-based, taking into account interest charges on
capital employed, administrative costs and additional fees, etc. The figure inserted will be taken into
account when tendering.

Damages deducted may have to be repaid if extensions of time are later granted.

Standard forms do not normally include provisions for incentives or bonus payments for early comple-
tion.

Relevant Clauses – JLC(ZIA) Form of Contract

Clause 22

If the contractor fails to complete the Works by the Date for Completion…….…and the Archi-
tect certifies in writing……………then the Contractor shall pay or allow…………Liquidated
and Ascertained Damages……..…and the Employer may deduct such sum from any monies
due…

A certificate of non-completion should be issued by the architect if the contractor fails to complete on
time, whether or not the employer intends to deduct damages.

The architect should advise the employer of the amounts he is entitled to deduct, but it is for the em-
ployer to decide if the deduction is in fact to be made.

Deduction of damages does not relieve the contractor of his duty to proceed with the contract to com-
pletion, or his other duties under the contract.

The right to claim damages ceases once the final certificate has been issued.

2.4.1
2.4 Non-Completion
Relevant Clauses – GC/Works Form of Contract

Clause 37 of the GC/Works contract is equivalent to clause 22 of the JLC form. There is specific provi-
sion for the amount of damages levied to be reduced proportionately where the employer takes posses-
sion of part of the Works.

Fig 2.4.1 Specimen letter to the employer concerning the implications of the issue of a certificate of
non-completion.

We have today issued a Certificate of Non-completion of the works in accordance with

clause(22 or 37) of the contract. We therefore draw your attention to the implications of this
event:-
 1.0
From the date of issue Liquidated and ascertained damages at the rate of K………………per
day/week) become due to you. Damages will continue at this rate until the Certificate of
Practical Completion is issued.

2.0
These damages may be deducted at any time up to the issue of the final Certificate, from
monies due to the contractor, or recovered from him as a debt.

3.0
Deductions could begin immediately, but the contractor has notified us of his intention to
seek the Extension of Time. If the Extension of Time is justified and granted, some repay-
ment of damages deducted may be necessary.

It is essential that you notify the contractor in writing of your intention to deduct liquidated
damages before taking any action. Please keep us informed of your intentions in order that
we may continue to advise.

2.4.2
2.5 Partial Possession
Partial Possession – the early occupation of part of the works – should not be confused with the sec-
tional completion – the planned and programmed completion of the work in phases. It largely depends
on the contractor‟s consent, and may be subject to conditions.

If the employer requests partial possession, the architect should carefully explain to the employer the
risks and practicalities involved. Difficulties arise with safety, security, access, services and progress of
the remaining works. The employer must insure the parts of the works he takes over. The architect
must clearly identify the relevant part and fix the handover date precisely. The defects period starts to
run on the occupied (relevant) part as soon as it is handed over, irrespective of the level of completion.

Where a requirement for completion in stages or phases is known at the time of tendering this provision
should be included in the contract. A sectional completion supplement to the terms of the contract is
better than relying solely on requirements in the drawings and bills as contract conditions traditionally
take priority over other information. Identify the relevant sections and their respective completion
dates. In this way the recovery of liquidated damages where sections are not completed on time is more
certain p otherwise liquidated damages may be linked to completion of the whole of works.

Most contract forms make provision for the pro-rata reduction of liquidated damages according to the
value of the relevant part, and where sectional completion is required the way in which damages are set
out in the appendix requires special care.

Relevant Clause – JLC(ZIA) Form of Contract

Clause 16

If at any time……..…before practical completion the Employer with the consent of the
Contractor shall take possession of…………..part of the works……………

…. Several events are triggered:-

a) within seven days the architect must issue a certificate stating the value of the relevant part.

b) Practical completion of the relevant part is deemed to have occurred and the defects period
starts to run.

c) Separate schedules of defects and ultimately separate certificates of making good defects are
required

d) The contractor ceases to insure the relevant part, and liability passes to the employer who
should insure

e) Liquidated damages applicable are reduced in proportion to the value of the relevant part

f) Within fourteen days, a certificate must be issued releasing one half of the retention for the re-
levant part, and the final releases of retention becomes due on the issue of the separate certifi-
cate of making good defects.

2.5.1
2.5 Partial Possession
Relevant Clause – GC/Works Form of Contract

There is no specific provision for partial possession under this form of contract.

Clause 37, final paragraph makes provision for reduction of the damages if partial completion is
agreed.
If before the completion of the whole……….….…any part of the works is certified……………….as
completed……………the liquidated damages…………………shall be reduced in proportion………

If partial possession is required, the architect should make a specific agreement in writing on behalf of
the client, possibly with reference to similar conditions to the JLC Form of Contract.
Fig 2.5.1 Specimen letter to employer concerning the implications of partial possession

The Contractor agrees that it will be possible for you to take possession of the part of the works shown
on the enclosed drawing on (date). There are a number of important implications which you should
note:-

1.0
The defects liability period for this part will begin on this date

2.0
Half of the retention monies for this part will be released within 14 days of the Handover

3.0
The Contractor’s liability for liquidated damages will be reduced pro-rata

4.0
The insurance of this part of the works becomes your responsibility from the date of handover. We sug-
gest you discuss this with your insurance adviser as soon as possible to ensure that the necessary poli-
cies are put in place in good time

Please let us know if you require any further explanation of the procedures for partial possession.

2.5.2
2.6 Practical Completion
Practical completion is taken to mean that the whole of the work is completed for the practical purposes
intended, except for any latent defects (defects not yet apparent). The test of Practical Completion may
be taken to be that the employer is able to enjoy beneficial occupation without undue inconvenience
from the work in progress on any outstanding items, which must be minor in extent and nature.

Most forms of contract make no provision for the issue of certificates which are qualified by lists of
unfinished and unsatisfactory items. However if for some god reason such a certificate has to be used
then a schedule of items not included should be referred to on the face of the certificate. In such cir-
cumstances the architect would be well advised to obtain the list of items. Issue of the certificate should
be conditional on the contractor‟s written agreement to finish ant outstanding work without delay. Un-
finished and unsatisfactory items should not be included on certificates for payment.
The architect must issue a certificate as son as in his opinion practical completion has been achieved –
failure to do so could constitute a breach of contract by the employer through his agent, the architect.

Once a certificate has been issued, it cannot be withdrawn.

The issue of the certificate starts the defects liability period and releases the contractor from responsi-
bility for insurance of the works. The retention monies held on all work included in the certificate must
be reduced by one half.

Although the practice of “snagging” – the preparation of lists of small defects for making good before
or after completion – is widespread in the industry, there is no provision for this under the common
forms of contract. It is not the responsibility of the architect to provide the contractor with a list of
items to be made good before he completion. The contractor is responsible for making sure the work is
complete before asking the architect to certify practical completion. If any “snagging” lists are pro-
vided (in a spirit of cooperation) it should be clearly understood that they are not final and conclusive.
Snagging lists should not be confused with formal schedules of Defects, which are only issued at the
end of the defects period and which have very specific meaning under the terms of the contract.

Notify the client in good time that practical completion is approaching and in particular draw his atten-
tion to the need for insurance. Ensure as-built and maintenance information is compiled well in ad-
vance, so that they are ready for hand over on occupation.

2.6.1
2.6 Practical Completion
Relevant Clauses – JLC(ZIA) Form of Contract

Clause 15(1)

When in the opinion of the architect the works are practically completed…he shall
forthwith issue a certificate to that effect…

Relevant Clauses – GC/Works Form of Contract

Clause 12 is equivalent to that above, but includes provision that the contractor must agree in writing to
finish any outstanding work during the defects liability period before the certificate is issued.
Fig 2.6.1 Specimen letter to employer concerning the implications of practical completion.

We are about to issue a certificate of Practical Completion in accordance with clause 15

of the contract. There are a number of important implications which you should note:-

1.0
The defects liability period will begin on this date

2.0
Half of the retention monies will be released within 14 days of the date for handover, and
the period for final measurement will commence.

3.0
The Contractor’s liability for liquidated damages will cease.

4.0
The insurance of the building and it’s contents becomes your responsibility from the date
of hand over. We suggest that you discuss this with your insurers as soon as possible to en-
sure that the necessary policies are in place in good time.

Please let us know if you need any further explanation of the implications of the proce-
dures for practical completion.

2.6.2
2.7 Defects Liability
The defects liability period entitles the contractor, for a certain period, to return to site to make good his
own defects. Subject to the contract terms, this does not exclude or limit the employer‟s right in com-
mon law to recover damages for consequential losses suffered as a result of defective work.

The Contractor‟s liability is limited to making good defects arising from materials or workmanship
which are not accordance with the contract, and which appear during the defects liability period. The
Contractor is not normally responsible for maintenance – making good of damage, or fair wear and tear
– during the defects period.

The architect is obliged to issue a schedule of defects within a set time after expiry of the defects pe-
riod, and the contractor is required to make them good within a reasonable time of receiving the sche-
dule.
Alternatively, under the JLC Form (but not the GC Works Form) other arrangements for making good
the defects (with appropriate financial adjustments) may be agreed. In these circumstances the architect
must still issue the schedule to the contractor so that he is aware of the extent of the defects. This
should be accompanied by an architect‟s instruction informing the contractor that the defects will not
be made good under the contract. The amount of the appropriate deduction is a matter for the quantity
surveyor.

In an emergency the architect may require defects to be made good during the defects period.

Where there are no defects and the contractor is instructed to make these good, the architect is required
to certify when the making good is complete; this a requirement for final payment to be made.

It is preferable to have some defects liability period for the building fabric and the services installa-
tions. This should be long enough to fully test the services installations in use.

Landscape sub-contractors often contain provisions for maintenance and care of planted areas for a
period after practical completion, and provisions to replace failed planting.

After issuing the schedule, the architect is not empowered to issue further instructions for making good
further defects. Therefore, the architect should take great care to ensure the schedule is as complete as
he can make it. If the architect fails to issue a schedule within a set period, the employer may loose his
right to have the defects made good under the terms of the contract.

2.7.1
2.7 Defects Liability
Relevant clause – JLC(ZIA) Form of Contract

Clause 15(2)

Any defects, shrinkages or other faults which shall appear during the defects liability pe-
riod…….……due to materials or workmanship not in accordance with the contract……….shall be
specified………….not later 14 days after the expiry of the defects period…………….

The architect has 14 days within which to issue the schedule of defects, preferably in the form of an
architect‟s instruction.
Relevant Clauses – GC/Works Form of Contract

Clause 25(i) is equivalent to that above. Additionally there is provision for any consequent loss or
damage arising out of defects under the contract, However, there is no provision for alternative means
of making good the defects – the original contractor must be offered the opportunity to make good his
own defects.

2.7.2
2.8 “Watchpoints”
Note; all the items are relevant to the architect‟s normal progress meetings.

* The whole site should be available for the contractor to take possession the date stated. If there are
likely to be problems, advise the employer.

* Respond promptly if delays are notified. Check the effect on progress and consider what remedial
action is possible. Make reasonable requests to the contractor for supporting information. Watch
over the employer‟s interests if he is the cause of a delay.

* When granting an extension keep strictly to the causes or events laid down in the contract – you
have no power to grant extensions for other reasons. Take the relevant circumstances into account,
and relate the delay to the contract completion date. Identify the relevant events considered, but do
 not allocate specific time periods to each. Always respond promptly to a written application, even
when the answer is no.

* Advise the employer of the full implications before proceeding if he would like partial possession.
Obtain the contractor‟s consent and identify precisely the limits of the employers occupation and
the time of hand over. You may need to re-define the contractor‟s access and limits on his opera-
tions as conditions of the agreement.

* Issue a certificate of non-completion immediately after the date of completion in the contract, if
the work is not yet practically complete. The certificate can be cancelled if there is a subsequent
extension of time. In the meantime the employer is entitled to begin deducting liquidated damages.

* You must issue a certificate of Practical completion as soon as you are of the opinion that the
work is complete. If the employer is pressing to take occupation, issue a qualified conditional cer-
tificate only with the employer‟s written consent. If necessary, seek an indemnity from the em-
ployer.

* Establish one defects liability period to cover all work. Make sure that a thorough inspection is
made at the end of the period and that a schedule of defects is issued in good time. When you are
completely satisfied that all the defects have been made good, issue a certificate of making good
defects. If there is to be a cash settlement in lieu, have the financial adjustment prepared by the
quantity surveyor and obtain the employer‟s agreement in writing.

