I have a simple piece of advice for owners who are having buildings built. Require the contractor to submit Record Specifications.
Step 1: Require, as part of the Contract for Construction, that the contractor submit Record Specifications at project closeout. This should be easy. You don’t even need to make up language for it. It’s already in the commonly used AIA A201-2007, the General Conditions of the Contract. Article 3.11, Documents and Samples at the Site, reads, “The Contractor shall maintain at the site for the Owner one copy of the Drawings, Specifications, Addenda, Change Orders and other Modifications, in good order and marked currently to indicate field changes and selections made during construction, and one copy of approved Shop Drawings, Product Data, Samples and similar required submittals. These shall be available to the Architect and shall be delivered to the Architect for submittal to the Owner upon completion of the Work as a record of the Work as constructed.”
Step 2: After Step 1 has been undertaken, request that the architect expand upon this contract requirement in Division 01 of the specifications. CSI’s MasterFormat has created a place for this requirement to be expanded upon – Section 01 78 39 “Project Record Documents.” Arcom’s MasterSpec has some great standard language in this section, including requirements that the Contractor “Mark Specifications to indicate the actual product installation where installation varies from that indicated in Specifications, addenda, and contract modifications.” “Give particular attention to information on concealed products and installations that cannot be readily identified and recorded later.” “Mark copy with the proprietary name and model number of products, materials, and equipment furnished, including substitutions and product options selected.” “Record the name of manufacturer, supplier, Installer, and other information necessary to provide a record of selections made.”
Step 3: If Step 1 has been executed, execute Step 3 (whether or not Step 2 was executed). At project closeout, make sure that the Record Specifications have been submitted by the contractor, along with the record drawings (the “as-builts”). Do not pay the contractor the final payment until these have been submitted.
Step 4: Store the record specifications, in a safe place, along with the record drawings.
A responsible owner might ask me some questions, and I will answer them:
Q1: Will this cost me more money?
A1: Yes, this will add a little bit of money to the construction cost. It will take a little extra time for the contractor to update the record specs every day during construction. It should take a contractor no more than 5 minutes a day, as long as he keeps up with it every day.
Q2: Why would I want to spend this extra money?
A2: Spending this tiny extra bit of money now will save you money in the future. If you have the Record Specifications to refer to in the future, you will save yourself time that you might otherwise have to spend searching for a product name or model number that you urgently need. If you have the Record Specifications to copy and give to other people that you hire to do maintenance on, or an addition to, your building, you will save yourself money because you will be saving the people you have hired some significant time.
Q3: What would these people be spending time on?
A3: If you have an existing building that you want to do an addition to, you might want to match the storefront, the brick, the stucco color, the precast panel concrete mix, the standing seam metal roof profile and color, the tinted glass color, the asphalt shingles, the stone veneer, the tile floors, the wood doors… If you wish to match any of the elements in the addition to their counterparts in the existing building, the architect will have to track down the exact products that were used in the existing building.
Q4: But can’t I just have the architect write “match existing” on the drawings?
A4: Yes, but then the contractor or his subcontractors will have to try to figure out what was used on the existing building. If they don’t really know, or if they have preferred vendors that they purchase from, and don’t try to look too hard beyond those vendors, they might just “do their best” to match the existing. That might be ok, or it might not be ok, but what leverage will you have to make them match it if you really want it to match, especially if you had put your project out to competitive bid?
Q5: Why do I need Record Specs? Isn’t that information on the Record Drawings (the “as-builts”)?
Q6: Usually, specific product names, manufacturers, and model numbers are not on the drawings. That information belongs in the specifications. For example, the drawings should show the extent of, and the details of, a standing seam roof installation. But if you want competitive bids, the specifications should list several manufacturer names and the acceptable product by each, and specific information such as the dimensions of the panel. The drawings might list a generic color, or a specific color might be in the specs, but the type of metal finish (such as Kynar or siliconized polyester) will be in the specs.
Despite your best efforts, things might not go flawlessly. The contractor might not do a great job with these record specs. The architect might not realize that he’s supposed to receive them from the contractor. You might forget to make sure that you get them before you sign that final check. But it’s really, really worth enforcing this common contract requirement.
And, of course, even if everything goes well, you might still waste some time. Last week, a former co-worker of mine received an email from an interior designer who is working on a tenant finish in a space that I worked on 11 years ago. The designer wondered if we remembered the manufacturer of the demountable aluminum and glass partitions in the space. I couldn’t remember, and my old firm no longer had the record documents. The designer actually had the record documents, but “that information wasn’t on the drawings.” I suggested that perhaps she wasn’t looking at the specifications, which were on pages 2 and 3 of the set of drawings. I heard back a few minutes later… the manufacturer’s name was right there, in the sheet specs. You can lead a horse to water, but you can’t make him drink… But it’s well worth a try.
Good piece, Liz. I recently discovered your blog, and am really enjoying it. One of the first things I noticed is that you’re a Really Good Writer!. Not common among architects. I passed your site info on to my friend Nina Giglio, here in Charlotte. She responded that you’re good friends, which didn’t surprise me at all. She’s one of my favorite people.
Thanks for reading!
In the Government Agency’s Project this requirements is already in the Specification, but it is rarely enforce. Even thou most of the information you can get from the specification can be provided in the form of Operation and Maintenance Manuals. I also found that As- Built Drawings, O & M Manuals are really reviewed toughly, unless the government agency hires outside entity to provide review.
You’re right – I’ve run into this before with schools and a university – the architect doesn’t enforce the requirement, and the owner doesn’t enforce the requirement. Without enforcement, it’s as if the requirement hadn’t even been in the documents.
And check that record specs (and drawings) are current as a condition for approval of monthly pay apps.
Good suggestion, Tom. Thanks!
In preparing for a presentation on Fireproofing changes related to the World Trade Center collapse for our CSI chapter, I was interested to find that the forensics wizards at NIST were dismayed that record specifications were not available for review. The reason: they were stored onsite. I would only amend what you said to consider storing record specifications offsite – and perhaps to make electronic media copies.
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