2.8.1
3.0 Control of the Works
CONTENTS
Page No(s)
3.1 Assignment 3.1.1

3.2 Sub-contracting 3.2.1

Fig 2.2.1 Letter concerning sub-contracting 3.2.2
Fig 2.2.2 Letter consenting to sub-contracting 3.2.2

12.3 Nominated Sub-contractors 3.3.1-3.3.3

Fig 3.3.1 Letter nominating a sub-contractor 3.3.4

12.4 Nominated suppliers 3.4.1-3.4.2

 Fig 3.4.1 Letter nominating a supplier 3.4.2

12.5 Access for the Architect 3.5.1

12.6 Person-in-Charge 3.6.1

12.7 Exclusion from the works 3.7.1

12.8 Architect‟s Instructions 3.8.1-3.8.2

Fig 3.8.1 Table of valid instructions and clauses 3.8.2
Fig 3.8.2 Letter re. Failure to comply with AI 3.8.3

12.9 Variations 3.9.1

12.10 Provisional Sums 3.10.1

12.11 Setting out 3.11.1

12.12 Clerk of works 3.12.1

12.13 Work outside the contract (Artists P& tradesmen) 3.13.1

12.14 Inspection and tests 3.14.1

Fig 3.14.1 AI requiring opening-up 3.14.2
Fig 3.14.2 AI accepting work not as contract 3.14.2
Fig 3.14.3 AI requiring removal of work 3.14.2

12.15 Postponement of work 3.15.1

Fig 3.15.1 AI requiring postponement of work 3.15.1

12.16 “Watchpoints” 3.16.1

3.1 Assignment
Assignment is the means by which contractual interests may be transferred. In a contract of a personal
nature, this may be due to the death or incapacity of one of the parties. Sometimes, a contractor may
wish to assign monies due to him to a third party – in other words he wishes to assign contractual bene-
fits whilst retaining contractual obligations.

Contracts often expressly prohibit unilateral attempts at assignment. Conversely, an agreement to as-
sign can be written into a contract, and they are common in collateral warranty agreements (such claus-
es should be regarded with caution as they may extend responsibilities beyond reasonable limits and
indemnity insurance may be invalidated or made obtainable).

Where all parties agree that one contractor should be replaced by another, a new contract is drawn up to
complete the works. This may substitute for the original or may be read in conjunction with it. The
terms are not necessarily those of the original contract. This is known as “novation” agreement.
Relevant Clauses – JLC(ZIA) Form of Contract

Clause 17

The Contractor shall not. Without the written consent of the employer assign this con-
tract…………

Only the employer can consider an assignment – the architect has no authority in this regard.

Relevant Clause GC/Works Form of Contract

Clause 28

The Contractor shall not………assign or sublet…the contract or any

part…without the written consent of the D.B……………….

In treating assignment with sub-letting this form appears to make assignment relatively simple – there
is provision that consent should not be unreasonably withheld. In practice the circumstances in which a
contractor would be permitted to assign his obligations under the contract would be extraordinary.

3.1.1
3.2. Sub-Contracting
The general rule is that the contractor carries out the work he has undertaken to do. There is no implied
right to sub-contract work. If unauthorized sub-contracting comes to the architect‟s attention a warning
letter might be appropriate.

Most building contracts accept the customary practice of sub-contracting. Sub-contractors appointed by
the main contractor are called “domestic” sub-contractors.

If the contractor requests permission to sub-contract, and the sub-contractor is not known to the archi-
tect, it is advisable for the architect for names of referees and examples of similar work before consent-
ing.

Even where the contractor sub-contracts work with consent, he remains responsible in every respect for
the work carried out on his behalf by others.
There is no direct contractual relationship between a sub-contractor and the employer unless a collater-
al agreement is entered into. Whenever there is reliance on the specialist skills of a sub-contractor in
terms of design, performance or selection of materials, then a collateral agreement is in the employer‟s
interests.

Relevant Clauses – JLC(ZIA) Form of Contract

Clause 17

The Contractor shall not. Without the written consent of the architect………….…sub-let any portion
of the works.

The architect consents to the contractor sub-letting a part of the works.

Relevant Clauses – GC/Works Form of Contract

Clause 28

Clause 28 is equivalent to clause 17 of the JLC/ZIA form

Clause 18 of the GC/Works Form impose certain restrictions on minimum wages on the contractor – it
is not clear whether these restrictions are to apply to the employees of domestic sub-contractors.

3.2.1
3.2. Sub-Contracting
Fig 3.2.1 Specimen letter to contractor concerning unauthorized sub-contracting

We understand you have sub-contracted work to (name) without our written permission.
This is a contravention of clause (17 or 28) of the contract and must cease immediately.

No further sub-contracting should proceed without our written approval of the sub-
contractor, in accordance with the provisions of this contract.

Copy to employer, Q.S, consultants, clerk of works.

Fig 3.2.2 Specimen letter (or wording for an AI) consenting to sub-contracting

CONSENT OF SUB-CONTRACTING
 We consent to sub-contracting of the following areas of work, in accordance with
your request ref………………dated………………as follows:-

(1) External paving to: (name)

(2) Painting to: (name)

(3) Pre-cast concrete to: (name)

This consent is given in accordance with clause (17 or 28) of the contract.

Copy to employer, Q.S., Clerk of Works, consultants

3.2.2
3.3. Nominated Sub-Contracting
Nominated sub-contractors are not classed as domestic sub-contractors and the main contractor is not
wholly responsible for their performance. They are specialist firms nominated to carry out and com-
plete the works against the provision of prime cost sums included in the contract bills. Nominations
may also be made by issuing an architect‟s instruction concerning the expenditure of a provisional sum.

Nomination is held to be reasonable where:-

- special expertise is required

- special quality is required
- time is an important consideration, and long lead-in times for fabrication and delivery have to be
accommodated.
The architect chooses the sub-contractor in consultation with the client, but the contractor has a right of
reasonable objection. The architect must issue instructions concerning expenditure of all prime cost
sums. If the contractor raises reasonable objections and the architect‟s first nomination fails, he must
issue further instructions.

Once a nomination has been accepted, the architect should ensure that the contractor enters into a prop-
er sub-contract agreement using the appropriate form. (the “green” form for JLC contract conditions).

The contractor is ultimately responsible for workmanship and materials, and for integrating the nomi-
nated sub-contractor‟s work into his programme and the works generally. However, he is not responsi-
ble for specialist nominated sub-contractor‟s design, specification or selection of materials.

The contractor may wish to be considered for work for which there is a prime cost sum in the contract
bills. The main forms of contract permit him to tender provided the architect is prepared to consider
him and that he ordinarily carries out such work.

Procedural rules in the main forms of contract in Zambia have been largely superseded elsewhere by
more complex rules intended to:-

a) Make provisions for the nominated sub-contractor to provide a direct warranty for design, specifi-
cation and selection of materials to the employer.

b) Provide mechanisms whereby sub-contract tenders should be in all respects compatible with the
main contract terms, and the terms the contract will require the specialist to sign.

It is especially important that the architect adopts careful procedures in obtaining tenders for nominates
sub-contract works; refer to checklist G1 is section 1.

3.3.1
3.3. Nominated Sub-Contractors
Relevant clause – JLC(ZIA) Form of Contract

Clause 27

The following…shall apply in respect of persons nominated by the architect…to excute

work

27(a)
Makes provision for nominations to arise out of prime cost and Provisional sums, which must include a
discount of 2.5%, and makes provision for contractor to raise reasonable objections. The sub-contractor
must agree to:-
i) conform with directions of the contractor, and complete sub-contract work to the satisfaction of
both the architect and the contractor.
ii) work subject to the conditions of the contract
iii) indemnify the contractor as the contractor indemnifies the employer
iv) maintain insurances as required under the contract
v) complete in accordance with the agreed sub-contract period
vi) pay damages to the contractor if he fails to complete on time. The architect must
first issue a certificate of non-completion of the sub-contract works.
vii) accept payments, which are to be made by the contractor within 14 days of his receiving the
architect‟s certificate, subject to retention and a discount of 2.5%
viii) retentions held being similar to provisions for the main contract works
ix) the architect having access to his works for the purposes of inspection
x) that the sub-contract will be automatically be determined if the main contract is determined.

It is not a requirement that the “green form” should be used as the form for sub-contract, but it does
cover all the above requirements and it‟s use is highly recommended.

27(b)
Makes provision for the architect to value the sub-contract work and direct the contractor to pay the
sub-contractor accordingly.

27(c)

Enables the architect to ask the contractor to show he has paid amounts due to the sub-contractor. If the
contractor has not paid and the architect certifies as such, the employer is empowered to pay the sub-
contractor direct.

3.3.2
3.3. Nominated Sub-Contractors
27(d)
Deals with extensions of time and non-completion of the sub-contract works.

The main contractor is not responsible for delays caused by nominated sub-contractors, providing that
he has taken reasonable steps to avoid the delay. The contractor is entitled to an extension of time if a
nominated sub-contractor delays the works, provided that the architect has issued a certificate of non-
completion of the sub-contract works, but must recover any resultant direct loss and expense from the
sub-contractor.

i) The contractor cannot extend the sub-contract period without the consent of the architect. The
sub-contractor submits his claims for extensions of time through the contractor.
ii) If the sub-contractor fails to complete within the sub-contract period, and in the opinion of the
architect he ought reasonably to have completed, the architect must issue a certificate of non-
 completion enabling the contractor to deduct damages for loss and expense from the sub-
contractor.

27(e)
Final payment can be made to a nominated sub-contractor before final payment to the main contractor.
The sub-contractor must first indemnify the main contractor against the possibility of latent defects
arising.

27(f)
This clause states that the employer will have no direct liability to the sub-contractor – the employer‟s
contract is with, and therefore he only has responsibilities to, the contractor.

27(g)
Enables the contractor to tender for work for which prime cost sums are included, but only if the archi-
tect is willing to accept a tender – there is no right to be able to tender. If his tender is accepted, he
would not normally be allowed to sub-contract the work. Clause 11then applies to this part of the work
– valuations are treated as though the work was originally priced by the contractor as part of his tender.

Relevant Clauses – GC/Works Form of Contract

Clause 30 is equivalent clause 27 of the JLC Form. There are a number of significant differences.

* Provisional sums, not prime cost sums are included to provided for nominated sub-contracts.
The D.B. is expressly empowered to omit such provisional sums ( and prime cost sums for no-
minated suppliers) without payment of loss of profit to the contractor.
* The discount for cash is 5%, not 2.5% (sub-clause [1])
* There is no requirement for the D.B. to issue a certificate of non-completion of nominated sub-
contract works if the sub contractor causes a delay. Otherwise, clause 30 operates similarly to
clause 27 of the JLC Form.

3.3.3
3.3. Nominated Sub-Contractors
Fig 3.3.1 Specimen A.I nominating a sub contractor

NOMINATION OF SUB-CONTRACTOR FOR………………………………WORKS

Please accept the tender from (name) dated (date), for the ………………………… sub-contracts works
as provided for by the Prime Cost sum (item) in the bills of quantities.

Omit P.C. sum, bill item ref………………………………………… on (page) of the bills of quantities.

Add the sum of K……………………………………… as shown in the above tender.

We enclose copies of correspondence relating to this sub-contract including the drawings, specification
and invitation to tender for the sub-contract works, and the tender returned.

Please advise when you have entered into sub-contract, which should be under the “green form” sub-
contract conditions for where the sub-contractor is nominated under the JLC/ZIA form of Building
Contract. We require a copy of the completed form of agreement for our records.

This instruction is issued under clause 27 of the contract.

Copy to employer, clerk of works, Q.S. e.t.c.

3.3.4
3.4. Nominated Suppliers
Nominated suppliers are specialist firms nominated to supply goods or materials to be fixed by the con-
tractor, against the provision of prime cost or provisional sums in the contract bills.

Nomination may be held to be reasonable where:-

- goods are required of a particular quality or design and/or from a particular source or
- the employer desires to purchase on certain terms

The architect must issue instructions concerning nominations. Where goods and materials are only
available from one source they will not be classed as nominations unless a provisional cost sum has
been included in the contract.
If the nominated supplier delays the contract through late supply of goods , providing that the contrac-
tor has not contributed to the delay, the contractor will not be entitled to an extension of time, but he
must recover any loss and expense through the supplier.

The contractor is entitled to reject nomination of a supplier who is not willing to enter a binding con-
tract of sale which guarantees delivery to the contractor‟s programme. The architect should ensure that
the tenders for supply of goods and materials are on commercial terms fully compatible with the terms
of the contract.

Relevant Clause – JLC(ZIA) Form of Contract

Clause 28

The following………….…shall apply…………….…in respect of any goods or materials to be

fixed by the contractor.

28(a)
Makes provision for nominations to arise out of prime cost and Provisional Sums, which must include a
discount of 5%.

28(b)
The sales contract for the supply of goods should include the following provisions:-
i) The goods must be to the satisfaction of the architect
ii) The supplier must replace faulty goods and pay the contractor‟s direct loss and expense arising
from faulty goods, providing that
a) the contractor should not have discovered the fault before fixing
b) the faults were not due to the contractor‟s abuse or neglect
iii) Deliveries are to be made in accordance with the contractor‟s programme
iv) The supplier allows the 5% discount for settlement within 30 days
v) Delivery will not be required if the contract is determined

3.4.1
3.4. Nominated Suppliers
Relevant Clauses – GC/Works Form of Contract

Clause 31 is equivalent to clause 28 of the JLC Form. There are a number of significant differences:-

* There is provision for payments to be made within 14 days rather than 30 days.
* The D.B. may require evidence that the supplier has been paid, and if he has not, can pay the sup-
plier direct.
* The D.B. may certify the release of retention to the supplier in advance of the release of retention
for the main contract.
* The contractor may in certain circumstances tender for the supply of the materials or goods.
Otherwise, clause 31 operates similarly to clause 28 of the JLC Form.

Fig 3.3.1 Specimen wording for an AI nominating a supplier of goods or materials

NOMINATION OF SUPPLIER FOR……………………………………………………

Please accept the tender from (name) dated (date), for the supply of ………… … …………as
provided for by the Prime Cost sum (item) in the Bills of quantities.

Add the sum of K…………………………………… as shown in the above tender.

Omit the sum of K………………………………… , bill item (ref”) on (page) of the bills of
quantities.

We enclose copies of correspondence relating to this tender including the schedule of mate-
rials, specification, and invitation to tender for the supply, together with the tender returned
and correspondence relating to the terms of the contract of sale.

Please advise when you have placed your order for these materials. We require a copy of
the order and contract of sale for our records.

This instruction is issued under clause 28 of the contract.

Copy to the Employer,

Quantity Surveyor,
Clerk of works.
Consultants

3.4.2
3.5. Access for the Architect
The architect must have reasonable rights of access to the site and to the contractor‟s premises in order
for him to ensure that the contract conditions are being complied with. In the absence of specific provi-
sions, a right of access will be implied. Most building contracts make specific provisions for the archi-
tect to have access.

Contracts do not normally make provision for the employer to have access by right. It may be helpful
to suggest that if the employer wishes to visit the site, he should be accompanied by the architect. This
would be in the interests of safety, and enable the employer to be properly informed about the work.

Legitimate access is usually confined to working hours. Access usually extends to the yards of works
of all sub-contractors for the purposes of inspection.
Relevant Clauses – JLC(ZIA) Form of Contract

Clause 9

The architect…………shall at all times………..have access the work-

shops………..…where work is being prepared for the contract.

Relevant Clauses – GC/Works Form of Contract

Clause 22 is similar to clause 9 of the JLC Form above.

3.5.1
3.6. Person-in-Charge
The contractor is wholly responsible for site supervision, which must be constant and proper. He is re-
quired to appoint a competent person-in-charge. If he does not appoint a competent person the architect
should send an appropriate letter.

This person would normally be designated general foreman or site agent. He should keep a detailed site
diary recording weather and site conditions, deliveries, plant and equipment, details of the work force,
information received or outstanding, visitors to the site, progress of work related to the programme, and
is responsible for safety of the site. He should be present at the initial project meeting and at all subse-
quent progress and technical meetings and site inspections. He should be fully conversant with the
main conditions of the contract and understand procedures for monitoring progress, quality control,
A.I‟s, valuation etc.
Relevant Clauses – JLC(ZIA) Form of Contract

Clause 8

The contractor shall constantly keep upon the works a competent English speaking
foreman-in-charge and any instructions given to him shall be deemed to have been
given to the contractor.

The foreman must have full delegated authority of the contractor to accept the architect‟s instructions.

Relevant Clauses – GC/Works Form of Contract

Clause 21

The Contractor shall provide………..all necessary superintendence……….and autho-

rized agent or representative approved by the D.B……………constantly on the works.

The architect is not responsible for the supervision of the works, nor the quality of the work on site.
The contractor should name the appointed foreman before the work starts, and must obtain the archi-
tect‟s approval to the appointment and any change.

3.6.1
3.7. Exclusion from the works
The architect may occasionally be required to exclude a person or persons from the works. This could
be for incompetence or misconduct, or any other good and sufficient reason. The word “person” may
be taken to mean individuals or companies.

This provision should only be used with discretion, and never unreasonably or vexatious. It is better to
raise matters of concern with the contractor, and ask for his intervention, reserving this provision as an
action of last resort. The architect is not required to give reasons in the written instruction, and would
be unwise to do so.

Relevant Clause – JLC(ZIA) Form of Contract

Clause 6(5)
 The architect may…issue instructions requiring dismissal from the works of
any person…

The architect should use the word “exclude” in his written instruction, so as not to risk conflict with
labour laws.

Relevant Clauses – GC/Works Form of Contract

There is no prevision for the D.B. to exclude any person from the works.

3.7.1

3.8. Architect’s Instructions

In most contracts only the architect has the power to issue instructions. All instructions from the em-
ployer and consultants must therefore be channeled through him.

The architect‟s powers to issue instructions are limited by the terms of the contract. The contractor is
only required to comply with valid instructions.

The architect has discretionary powers to issue some types of instruction (“may” issue), and is obliged
to issue others (“shall” issue). Failure to issue such instructions within the specified time, or reasonable
time, could constitute a breach of contract by the employer thorough the architect.
Instructions must be in writing, and the architect should agree with the contractor at the outset what
will constitute a “proper” instruction, otherwise it may be claimed that such things as minutes, letters
and faxes have the status of instructions. The wording of instruction should be checked to ensure it is
clear and unambiguous.

Consider carefully the consequences in terms of disruption, delay and increased costs, before issuing
any instructions.

The contractor may require the architect to specify the provisions of the contract the instruction is is-
sued under. The architect is therefore advised to state the provision on the A.I.

The contractor must carry out valid architect‟s instructions without delay. If the contractor fails to carry
out an instruction, the architect should, within a reasonable time, send out a notice requiring com-
pliances. This should draw the contractor‟s attention to the likely consequences of continued non-
compliance. If the non-compliance continues for a further seven days, the employer may engage anoth-
er person to carry out the instruction and recover all costs from the contractor. If the employer does not
wish exercise this right immediately he should write reserving right to do so later.

It is recommended that the standard instruction from is used for all communication with the contractor
requiring compliance with a condition of the contract, and to confirm all site directions. Oral instruc-
tions should be confirmed within seven days, after which the contractor may confirm the instruction
himself. The architect then has seven days within which to dissent. Where work has been carried out by
the contractor without written confirmation, the architect may confirm this at any time up to the issue
of the final certificate.

Standard instruction forms should be used for instructions which involve variations and those that do
not.

3.8.1
3.8. Architect’s Instructions
Relevant clauses – JLC(ZIA) Form of Contract

Clause 2(1)

The contractor shall…comply with all instructions…in respect of which the architect
is expressly empowered.

Relevant Clauses – GC/Works Form of Contract

Clause 2

The D.B. may …issue…written instructions…in respect of which the architect is ex-
pressly empowered.
Fig 3.8.1 Table of valid instructions and enabling clauses

INSTRUCTION JLC FORM GCWORKS

Discrepancies or divergences cl. 1(2) cl. 2(ii)

Statutory requirements cl. 4(1) none
Levels and setting out cl. 5 cl. 13
Materials, goods and workmanship (vouchers) cl. 6(2) cl. 20
Opening up and testing cl. 6(3) cl. 20
Removal of goods or materials cl. 6(4) cl. 2(iv)
Exclusion from the works cl. 6(5) cl. 2(iv)
Royalties and patent rights cl. 7 none
Person in charge cl. 8 cl. 21
Access to works cl. 9 cl. 22
Clerk of works cl. 10 None
Variations cl. 11 cl. 24(ii)
Consent to remove goods from site cl. 14(1) cl. 24(i)
Practical completion and defects liability cl. 15 cl. 12
Partial possession cl. 16 none
Domestic sub-contractors cl. 17 cl. 28
Insurance of person or property cl. 19 cl. 34
Insurance of works cl. 20 cl. 35
Postponement cl. 21(2) cl. 2(v)
Extensions of time cl. 23 cl. 38
Hostilities cl. 32 none
War damage cl. 33 none
Antiquities cl. 34 cl. 16
Nominated sub-contractors cl. 27 cl. 30
Nominated suppliers cl. 28 cl. 31
Conditions of employment none cl. 18

3.8.2
3.8. Architect’s Instructions

Fig 3.8.2 Specimen letter to contractor following failure to comply with an A.I.

Send by recorded delivery:

In accordance with clause 2(1) of the contract, we give notice that you have not compiled with archi-
tect’s instruction (no.) of (date) and if within seven days of receiving this letter you do not do so, the
employer may engage others to carry out the instruction.

All costs incurred in engaging others to carry out the instruction may be deducted from monies due to
you, or may be recoverable as a debt.
Copies to employer, quantity surveyor, consultants, clerk of works.

3.8.3
3.9. Variations
In building contracts the architect‟s power to order variations to the work must be expressly stated. The
term “variation” refers to a change in the type or quantity of work which is to be carried out.

The fundamental nature of the building cannot be varied by means of a variation order, nor can the arc-
hitect vary the terms of the contract.

The architect can sanction a variation made by the contractor without authority.

Significant variations may result in a valid claim for an extension of time. Additional costs may arise
from:-
a) The cost of the work
b) The extension of the contract period.
c) Reimbursement for the disturbance to the contractor‟s programme.

Relevant Clauses – JLC(ZIA) Form of Contract

Clause 11(1)
The architect may issue instructions requiring a variation…

Variation are valued:-

- Preferably by using the rates for works of a similar nature in the contractor‟s priced bills. If this is
not possible then
- The quantity surveyor should agree to fair valuation, usually by reference to work of a similar na-
ture in other projects. If this is not possible, then
- The work is valued on a day works basis.

Contractor‟s claims for loss and expense arising from the variation are provided for under sub-clause
11(6), and may include costs arising from disturbance to the contractor‟s programme as well as cost
due to an extended contract period.

Relevant clauses – GC/Works Form of Contract

Clause 2 (i)

(cl…2) The D.B. may……issue……written instructions……in regard to……

(cl. 2[I]) the variation……of the design, quality or quantity of the works……

The provisions for valuations and assessment of contractor‟s direct loss and expense claims are similar
to clause 11 of the JLC (ZIA) Form.

3.9.1
3.10. Provisional sums
According to SMM5, the standard method of measurement in Zambia, the definition of a provisional
sum is:-

“……. A sum provided for costs which cannot be entirely foreseen, defined or detailed at the time when
tendering documents issued.”

The definition of a Prime Cost sum is:-

“……. A sum provided for work or services to be executed by a nominated sub-contractor, a statutory
body or a public undertaking…or a nominated supplier.”
The term “contingency” which is often used, has no official definition. There is no reference to it in the
standard forms of contract.

Relevant Clauses – JLC(ZIA) Form of Contract

Clause 11(3)

The Architect shall issue instructions in regard to the expenditure of all prime
Cost and provisional sums…

The architect is required to issue instructions regarding the expenditure of all provisional sums.

Relevant Clauses – GC/Works Form of Contract

Clause 29

Provisional sums are included in the contract to provide for nominated sub-
contractors… or for work to be executed by the contractor. Prime Cost items are in-
cluded in the contract to provide for work to be executed by the contractor. Prime
Cost items are included in the contract to provide for nominated suppliers…

The definitions thus vary technically from SMM5 and the terms used in the JLC Form.

Under this prime cost and provisional sums are dealt with “at the discretion of the D.B.”, and the
amounts can be deducted if not used without allowance to the contractor for loss of profit.

3.10.1
3.11 Setting out
The contractor is responsible for setting out the works accurately. Boundaries should be carefully de-
fined and exact locations agreed. The architect is responsible for ensuring the contractor is given accu-
rate information about levels, dimensions etc to enable him to set out. The architect must issue instruc-
tions if the contractor informs him of errors in the drawings.

If the contractor fails to set out the work accurately he will be in breach of contract and will have to
correct errors at his own expense. In practice the employer may be prepared to “trade off” a non-
critical error against as appropriate reduction in the contract sum. Acceptance of errors in setting out is
however the employer‟s option and his instructions should be obtained in that event.
Where matters such as contravention of consents, trespass, infringements of rights of light etc are in-
volved, the architect should make necessary investigations and advise the contractor accordingly.

Architects should resist requests to “approve” the contractor‟s setting out. Provided he is given ade-
quate and accurate information, responsibility for accuracy rests with the contractor. Agreement to
check the contractor‟s setting out should be subject to the proviso that doing so does not relieve the
contractor of his responsibility for any errors that later become apparent.

Relevant Clauses – JLC(ZIA) Form of Contract

Clause 5
The Architect shall determine any level required…and furnish…accurately dimen-
sioned drawings…as shall enable the contractor to set out the works… The con-
tractor shall be responsible for and …at his own cost, amend errors…

Relevant Clauses – GC/Works Form of Contract

Clause 13 is equivalent to clause 5 of the JLC Form.

3.11.1
3.12 Clerk of Works
The role of the clerk of works is limited by the terms of the contract to that of inspector on behalf of the
employer. Subject to the form of contract, the employer is entitled to appoint a clerk of works, and the
contractor is obliged to give him access.

The clerk of works is not usually empowered to give instructions.

The contract documents should describe the accommodation, equipment and facilities which the con-
tractor is required to provide for the clerk of works.
The clerk of works should be employed direct by the client. The architect should advise on the selec-
tion of a suitably qualified and experienced person.

The clerk of works is normally under the direction of the architect, who is responsible for briefing and
supervising him.

Relevant Clauses – JLC(ZIA) Form of Contract

Clause 10

The Employer shall be entitled to appoint a clerk of works

Directions given by the clerk of works are of no effect unless confirmed in writing by the architect
within two working days. If a longer period is necessary, perhaps for reasons of communications, this
should be agreed at the outset. Once confirmed directions have the status of architect‟s instructions.

Relevant Clauses – GC/Works Form of Contract

There is no specific reference to the role of clerk of works in this form. The Director of Buildings is
empowered as the inspector. However, the D.B. may authorize persons to act on his behalf (clause
1[vii]), and therefore a clerk of works appointed by the D.B. has full authority under the contract. The
precise terms of reference and procedures to be followed regarding confirmation of directions should
be agreed at the outset as they are not explicit in this form of contract.

3.12.1
3.13 Work Outside The Contract
The employer may wish to take part of the work direct, or have work carried out by others during the
time that the contractor is in possession of the site. Any such requirement should be included in the
contract documents, and the contractor may then be expected to have made an appropriate allowance in
his tender.

Where the employer‟s intention to carry out such work is not known at the time of tender such work
may be undertaken by agreement.
The work concerned should be carefully described and the responsibilities of all the parties specified,
including the attendances required of the contractor.

If such persons cause a delay to the works the contractor may be entitled to an extension of time (clause
23 [h]) with costs (clause 24 [d]). The contractor has no responsibility for the supervision or co-
ordination of work outside the contract, therefore particularly careful monitoring is required of the arc-
hitect if costly delays are to be avoided.

Relevant Clauses - JLC [ZIA] Form of Contract

Clause 29

The Contractor shall permit the execution of work not forming part of this contract by artists,
tradesmen and others engaged by the employer.

The employer is responsible for “Third Party” insurances (clause 18 risks) for persons employed direct-
ly by him. The contractor‟s own insurances may be affected by the carrying out of work outside the
contract, and the contractor shall be asked to check this.

Relevant Clauses - GC/Works Form of Contract

Clause 33 is equivalent to clause 29 of the JLC Form.

Fig. 3.12.1 Specimen letter requesting agreement to work being undertaken by the employer

The employer wishes to carry out the work described on them enclosed drawings between (date) and
(date), subject to the following conditions:-

(1) The employer‟s contractor‟s will provide all materials, tools power and labour including off-
loading.
(2) All waste and rubbish will be cleared by the employer‟s contractor
(3) Any minor attendance required from yourselves will be covered by an architects instruction

The employer will be grateful for your consent to this additional work. Please advise if additional in-
surance will be required.

3.13.1
3.14 Inspection and Tests
Realistic provisional sums should be included in the contract to cover the costs of routine and specif-
ic tests required, and the cost of a certain amount of opening - up to ensure that standards are in ac-
cordance with the contract.

The architect has the power to order the opening up of any work covered up, and the testing of
any work, goods or materials. If the tests prove to be satisfactory the cost is borne by the employer -
if not satisfactory,
Relevant Clauses - JLC/ZIA Form of Contract

Clause 6 {1}

All materials, goods and workmanship shall.........be {as}..........the

The contractor is required to produce evidence (vouchers) on request to show that goods and materials
are as supplied.

Where work is found not to be in accordance with the contract several courses of action are possible:-

1) The architect may order removal of work or materials which are not in accordance with the con-
tract requirements (clause 6 (4). The quantity surveyor must be informed as the work may have
been included in a valuation.

2} The architect may, after consultation with the client, allow the work or materials to remain. This
must be confirmed in writing, and where goods or work of inferior quality are accepted an ap-
propriate deduction should be made from the contract sum. Defective work likely to have an ad-
verse effect on the performance or value of the building should not be accepted.

3} The architect may consider proposals for remedial work which will bring the work into com-
pliance with the contract. Details of the remedial work into compliance with the contract. Details
of the remedial work required should be confirmed in writing. Remedial work should only be
accepted subject to there being no additional cost or delay to the contract.

Relevant Clauses - GC/Works Form of Contract

Clause 26 requires the contractor to notify the D.B. when work is complete which will subsequently
be covered up, to enable the work to be inspected and measured. It also gives the D.B. authority to
order opening up and inspection. If the contractor does not offer the opportunity for work to be in-
spected, the D.B. is entitled to order opening up at no cost to the contract even if the work turns out
to be satisfactory.

Clause 2 {iv} empowers the D.B. to order the removal of work not in accordance with the contract.

3.14.1
3.14 Inspection and Tests
Fig 3 . 14 0 Specimen wording for an A.I. requiring work to be opened up for inspection.

OPENING UP OF DRAIN FOR INSPECTION

Please open up the drain run between manholes 2 and 3 and arrange for joints to be inspected and a
pressure test to be carried out at (time) on (date) when we will be present on site to inspect.

This instruction is issued in accordance with clause (6[4] or 26[ii] as appropriate) of the contract.
Fig. 3014.2 Specimen wording for an A.I accepting work not in accordance with the contract.

WORK NOT IN ACCORDANCE WITH THE CONTRACT

Following our discussion on site, and with the agreement of the employer:

(1) You are instructed to leave the site boundary wall with the pier spacing as constructed. All re-
maining boundary wall to the frontage is to be constructed to match. No deduction from the con-
tract sum is thought to be appropriate.

(2) As direct consequence of allowing the boundary wall to remain you further instructed to:-

(a) Amend the brackets for the security lighting in accordance with attached drawing
no.............
(b) Amend the detail of the pre-cast coping in accordance with attached drawing no.
...................

We confirm that these variations are at no cost to the contract and that no extension of time will
be given.

Fig 3.14.3 Specimen wording of A.I. requiring removal of materials from site.

You are instructed to remove from site all quarry tiles bearing the name “craze-o-tile III”. These are not
as specified and do not conform to class I of B.S. 1286 as required.

This instruction is issued in accordance with clause (6(4) 2[iv] of the contract

Copy to: Clerk of works, quantity surveyor....................

3.14.2
3.15 Postponement of work
Unless expressly provided for in the contract, the employer has no power to postpone any work.JLC
and GC / Works contracts include provision for postponements.

Provisions for postponements should not be used to cover delays in giving the contractor possession of
the site; a specific agreement and new dates for possession and completion are required (see section
2.1.)
The client must be consulted before issuing an instruction ordering a postponement, as there may be
significant financial and programme implications.

Instructions must be carefully worded. For example, an A.I. requiring the contractor to change his se-
quence of operations might be construed as an instruction to postpone part of the work, as might a letter
agreeing that a hold-up in supplies means that not much work can usefully be done.

Relevant Clauses - J L C ( Z I A ) Form of contract

Clause 21 ( 2 )

The architect may issue instructions in regard to the postponement of any work to be executed
under the provisions of this contract.

This may be part or even the whole of the works. It is not held to include postponing possession of the
site.

The contractor may be entitled to an extension of time under clause 23(e) with costs under clause 24(e)

Relevant Clauses - GC / Works Form of Contract

Clause 2 (v) is equivalent to clause 21 (2) of the JLC form.

Fig 3.15.1 Specimen wording for an A.I. requiring the postponement of work

POSTPONEMENT OF WORK

All work to the laundry block is to be suspended immediately, pending a report on funding for plant
and equipment of improved specification. Work on this block is not to be resumed until further notice.

The area should be made safe and secure until work is re - commenced.

This instruction is issued in accordance with clause (21[2] or 2[2v] as appropriate) of the contract.

3.15.1
3.16 Watchpoints
Sub - contracting
* Check the written request from the contractor asking you to approve sub-contracting. It should:
- refer to the contract clause
- identify precisely the work to be sub-contracted
- name the firms of sub-contractors proposed
- request written consent to the sub-contractor
 Make your own enquiries about the firm proposed

Collateral agreements
* Recommend in writing that the employer enters into a collateral agreement with sub-contractors
whenever an element of design is involved.

Nominations
* Only nominate for a good reason. Make sure the invitations to tender for nominated works is
complete in matters of contract terms and conditions, programme periods, special attendances etc.

* Do not “approve” Sub-Contractors drawings - use the word “comment“ when making your ob-
servations. Restrict your written comment to matters of coordination and integration into the
overall design. All comment must be made via the contractor once he is appointed.
* When making a nomination provide the contractor with all the information available on the sub -
contract tender. Check that a proper sub-contract is entered into using the correct (green) form.
* Remember that running a job with sub-contractors will involve you in complex administrative
procedures. Read them carefully and ensure they are followed meticulously.
* Identify payments due to nominated sub-contractors separately on certificates, and inform each
Sub-Contractor. Follow up to ensure that payments are made by the main contractors, and if ne-
cessary make arrangements for the employer to pay direct.
* If the sub-contractor fails to complete on time, wait for formal notification from the contractor.
Investigate the matter thoroughly and ensure that no valid reason for an extension of time has been
overlooked. Then, and only then, you should issue a certificate of non-completion.

Administrative procedures
* Establish firm administrative procedures at the outset. All instructions must be issued by the arc-
hitect. Make them prompt, clear, unambiguous and in writing - use the standard form and ensure
the necessary people receive their copy.

Opening up Testing
* The architect has powers to have completed work opened up… Include an adequate provisional
sum in the cover testing. Be firm but reasonable in you requirements for testing - remember if the
work turns out to be satisfactory the contractor may have a valid claim for an extension of time
with costs.

Site inspections
* Carry out all site inspections methodically and keep meticulous records

3.16.1
4.0 PAYMENTS

CONTENTS

Page No(s)
4.1 Contract Sum 4.1.1

4.2 Progress Payments 4.2.1 - 4.2.2

4.3 Fluctuations 4.3.1 - 4.3.2

4.4 Loss and Expense 4.4.1 - 4.4.2

4.5 Certificates After Completion 4.5.1

4.6 Final Certificate 4.6.1 - 4.6.2

4.7 “ Watchpoints” 4.7.1

4.1 Contract Sum

In a lump sum contract the employer pays the contractor an agreed sum for the work to be done.

The sum may be adjusted (up or down) to accommodate provisional sums, variations, fluctuations, loss
and expense claims and so on.
The contractor‟s tender figure will not become a contract sum until it is accepted as such. There are
accepted procedures for dealing with errors in tender figures, based on the NJCC Code of Procedure
for competitive tendering. If errors in the tender are so great as to make the tender unreliable the tender
is usually given the option of withdrawing his tender or standing by his original tender figure.

Relevant Clauses - J L C ( Z I A ) Form Of Contract

Clause 1 3

The contract sum shall not be altered............otherwise than in accordance with the express provi-
sions of these conditions.…....any error…......shall be deemed to have been accepted by the par-
ties............

Under clauses 11 (5) and 24 (1) any adjustments to the contract sum under the contract conditions are
made immediately and are reflected in subsequent interim certificates.

Relevant Clauses - GC ? Works Form Of Contract

Clause 7

The Contractor shall.....satisfy himself as to the correctness and sufficiency of his tender......

There is no specific mention in this clause that the employer must also regard the contract as fi-
nal.

4.1.1
4.2 PROGRESS PAYMENT
In all building contracts it is normal practice to make payments to the contractor as work
proceeds. Contractors depend on cash flow. Without a satisfactory cash flow contractors will have
to borrow money to finance their operations, and interest charges, which are large, will be a factor he
must take into account when tendering.
It is usually agreed that valuations will be at periodical intervals - one month is the norm. Other
intervals, or payments at specific stages of the project might also be agreed. Whatever the interval,
the agreement must be confirmed at the outset. It is necessary for the employer to know when he
will be expected to make payments and approximately how much those payments will be, in order
for him to plan his cash flow.

Valuations will normally be followed shortly after by the issue of a certificate. The roles of the
quantity surveyor and architect are quite distinct, and the figure the architect certifies on the Interim
Certificate is not necessarily the same as the quantity surveyor‟s valuation - for example, the archi-
tect may exclude from the valuation workmanship or materials not in accordance with the contract.

Relevant Clauses - JLC (ZIA) Form Of Contract

Clause 3 0 (1)

At the period of interim certificates......the architect certificates......the architect shall issue a certif-
icate a certificate stating the amount due.....and the contractor shall be ......entitled to pay-
ment.....within the period named in the appendix.........

The appendix should always be completed. The normal period of interim certificates is one (calen-
dar) month, and the period for honouring of Certificates is normally 14 days (from presentation by
the contractor of the original copy of the certificate, not from the date of issue). All certificates are
issued to the employer, with a copy to the contractor. It is important that the contractor is aware
of the details of the entries in the appendix when preparing his tender. In the absence of other in-
formation in the tendering documents he is entitled to assume the norm.

The amount certified should be the total value of the work properly executed, including the valuation
of variations, provisional sums expended, fluctuations, claims for loss and expense agreed, the value
of materials and goods properly delivered to site and protected, and in certain circumstances, mate-
rials and goods off - site.

4.2.1
4.2 PROGRESS PAYMENT
The architect deducts the retention percentage as stated in the appendix from the value of the work to
arrive at the amount certified as due for payment. The normal retention percentage is 5%, reducing to
2.5% on practical completion. The balance of the retention fund is certified when the defects period
ends on the defects are made good whichever is the latter.
The parties to the contract may agree a limit to the retention fund. This is useful where a higher ini-
tial retention rate is required. Initial retention of 10% of the value of the work is common, with a limit
to the retention fund of 5% of the contract value.

The retention monies may be held by the employer or placed in a deposit account in the joint
names of the contractor and the employer. The option clause 4 (A) 0r 4(B) should be deleted as
appropriate.

Relevant Clauses - GC / Works Form Of Contract

Clause 41

The Contractor shall....be entitled to a certificate....monthly....Payment shall be made....within

twenty-one days of the issue of the certificate.

The period for certificates is therefore set, as in the period for honouring the certificates. The re-
tention percentage is also set by clause 4 1 (iii) as 10%, with a limit to the retention fund being set
(usually 5%)

Otherwise this clause is equivalent to clause 30 of the JLC form.

4.2.2
4.3 Fluctuations
A “fluctuating Price” contract is one which allows the contract sum to be adjusted in line with in-
creases or decreases in the cost of materials, labour and plant whilst the work is in progress.

Fluctuations can be dealt within two ways:

(a) By a “full fluctuations” recovery.
The quantity surveyor ascertains the actual fluctuations in price to the contractor by meticu-
lously checking his vouchers and invoices. This method is much criticised. Contractors main-
tain that reimbursement often falls short. This method certainly involves both the contractor and
quantity surveyor in large amounts of paperwork and checking, and is probably subject to er-
ror and abuse in some instances.

(b) By adopting a formula

Here the fluctuations are estimated theoretically, by reference to set of indices. There is at
present no generally accepted formula, though there are discussions taking place to try to estab-
lish a formula method appropriate to the industry in Zambia.

Unless the conditions include a “freezing” provision, fluctuations remain payable throughout the du-
ration of the contract - even in the event of his failure to complete by the completion time.

Relevant Clauses - JLC (ZIA) Form Of Contract

Clause 31 (A)

The contract sum shall be deemed to have been calculated........... and shall be subject to adjust-
ment.... ...in the events specified.

The contractor‟s prices are assumed to be used on Statutory Regulations governing taxes and labour
current at the time of tender, including NAPSA and Workmen‟s Compensation Fund contributions.
Only the net amount of any increase (or decrease) in taxes, statutory rates of pay, allowances or contri-
butions is allowable.

The contractor is required to submit a basic price list of goods and materials current at the time of ten-
der. The net amount of any increases over and above these basic prices is allowable under this contract.
Increases in items not on the basic price list may not be allowed. The contractor therefore needs to in-
clude on his list all items he may need for the works, including plant and fuel.

There is no provision under the contract terms for recovery of increased costs for overheads, and all
allowable increases are net - that is, the contractor cannot claim a proportional increase in his profit.
There is no provision at present for a formula method of assessing fluctuations.

The contractor is required to ensure that any sub - contracts incorporate similar provisions to this
clause.

4.3.1
4.3 Fluctuations
Fluctuations under this clause do no apply automatically to nominated sub - contractors or Suppli-
ers. Particular provisions for fluctuations must be made for each nominated sub - contract (similar
provisions to this clause may be adopted). Fluctuations do not apply automatically to nominated
sub - contract work undertaken by the main contractor, and do not apply day works.
Relevant Clauses - GC / Works Form of Contract

Clause 45

...............the contractor shall.....take the risk of any rise and fall in the price of materials or goods
incorporated in the permanent works............except.............

Except for the following, provisions are similar to clause 3 1 of the JLC Form :-

Clause 45 (iv) precludes adjustments for the fluctuations in the exchange rate of the Kwacha, (ex-
cept in so much as the fluctuations eventually reflect in the market price of goods and materials.)

By virtue of the reference to permanent works, fluctuations may not be allowable to goods and ma-
terials used in temporary works such as scaffolding, or for items such as fuel, though where it is fair
and reasonable the quantity surveyor will make an allowance for items like timber in formwork,
which may not be usable. The situation with regard to nominated sub - contractors etc. is not specif-
ic.

Under the GC / Works Form, Clause 18, the contractor is obliged to offer conditions of service not
less than those for government employees. Increases in labour costs in line with the statutory wage
rates etc. are therefore automatically allowed under this clause rather than the Fluctuations clause..

4.3.2
4.4 Loss and expense
The contractor may suffer loss and expense if the regular progress of the works is not as he antic-
ipated at the time of tender. If this is the result of some action of the employer, then he is likely to
claim compensation.
The contract may have express terms which provide a procedure for loss and expense claims. If it
does not the contractor may still bring a common law claim for damages, either by arbitration or litiga-
tion.

Direct loss should be distinguished from consequential loss, which is a loss which does rise directly
and naturally from the event. Direct loss and expense includes matters such as site overheads, head
office overheads, loss of profits, loss of productivity, and interest or finance charges. Consequen-
tial losses, such as the contractor not being able to tender for the other work due to his resources
being tied up ton the delayed project, are normally recoverable.

The Claimant has a duty to mitigate his loss. For example, if the contractor‟s notification of a delay
was later than it should have been, thus preventing the employer from taking action to reduce or
avoid the delay, or if by better management of labour and resources the loss could have been re-
duced, the contractor has clearly failed to mitigate his loss.

Delay ( the assessment of time allowable ) and disturbance 9 the assessment of costs ) are two dis-
tinct matters and should be dealt with separately.

Forms of contract do not usually make provision for the architect to asses loss and expense claims
arising from disruption caused by the employer failing to honour certificates within the set period.

Relevant Clause - JLC (ZIA) Form of Contract

Clause 24 (1)

If upon written application.....the architect is of the opinion that the contractor has been in-
volved in direct loss and expense....by reason of the regular progress of the works.... having
been materially affected by.....

The contractor‟s application must be made in writing to the architect. The loss must be a direct loss -
consequential losses are not recoverable - and the contractor must not be able to recover his loss
through any other clause of the contract.

4.4.1

4.4 Loss and expense

The application must show that regular progress of the work has been affected by one or the other
of the following matters:-
(1) Late issue of information (for which the contractor must have applied in writing at a rea-
sonable time)
(2) Opening up for inspection, where the work turns out to have been satisfactory.
(3) Instructions regarding discrepancies in the contract documents.
(4) Delay on the part of persons directly employed for part of the works (artists and Trades-
men)
(5) Instructions regarding postponement

If the delay is caused by additional work or disruption of the programme due to a variation, the
contractor may claim for direct loss and expense, but should do so under clause 11, not Clause 24.

The contractor must provide the architect on request with information he needs to form an opinion.
An extension of time given under clause 23 will not necessary lead to a valid claim under clause 24 -
The issues are not directly connected.

Sums ascertained are added to the contract sum and reflected in the next Interim Certificate.

The provisions of this clause are “ without prejudice . “ The contractor retains his right to seek dam-
ages by means of arbitration or litigation.

Relevant Clauses - GC / Works Form of Contract

There is no direct equivalent to clause 24 in the GC / Works Form.

Clause 2 states that:

If compliance with D . B‟s instructions involves the contractor in direct loss and expense.......the
amount of such loss and expense shall be ascertained.........and added to the contract sum

Provision is therefore made for loss and expense claims for delays and disruptions due to opening up,
discrepancies in the contract documents and postponements.

There is however, no provision in the contract terms for the D . B. to assess loss and expense
claims for late supply of information, or for delays caused by persons directly employed on the
works ( Artists and Tradesmen ). The employer and contractor may of course agree an amicable set-
tlement, but if they do not the contractor must rely on arbitration or litigation to recover his losses.

4.4.2
4.5 Certificates after completion
When practical completion is achieved it is usual, subject to the conditions of contract, to release half
of the retention monies. The contract sum, as finally adjusted, will often not be known at this stage.
As the financial position becomes clearer it might become fair to release further sums, although inte-
rim certificates will not usually continue to be issued at the agreed intervals.

The architect should not attempt to deduct liquidated damages from the amounts certified. The proce-
dures set out in the contract must be followed, which require the employer to deduct the damages
himself from the amount certified.

Contracts often require the architect to issue an interim certificate within a set period after practical
completion.

Relevant Clauses - JLC (ZIA) Form Of Contract

Clause 30 (4A) or 30 (B) sub - clause (b)

On the issue of the certificate of practical completion the architect shall issue a certificate for one
moiety (half) of the retention fund............

Relevant Clauses - GC / Works Form Of Contract

Clause 41 ( iv )

The contractor shall be entitled.........to a certificate for one moiety of the retention fund upon
practical completion of the work......

There is no set time limit for issue of the certificate, but the employer is obliged to honour the certifi-
cate in the normal period.

4.5.1
4.6 Final Certificate
After the defects scheduled at the end of the defects liability period have been made good by the con-
tractor and the final contract figure is known, the architect is required to issue the Final Certificate.
A final account is drawn up, showing what amounts are to be deducted from or added to the contract
sum. Where appointed, the quantity surveyor and contractor will discuss and agree this. Contract forms
usual stipulate a period after practical completion within which the process of finalising measurement
and valuation is to be completed.

The final certificate should not be issued before the defects have been made. It is more than a last cer-
tificate for payments - it is also a certificate confirming that the works are complete in every respect in
accordance with the contract.

Relevant Clauses - JLC (ZIA) Form Of Contract

Clause 30 (4A) or 30 (4B), Sub - clause (c)

On the expiration of the defects liability period.....or on the issue of the Certificate of Making
Good Defects, whichever is the later, the architect shall issue a certificate of the remainder of the
retention fund........

Clause 30 (6)

So soon as is practicable, but before the expiration of three months from the end of defects liability
period.....or from completion of making goo defects....or from receipt of (documents necessary
for the preparation of the final account)....whichever is the latest, the architect shall issue a final
certificate......

The period of Final Measurement and Valuation is normally six months. The contractor is required to
provide all documents necessary for the preparation of the final account within a “reasonable time”
after practical completion.

The intent of these time scales is that the release of retention and establishment of the final account
should coincide, and the two payments can then be combined in one certificate.

In practice this is often not possible due to delays in the preparation of the final account. In this in-
stance the architect must issue a further interim certificate on completion of making good defects.

4.6.1
4.6 Final Certificate
The final certificate should be issued as soon as possible but never before the architect is completely
satisfied that all the defects have been made good. The effective time limit is three months from receipt
of all the information required to prepare the account, provided that a Certificate of Making Good De-
fects has been issued.

The final account may produce a balance in favour of either the contractor or the employer. In either
case payment must be made within fourteen (14) days, after which any unpaid monies are recoverable
as a debt.

The final certificate is taken as conclusive evidence in proceedings arising out of the contract that the
work has been properly carried out and completed, and that all necessary adjustments have made to the
contract sum.

Relevant Clauses - GC / Works Form of Contract

Clause 41 (v)

Upon the expiration of the Defects Liability period or completion of making good defects......the
D . B . shall issue a Final Certificate........

Under clause 23, final measurement and valuation are to be completed “as far as possible” within
three months of practical completion.

Under this form there is no entitlement release of the last moiety of retention before the issue of the
final certificate.

4.6.2
4.7 Watchpoints
Time scale for payments
* Check that the intervals between certificates and the period for honouring certificates is within
your client‟s capability. The employer must be aware of his financial commitments before en-
tering into contract and should ensure he has the resources to honour them. He should be
provided with a cash - flow forecast, which need to be updated from time to time.

Certifying
* Don‟t automatically accept the quantity surveyor‟s valuation as correct. Institute a checking
procedure and make sure that unacceptable work is not included in the certificate. You are
responsible to the client for the correctness of the certificate, not the Q.S. Remember, if the
client loses money as a result of your careless certificate he can recover the money from you !.

Off - site goods and materials

* Do not include goods off-site in valuations without good reasons in the client‟s interest, and
then take care to check that all the conditions are being allowed by the contractor.

Nominated sub - contractors

* Where there are nominated sub - contractors ask the contractor to provide you with evidence
that he is discharging payments before you issue the next certificate. Check all outstanding
matters have been resolved before issuing the final certificate..

Liquidated Damages
* If you think the employer is entitled to liquidated damages, issue the necessary certificate of
non - completion and inform the employer of his entitlement. Do not deduct damages yourself.
Remind the employer that his entitlement ceases once the final certificate is issued.

Delays V/S Disturbance

* Do not confuse a notice of delay (time related to the completion date) with applications for
reimbursement direct loss and expense (money related to disturbance of regular progress).
Extensions of time do not automatically entitle the contractor to additional monies.

Loss and expense for disturbance

* You must reach a considered opinion on all written applications for loss and expense claims.
Ensure the contractor‟s claim is valid and in accordance with the detailed provisions of the
contract.

4.7.1
5.0 Statutory Obligations
CONTENTS

Page No (s)

5.1 Statutory Requirements 5.1.1

5.1 Conditions of employment 5.2.1

5.1 Statutory Requirements

The contract conditions may reinforce the implied statutory duty of the contractor to comply with cer-
tain statutory requirement relating to building works and site operations. These include Public Health
Act, Legislation governing Health and Safety, local bye - laws and Building Regulations.

The contractor must comply with such regulations regardless of whether the requirement is express-
ly stated in the terms of the contract.

The contractor‟s responsibility for compliance is reduced once he has perfumed his duty to point any
divergence between statutory requirements and the contract documents. The architect must issue an
instruction clarifying the situation if the contractor points out a divergence between statutory require-
ments and the contract.

Relevant Clauses - JLC (ZIA) Form of Contract

Clause 4 (1)

The contractor shall comply with.......any act of parliament.........regulation or bye - law.......

Conformity with the contract documents and instructions may absolve the contractor of any liability to
the employer if the contractor has notified the architect of the divergence.

The contractor must notify the architect if he thinks a variation is required to enable the works to
comply. If the architect fails to reply within seven days he may proceed with the variation, which
will be deemed to be a variation under clause 11.

The contractor must pay all statutory charges and fees due. The cost to the contractor must be added
to the contract sum unless the item is covered by a provisional sum,, which will be adjusted accor-
dingly.

Relevant Clauses - GC / Works Form of Contract

There is no specific requirement in this form of contract, which is intended for works which Gov-
ernment is in any case the employer . Works which comply with the contract may therefore be
assumed to conform to statutory requirements or be exempt.

5.1.1
5.2 Conditions of Employment
The conditions of a contract may reinforce the duty of the contractor to comply with whatever statutory
requirements apply from time to time to conditions of employment, including statutory minimum rates
of pay, holidays, benefits and contributions to Workmen‟s Compensation and NAPSA etc. Variations
in the statutory minimum rates are treated as fluctuations under the contract.

Statutory requirements may vary from time - to -time. Forms of contract which do make specific ref-
erence to the contractors obligations in respect of conditions of employment should be checked to
ensure that the contract terms are in fact compatible with current requirements.

Relevant Clauses - JLC (ZIA) Form Of Contract

There is no clause reinforcing the duty of the contractor to comply with statutory requirements re-
garding employment.

Neither the architect or the employer is empowered to control or otherwise alter the general condi-
tions of employment on site, other than to draw the contractor‟s attention to apparent breaches of
statutory requirements.

Relevant Clauses - GC / Works Form of Contract

Clause 18

The contractor shall observe.......conditions of employment...........not less favourable than is cus-

tomary for the employer.........

The contractor is required to pay wages and operate conditions at least as favourable as those for
Government employees.

The Director of Buildings may pay wages direct if the contractor is late or defaults in payments
to his employees. Amount thus paid will be deducted from amounts due to contractor.

The contractor is obliged to recognise employees rights to join trades unions, and must display a
copy of this clause on site if requested by the D . B .

5.2.1
6.0 Injury, Damage and Insurance
CONTENTS

6.1 Injury to Persons and Property 6.1.1 -6.1.2

6.2 Damage to Adjoining Property 6.2.1

Fig 6.2.1 AI requesting clause 19 (2) a insurance 6.2.2

Fig 6.2.2 Letter re. approval of proposal 6.2.2

Fig 6.2.3 AI instructing clause 19 (2) a insurance 6.2.2

6.3 Insurance of the works 6.3.1-6.3.3

6.4 Action After Loss or Damage 6.4.1-6.4.2

Fig 6.4.1 AI following loss or damage to works 6.4.2

6.5 “Watchpoints” 6.5.1

6.1 Injury to persons and Property

Building sites and dangerous places, and substantial claims can and do arise in respect of personal; in-
jury or death resulting from accidents on site. Claims for damage to property can also be costly. The
contractor may be mainly liable for such matters but the employer cannot escape all liability simply
because the contractor is in possession of the site

The employer may be protected by indemnities from the contractor, but these will be worthless without
resources to back them. In practice this means that the contractor must be covered by insurances.

The employer may not be entirely protected by the contractor‟s indemnities and insurances. He may
still be liable for claims which arise from acts of negligence for which he, or others directly engaged by
him and not the contractor are responsible.

Contractors are required by law to take out insurance to cover their liability for accident or injury to
their own employees.

The contractor‟s liability insurance should be checked to ensure it is current and adequately covers the
indemnity given to the employer. Fixing an appropriate limit and checking the contractor‟s insurance is
a specialist matter - the architect should advise the employer to seek specialists advice regarding insur-
ances, including cover for his own liability, in all but the most straightforward of contracts.

Relevant Clauses - JLC (ZIA) Form of Contract

Clause 18

The contractor shall.....indemnify the employer........against any liability.....arising out of.......the

carrying out of the works.

The contractor is not responsible for any act or neglect of the employer or persons directly employed
by him.

The contractor is required to indemnify the employer against both personal injury and injury to proper-
ty.

Clause 19 (1)

The contractor shall maintain.......such insurances as are necessary to cover the liability of the
contractor...............

The insurances must cover liability for personal injury or death, and damage to property. The limit
of the insurance required for damage to property has to be stated in the contract bills.
.

6.1.1
6.1 Injury to persons and Property
Relevant Clauses - GC / Works Form of Contract

Clause 34 (I)

The contractor shall be solely liable for and shall indemnify.........and insure.......in respect of per-
sonal injury or death.......

Insurances are required for both personal injury and damage to property. As in the JLC Form the
contractor is only liable for his own acts, not those of others, including the employer and those
directly employed by him. If the contractor fails to maintain policies the D. B. may take out poli-
cies and deduct all costs from monies due to the contractor.

Under clause 34 (ii) the contractor is also required to maintain insurances to cover his liability un-
der the “Workmens Compensation Ordinance”

6.1.2
6.2 Damage to adjoining property
The employer may be liable to property where there has been no negligence and no default or omission
by the contractor. Insurance under clause 19 (1) / 34 (1) only applies where the contractor has been
negligent. If for example, the adjoining premises are damaged by collapse, vibration, subsidence or
changes in ground water levels the employer has no protection.

In certain circumstances it is therefore advisable for the employer to take out special insurances to
cover such risks. Such cover is usually limited, and certain type of operations or methods of working
might be specifically excluded. Other conditions may be attached, for example, requiring disclosure of
party wall agreements and notifying changes in design. It is therefore particularly important that such
policies are carefully checked and the conditions and limits are known to the architect.

Such insurances are intended to cover occurrences which could not be foresee n, not damages due to
defects in design, or damage which can be expected to arise from the method of working.

The duty of the architect to advise on this, and all other insurance matters is onerous, and the conse-
quences of incorrect or careless advice and checking of policies can be financially devastating. The
architect would be wise to advise the employer to take advice from, and have policies checked by an
insurance expert (usual the employer‟s broker ), rather than assume the full burden himself.

Relevant Clauses - JLC / (ZIA) Form Of Contract

Clause 19 (2)

The contractor shall maintain........insurance for......damage to property other than the works.........

It must be stated ion the contract bills if this insurance is required, and the limit of indemnity should
be stated. A provisional sum is usually included to cover the cost.

The contractor is not obliged to take out such insurance unless instructed. If he is instructed he
must take out a policy in the joint names of himself and the employer.

The insurer must be approved by the architect, and the policies and receipts must be deposited with
him.

If the contractor fails to maintain policies or otherwise defaults the employer is entitled to take out
policies himself and deduct the cost from amounts due to the contractor.

Relevant Clauses - GC / Works Form Of Contract

There is no equivalent to clause 19 (1) insurance in the GC / Works form.

6.2.1
6.2 Damage to adjoining property
Fig 6.2.1 Specimen wording for an AI concerning insurance under clause m19 (2) a of the
JLC form.

INSURANCE UNDER CLAUSE 19(2)a

Please obtain and send to us for consideration by the employer a proposal for insurance in
“joint names” to cover the risks set out in clause 19 (2) a of the contract in the amount en-
tered in the contract bills.

The employer reserves the right to approve the insurers.

This instruction is issued in accordance with Clause 19 (2) of the contract.

Fig 6.2.2 Specimen letter to the employer concerning approval of insurances.

Please find the Contractor‟s proposal for insurances under clause 19 (2) a of the contract.

We would advise that you should consult your own insurance broker or adviser to obtain his
opinion on the adequacy of the cover and the policy, in the light of the conditions and ex-
emption clauses it contains.

We will of course liaise closely with you adviser on the details of the contact as required.

We look forward to your comments and/or approval at your earliest opportunity.

Fig 6.2.3 Specimen A.I. instruction on a joint names policy

“JOINT NAMES‟ INSURANCE POLICY: clause 19 (2) a

Take out and maintain for the duration of the works a “Joint Names” insurance policy in ac-
cordance with attached proposal from (name) of (date), which has been approved by the
employer.

Send us soon as possible the policy and premium receipts, which will be deposited with the
employer.

Costs are to be adjusted against the provisional sum item (bill ref.) in the bill of quantities.

This instruction is given in accordance with the clauses 19 (2)a and 11(3) of the contract.

6.2.2
6.3 Insurance of the works
The contractor must complete the works, and unless there is something in the contract to the contrary
he must achieve this despite loss or damage for whatever reasons, and he must bear the cost involved.

It clearly makes good commercial sense for the works and materials on site to be adequately insured so
that in the event of loss and damage there will be sufficient funds to complete the work.

A decision has to be made pre - contract about who is to insure the works. The person insuring will
have to meet the shortfall. It is common practice to refer to such insurances as “all risks”, though this is
an imprecise term and usually means “all risks with certain specified exemptions”.

The insurance should be adequate to cover the value of full reinstatement. If there is under insurance,
any claim is likely to be scaled down in proportion. It usually costs more to reinstate a building than to
build it in the first place. In the current climate of high inflation costs will rise significantly during the
construction period, so cover needs to be kept under review. It is essential that the policies remain in
force until practical completion, and where the contract period is extended policies specific to the con-
tract must also be extended. Where the cover is provided under contractor‟s annual policies, these pol-
icies must be renewed at the appropriate time, and the architect should check that this is done.

There are two important matters which are not usually covered by insurance of the works:-

(1) Damage which arises directly from design defects. Many insurers contend that such damage is
the responsibility of the designer and should be covered under their own professional policies.

(2) Loss suffered by the employer as a result of delays to the contract as a result of loss or damage
to the works (the contractor may be entitled to an extension of time which prevents the employ-
er recovering liquidated and ascertained damages). Loss of profit or consequential loss of this
kind needs to be covered by a separate policy if required - again, the employer‟s insurance ad-
viser should be consulted.

Relevant Clauses - JLC (ZIA) Form of Contract

Either the contractor is to insure in joint names (Clause 20[A]) or the employer is to insure (Clause 20
[B]). These clauses are optional. A further option, suitable for work to existing buildings is clause 20
(c), which is applicable to works to existing buildings.

6.3.1
6.3 Insurance of the works
Clause 20 (A) New buildings, contractor to insure

The contractor shall insure.......in joint names........against loss and damage...........

A joint names policy is taken out against “ all risks”. It should cover full reinstatement value including
professional fees. It must be kept in force until practical completion.

Insurers must be approved by the architect (but see comments in section 6.2 re. approval of insurances -
inspection of the policies should be the employer‟s responsibility).

Where the contractor has an annual policy this may meet the obligation to ensure. The policy must be
appropriately endorsed and the contractor must produce evidence on request that the policy is main-
tained and endorsed. It is important that the architect calls for the policy, and has the employer check
its adequacy in all respects.

If the contractor fails to maintain policies the employer may ensure and recover associated costs.

Clause 20 (B) New buildings, Employer to insure

All work..,... shall be at the sole risk of the employer....the employer shall main-
tain.....insurance.....

If there is any shortfall in insurance the cost must be borne by the employer. It is therefore necessary
for the employer to ensure that the cover includes full reinstatement value including fees, is updated in
line with increase costs and is maintained until practical completion.

The employer may be required to produce the policies and receipts, and if he defaults the contractor is
entitled to take out policies himself and the cost is added to the contract sum.

Clause 20 (c) Existing structures

The existing structures....and the works...shall be at the sole risk of the employer......and the em-
ployer shall maintain adequate insurance against those risks.

The employer should insure for the full reinstatement value and guard against shortfall as his is the
sole risk. The contractor may be entitled to call for evidence of insurances as above.

The employer may not be able to arrange insurance cover for all the risks required. In this case ar-
rangements must be made at tender stage, and the contract should be amended accordingly.

6.3.2
6.3 Insurance of the works
Relevant Clauses - GC / Works Form of Contract

Clause 35

The contractor shall insure in joint names........against all loss and damage......

The cover has to be maintained through the period of maintenance (defects liability period), to cover
events arising before practical completion and work on completing any outstanding items.

Excepted risks are defined, and include damage caused by the client occupying a part of the premises.

Insurances are subject to approval by the employer, and the contractor must provide details of the poli-
cies and receipts for the premium.

There is no provision for the employer to ensure, except that if the contractor defaults the employer
may take out policies and deduct costs from monies due to the contractor. Nor is there special provi-
sion for works to existing buildings. The contractor is to insure, and he, clearly, should be advised of
the reinstatement value, including fees and the owner/employer‟s furniture, fixtures and fittings etc.

6.3.3
6.4 Action after loss or damage
Once the insurers have accepted a claim and unless there is anything to the contrary in the terms of
the contract, the contractor is obliged to restore damaged work, to replace or repair damaged mate-
rials, and to continue with and complete the works with “due diligence”.

The contract terms may provide for determination of the contractor‟s employment, if it is not practica-
ble to continue with the work following damage.

Where there is reinstatement, payment is best covered by separate reinstatement certificates. These
will cover the reinstatement work separately from general work, and will cease when the reinstatement
is complete.

The first interim certificate issued after the damage occurs should include the work properly done up to
the date of the damage. The contractor is paid for reinstatement out of insurance monies.

Relevant Clauses - JLC (ZIA) Form Of Contract

Clause 20 (A) (2) New buildings, contractor to insure

Upon settlement of any claim.......the contractor shall .......proceed with the carrying out and comple-
tion of the works.

Monies received from insurances are paid in installments according to the progress of restoration
work. The contractor has no entitlement to payments other than the insurance monies.

Neither party may determine the contract due to the damage

Clause 20 (B) (b). New buildings, employer to insure

The contractor shall restore work damaged.......and proceed with the carrying out and completion
of the works....

Restoration work, replacement, repair etc is deemed to be a variation, and is valued and certified as
such. The employer has the benefit of the insurance monies, and the contractor need not wait until the
claim is settled before proceeding with the work.

Neither party may determine the contract as a result of the damage.

Clause 20 (C) (c) (i) Existing structures

If no notice of determination is served.....the contractor.......shall reinstate or make good such loss

and proceed with.....completion of the works.

6.4.1
6.4 Action after loss or damage
In many instances, if the building on which alterations are being carried out is destroyed or badly dam-
aged by fire, the employer‟s reason for having the work undertaken will disappear or be overtaken by
the need for more extensive works.

Clause 20 (C) (b) (i) therefore gives both parties the opportunity to determine the contract, subject to
the action being just and equitable. Whether or not the action is just and equitable may become a matter
for arbitration if the parties cannot agree.
If there is no determination, once the insurers have carried out an inspection the contractor is obliged to
reinstate and complete the works. The contractor is reimbursed for work which has to be carried out,
which is valued as variation.

If the insurance monies received by the employer do not cover the loss, the shortfall must be met by
the employer.

Relevant Clauses - GC / Works Form of Contract

This form of contract is not specific as to the procedures to be followed in the event of loss or damage.
However the contractor has an implied duty to proceed with the works once a settlement has been
reached with the insurers, and them contractor will be reimbursed for restoration work from insurance
monies. Generally procedures will be as for an event under clause 20(A) (2) of the JLC form.

Fig 6.2.1 Specimen wording for an AI following loss or damage to works

LOSS OR DAMAGE TO WORKS

Put in hand immediately the following work:-

1 Arrange and maintain security of the works and ensure that only authorised persons are allowed
access.

2 Make all the damaged parts of the works safe and secure

3 Arrange protection of the works from any further damage or deterioration

4 Make arrangements needed to assist the insurers in their inspections

5 Ensure that all the vouchers and day work sheets are kept and submitted to us as required by the
contract

This instruction is issued in accordance with Clause 20 (B) of the contract. The restoration and repair
work will begin after the insurers have completed their inspections in accordance with the contract.

6.4.2
6.5 Watchpoints
Check the entries in the contract bills
* Ensure that the insurance requirements are clear, that the necessary provisional sums have been
included and that the sums are realistic.

Responsibility for insurances

* Obtain the client‟s instructions about who is to insure the works. If the client wishes to accept
responsibility for insurances, make sure he understands the implications of failing to insure or
under-insuring. Remind him that the party who accepts the responsibility also accepts the re-
sponsibility for any shortfall.

Special Insurance Cover

* Remember that for special insurance for property other than the works the contractor need to do
nothing without instructions from you. In the case of special insurance (clause 19 (2) (a)) the
greatest risk is generally in the first few weeks on site, and the policies might place certain re-
strictions on working practices. Arrange for special insurances to be in place before work
commences.

Insurance Cover Generally

* Make sure that the level of cover is sufficient to meet the full reinstatement value including
fees throughout the job (remember that costs will rise, possibly substantially, during the course
of the job). Ensure that cover is extended if the contract is extended.

* If the contractor insures under his annual policy, make sure his policy is endorsed, that he re-
news his policy on the renewal date, and that cover is increased as required to cover increased
costs.

Check the insurance documentation

* Pass on to the employer all policies, receipts, and documents received from the contractor con-
cerning insurances. Advise the employer to consult his insurance adviser and obtain his instruc-
tions. Although the employer should approve the policies, you should make yourself familiar
with them so that you are aware of any limitations

Actions in the event of loss or damage

* In the event of loss or damage check immediately with the contractor and agree arrangements
for:-

- maintaining the security of the site and the protection from further damage
- removal of hazards
- arranging for the insurers to inspect
- preparing a schedule of the extent of loss or damage
- demolition required and removal of debris

Remember that failing to check insurances or giving poor advice can lead to disastrous financial loss.
If the employer suffers loss as a result of your omission or neglect in this regard he may seek to re-
cover his loss from you !.

6.5.1
7.0 Determination

7.1 Determination
Fig 7.1.1 Warning notice specifying default 7.1.3
Fig 7.1.2 Letter to employer following default 7.1.4
Fig 7.1.3 Letter warning of possible bankruptcy 7.1.4
Fig 7.1.4 Letter following contractor‟s threat of determination 7.1.5
Fig 7.1.5 Letter following contractor‟s notice of determination 7.1.5

7.2 Action on determination 7.2.1 – 7.2.3

Fig 7.2.1 Letter to nominated sub-contractor following determination 7.2.3

7.3 Removal from site 7.3.1

7.4 Employer‟s Loss and expense 7.4.1

7.5 Outbreak of hostilities 7.5.1

7.6 “Watchpoints 7.6.1

7.1 Determination
It is theoretically possible, though it seldom happens, that events make the performance of a contract
possible. In legal terms the contract is said to be frustrated, and both parties are discharged from their
obligations.

It is possible foe both parties who have entered into a binding contract to terminate it by agreement – a
so called bilateral discharge.

One of the parties, either through non-performance or performing in a gravely defective manner may be
held to have repudiated (disowned) the contract. However, the contract cannot be terminated unless the
innocent party accepts the repudiation a claim for damages is likely to follow.

Where a contract allows for it either party may take action to determine. Not all building contracts
make provision for determination by either party, and the terms of the particular contract are para-
mount. Some contracts use the word “termination” rather than “determination.”

The exercise of a power of determination has to be handled with extreme care. The grounds for deter-
mination must be established beyond doubt and the procedures in the particular contract must be meti-
culously followed. The consequences of an incorrect determination could be severe and could amount
to a repudiation of the contract and lead to liability for heavy damages.

Action is required from the employer where the employer determines the contractor‟s employment and
where the contractor determines his own employment. Specimen letters in this section cover both even-
tualities.

Determination is a matter which seriously affects the employer. The architect should therefore keep
him fully informed about events which might lead to determination, and ensure he takes the best possi-
ble advice, including legal advice where necessary.

Page 7.1.1
7.1 Determination

Relevant Clauses – JLC(ZIA) Form of Contract

Clause 25 Employer to determine

If the contractor (defaults in one or more certain specified ways)…the employer….may

……determine the employment of the contractor……….

The employer may determine :-

a) If the contractor entirely suspends the work before completion
b) If he fails to proceed regularly and diligently with the works
c) If he refuses or fails to remove defective work which materially affects the works
d) If he fails to comply with the assignment or subletting requirements of clause 17

(note, in some form of contract, grounds for determination also include corruption)

For action to determine the contract to be valid the architect must:-

1) Give a warning notice by a registered post specifying the default.
2) If the default continues for 14 days, or is repeated,, the employer (note, not the architect) may
determine the contract. The determination notice should be given within ten days of the default
continuing or being repeated, and must be sent by registered post, probably through the employ-
er‟s solicitor.

The determination may be held to be invalid if the employer is at the time of the notice also in breach
of the contract, or if the action is “unreasonable or vexatious”.

Under clause 25(2) the contractor‟s employment is automatically determined if the contractor becomes
bankrupt, though it may be reinstated by agreement. Meanwhile the architect should make arrange-
ments for the site to be secured and inform the employer of all actions taken. A progress record should
be made and a financial statement should be prepared.

Determination may also arise under clause 20 (c) if loss or damage to works to existing buildings
makes it unreasonable that work should continue.

Clause 26 Contractor to determine

The contractor may determine if:-

a) The employer fails to honour a certificate within seven days of a notice from the contractor
warning of determination.
b) The employer interferes with or obstructs the issue of a certificate.
c) The work is suspended continuously for a period in excess of that stated in the appendix – nor-
mally three months where the suspension is due to loss or damage, one month for other causes.
A list of reasons for suspension is given.
d) The employer becomes bankrupt.
 Page 7.1.2
7.1 Determination
Relevant Clauses - GC / Works Form of Contract

Clause 39 Employer to determine

If the contractor shall make default in any of the following respects.....the employer
may.....determine the employment of the contractor.

The contract can be determined only if the contractor wholly suspends the work, fails to proceed
regularly and diligently, or fails to remove defective work which materially affects the works - unau-
thorised sub-contracting or assignment is not a ground for determination.

If the contractor becomes bankrupt the employer, may, by issue of a notice, determine the contract,
but determination is not automatic.

The procedures for determination are similar to those of the JLC form

Clause 40 Contractor to determine

The contractor may determine only if the work is delayed (suspended) for certain specified reasons
for more than three months. Failure to honour certificates is not a valid ground for the contractor to
determine the contract under the form.

Fig 7.1.1 Specimen warning notice to contractor specifying default

Send by required post or recorded delivery.

In accordance with clause 25 of the contract, we give you notice the you have made default in the
following respects.

(site the relevant sub-clause number and describe the default alleged)

If you continue such default for 14 days after receipt of this notice, or at any time repeat such default,
take note that the employer may, within ten days of such continuance or repetition, determine your
employment under this contract.

Copy to: Employer

Quantity Surveyor
Clerk of Works
Consultants.
 7.1.3
7.1 Determination
Fig 7.1.2 Specimen letter to the employer following continuance of default by the contractor.

Further to the warning letter we sent to the contractor of (date), copied to you, we regret to inform you
that the contractor has continued in the default specified. We have received no satisfactory explanation
from the contractor for this continuance.

We consider that you now have the right to determine the contractor‟s employment in accordance with
clause 25 of the contract. This is not an action to be taken lightly and we advise you to discuss the
matter with your legal advisers as soon as possible. We supply them with any information they require.

Under the contract only you (or your legal adviser) may serve a notice of determination. It must be sent
by recorded post.

We remind you that in the event of determination the contractor‟s responsibility for insuring the works
ceases. You will therefore need to arrange cover until another contractor is appointed.

Fig 7.1.3 Specimen letter to employer warning of difficulties which could suggest bankruptcy
and automatic determination of the contract.

Further to our telephone call today about the contractor‟s unexplained withdraw from the site, we now
understand he may be in financial difficulties which may make it possible for him to continue
with the contract. We are trying to find out more information.

If the contractor is unable to continue due to bankruptcy or going into receivership, the contract is au-
tomatically determined (though you may reinstate and continue the contract by agreement)

If automatic determination occurs, the contractors liability for insuring the works ceases. We suggest
that you contact your insurance advisers immediately to arrange for appropriate cover to take effect if
and when determination occurs.

If automatic determination occurs it will also be necessary to take immediate steps to secure the
site and protect the works and materials. Please let us have your authorisation to take the necessary
measures should they be needed.

We will keep you fully informed of developments.

Copy to quantity surveyor, consultants

 7.1.4
7.1 Determination
Fig 7.1.4 Specimen letter to employer concerning a threat by the contractor to determine his
employment.

We regret to inform you that the contractor is threatening to determine his employment under the con-
tract. He alleges he is justified on the following grounds:-

(cite the sub - clause and the reasons given)

Clause 26 of the contract sets out the rights of the contractor in this matter, and you will see that there
will be costly consequences for you if he carries out his threat.

We suggest therefore that you should have a meeting with the contractor as soon as possible, to resolve
these difficulties. We will gladly make the arrangements, and chair and minute any meeting.

Copy to quantity surveyor, consultants.

Fig 7.1.5 Specimen letter following receipt of contractor’s notice of determination.

We have today received from the contractor notice of his determination, issued in accordance in ac-
cordance with clause 26 of the contract.

We suggest you refer this notice to your solicitors at once. We will supply any information need.

As a result of this determination the contractor‟s insurance cover will have ceased. If you have not al-
ready arranged for the appropriate cover to take effect you should do so immediately.

We urgently need to meet you with the quantity surveyor to discuss the situation and consider arrange-
ments for completing the works. The quantity surveyor will prepare a report on the state of the work
and the current financial position.

Please let us have your authorisation to give immediate instructions to make the site secure and protect
the works and materials.

Copy to Quantity Surveyor, Consultants.

 7.1.5
7.2 Action on Determination
The employer has the right to enter the site and to employ others to complete the works. The employer
is entitled to use temporary buildings, plant, materials etc. on the site owned by the contractor. This
right does not automatically extend to items on hire or lease to the contractor. The employer may have
the right to benefits of sub-contracts and agreements for the supply of materials, but this would not be
automatic.

The architect should make immediate arrangements for site security and protection, and should advise
the employer to check that the works are insured (the contractor‟s insurance of the works is likely to
cease on determination).

Consultants, nominated sub-contractors, statutory undertakers, suppliers, the building inspector and any
bondsmen should all be informed. A comprehensive survey of the site should be undertaken, with a
photographic record being advisable. A schedule of works executed and defects noted, and an invento-
ry of plant, tools and materials should be taken.

If the determination is due to bankruptcy, an early meeting with the liquidator/receiver is advisable to
establish if it is possible to reinstate the contract. The contract may be completed by agreement with the
liquidator/receiver to reinstate and assign the duties of the contractor to a substitute contractor – the
contract sum will stand. Alternatively the completion may be effected by reinstatement and “novation”
– a deed of novation is drawn up between the employer, liquidator/receiver and the substitute contrac-
tor. This normally involves amendment to the conditions of contract and additional costs.

Otherwise, the work can be completed by a new contractor. The contract may be based on the original
bill of quantities with a premium, or on approximate quantities or a schedule, specification, or some
other appropriate document. The appropriate method will depend very much on the state of completion
at the time of determination.
If the work has only just started, it might be convenient to negotiate a contract with the second lowest
tenderer. If the work has progressed for some time but is substantially incomplete, competitive tenders
might be preferred. Where work is substantially complete. A contractor appointed on negotiated rates
might be acceptable, and where completion is a matter of a few outstanding items and rectifying de-
fects, a lump sum of day works basis might be appropriate.

The employer has duty to mitigate his loss as much as possible – if he doesn‟t, he may lose some or all
of his entitlement to recover damages from the defaulting contractor.

The employment of sub-contractors is automatically determined when the main contract is determined.
Practical considerations and willingness of the sub-contractors concerned will determine if the sub-
contractors are re-appointed to continue. If determination was due to bankruptcy, the receiver should be
kept informed.
 7.2.1
7.2 Action on Determination
Relevant clauses – GC/Works Form of Contract

Clause 25(3) Employer to determine

In the event …….(determination) ………..the following shall be the respective rights

and duties of the Employer and Contractor…………

(a) The employer may employ others to complete the works, has right to access, and may use the
contractor‟s plant, materials and equipment on site.

(b) The employer or the architect may require the contractor within 14 days of the determination to
assign the benefits of any agreement for supplies of goods or materials, or sub-contracts.

(c) The contractor is liable to pay loss and expense that the employer incurs as a result of the de-
termination. The employer is not required to make any further payments to the contractor until
the works are complete. On completion a final account is prepared, and the damages plus com-
pletion costs are added to the amounts paid to the contractor. If the cost of completion plus loss
and expenses exceeds the amount the employer would otherwise have paid, the balance is owed
by the contractor to the employer. In the unlikely event that the employer‟s costs are less as a
result of the determination, he must reimburse the contractor.

Clause 26(2) Contractor to determine

(a) The contractor must remove in a safe manner all plant, goods and equipment etc that are not the
property of the employer.

(b) The employer must pay the contractor the full value of work undertaken at the date of determi-
nation, whether completed or not. The contractor‟s entitlement includes loss and expense claims
due to variations, disturbance to the regular progress of the works etc, and the direct loss and
expense the contractor incurs as a result of the determination (which may include loss of profit).
The employer must pay for materials properly ordered for the works, and the contractor‟s costs
in clearing the site.

The contractor is entitled to hold on to materials that are the property of the employer until he has been
paid his full entitlement as above.
 7.2.2
7.2 Action on Determination
Relevant clauses – GC/Works Form of Contract

Clause 39(iii) Employer to determine

(In the event of the determination) the following shall be the respective rights and du-
ties of the employer and contractor…………

Provisions are similar to clause 25(3) as noted above

Clause 40 Contractor to determine

Provisions are similar to clause 26(2) as noted above

Fig 7.2.1 Specimen letter to nominated sub-contractor or supplier following determination of

the contractor’s employment.

We write to inform you that the employment of (name), the contractor for the above
project, was determined on (date). The site has been locked and secured and access to it is
prohibited. Goods, materials and plant may not be removed from the site without our writ-
ten permission.

We will issue further instructions relating to the completion of the work, payments and
other outstanding matters as soon as possible.

Copy to Quantity Surveyor, Consultants, Clerk of works.

 7.2.3
7.3 Removal from site
When instructed to do so, the contractor is obliged to make an orderly withdrawal from the site.
If the employer does not wish to have use of the temporary buildings, plant tools and equipment etc.,
then these should be included in the instruction. If the contractor does not comply, the employer is en-
titled to organize removal and may sell property owned by the contractor. The proceeds must be paid to
the contractor, less any costs incurred by the employer.

The employer has no rights over, or responsibility for plant and equipment on hire or which the con-
tractor leases.

Unfixed materials may not be removed without consent. It may be necessary to establish ownership
where such materials have been paid for under an interim certificate – suppliers may claim reposses-
sion, and/or the liquidator/receiver may dispute ownership. Legal title to goods and materials on site
does not pass automatically to the employer on payment of interim certificates – this depends on the
chain of conditions of sale from the manufacturer via suppliers to the contractor. Legal advise is often
required to settle disputes in this complex area.

The architect should advise the employer which items should be removed and which would be useful
for completing the works and therefore should be left on site. Schedules should be prepared and a sche-
dule of materials etc. to be removed should accompany the instruction to clear the site.

Relevant Clauses – JLC/ZIA Form

Clause 25(3) (c) refers

Relevant Clauses – GC/Works Form

Clause 39(iii) (c) refers

 7.3.1
7.4 Employers Loss and Expense
The defaulting contractor is liable for direct loss and expense sustained by the employer due to the de-
termination. The employer will be able to recover expenditure reasonably incurred, always bearing in
mind his duty to mitigate his loss.

If determination is due to insolvency after practical completion, additional costs incurred through mak-
ing good defects and additional fees etc. will be added to the final account for submission to the liqui-
dator/receiver. Where determination occurred before practical completion a “notional” final account is
prepared on the assumed basis of the original contractor having completed the job. The difference be-
tween the notional final account and the actual cost of completion using the substitute contractor, plus
any claim for direct loss and expense is the amount submitted to the receiver.

The employer may recover all costs associated with the completion, including legal costs, cost of insur-
ances, site protection measures, additional administration costs and consultant‟s fees etc.

For these purposes full and up to date records must be kept, and detailed and accurate valuations must
be kept.

Any bondsmen must be kept fully informed of developments.

The basis for calculating the final settlement is the difference between the notional final account and
the actual cost of completion:

First, add together

a) the amount paid to the original contractor, up to the point of determination

b) the amount paid to the substitute contractor, up to completion
c) the direct loss and expense incurred by the employer as a result of the determination.

The Total is X

Second, Establish the notional final account of the original contractor giving a total Y

Third, compare the figures X and Y to establish the figure payable to the employer by the contrac-
tor, or vice versa

Relevant Clauses – JLC/ZIA Form

Clause 25(3) (d) refers

Relevant Clauses – GC/Works Form

Clause 39(iii) (d) refers

 7.4.1
7.5 Outbreak of Hostilities
The outbreak of hostilities and war are the events which could frustrate a contractor and lead to deter-
mination. The contract may set out what is to happen in such an event. Hostilities are defined as events
involving the general mobilization of armed forces, whether or not war has been declared.

Relevant Clauses – JLC/ZIA Form

Clause 32

If………there shall be an outbreak of hostilities…either the contractor or the employer

may…determine the employment of the contractor…

Either party may determine at any time by registered post or delivery. The notice cannot be issued until
after 28 days from the date of the outbreak of hostilities or after practical completion unless the works
have sustained war damage.

The architect may within 14 days issue instructions for the protecting of the works. This is valued as a
variation.

The rights and duties of the parties are the same as if the contractor‟s employment was determined by
the employer, irrespective of who actually served the notice, except that the contractor is in no case lia-
ble for the employers direct loss and expense.

War Damage Clause 33

The calculating amounts payable to a contractor after the effect of war damage (damage by the enemy
or by proper [military] authorities) must be disregarded. The contractor may issue instructions requiring
removal of debris and reinstatement of damaged work, and the provision of protective measures. The
contractor must make good the damage and complete the work. The cost of clearance, protection and
reinstatement is treated as a variation.

The architect must grant an extension of time.

Relevant Clause – GC/Works Form

There are no express provisions in this contract to deal with hostilities or war damage.
 7.5.1
7.6 Watchpoints
Checking tenders
* Care taken at the outset can reduce the risk of trouble later. Compile tender lists carefully and
use fair tendering procedures. Bonds are intended to reduce the impact of a contractor‟s insol-
vency on the client. If the contractor finds it difficult or expensive to obtain a bond, be warned –
there may be good reason. If the employer wants you to advise on the financial viability of
firms, be careful to define the extent of ant vetting you are prepared or able to make. Scrutinise
tender prices, particularly if they are out of line with expectations.

Maintain Records
* Properly maintained records throughout the tender and contract period will prove invaluable
should determination occur.

Determination
* A notice of determination is often countered by an allegation of repudiation. Defend against this
by ensuring that the grounds for the notice are sound – the work must be suspended “wholly”.
Failure to proceed regularly and diligently is difficult to prove. Check that the employer is not
also in breach of the contract and that the proper procedures are followed to the letter. Check
with the employer before taking any action, and advice him to consider taking legal advise.

Signs of insolvency
* Keep a weary eye open for insolvency. You may notice that progress slows down, work be-
comes slack or standards fall, plant is suddenly removed from site. There may be complaints
from sub-contractors about late payment, requests for early or advance payments from the con-
tractor, abrupt changes in management etc.

* If the contractor is determined due to the contractor‟s insolvency, take immediate steps to pro-
tect the client‟s interests. Assume at first that everything on the site is owned by the employer.
Ensure that the site is safe and secure, check fences and gates and have padlocks changed. Stop
all certificates and advise the employer to make no further payments. Arrange for site security
with an appropriate firm. Inspect the works and compile a photographic record and reports. Find
out who will be the Liquidator/receiver, and arrange an early meeting. Advise all bondsmen.
7.6.1