Project Management (PjM) Section 4: Project Execution 

The ARE Project Management (PjM) exam's Section 4, titled "Project Execution," examines the candidate's knowledge in putting architectural plans into action and managing the project during its execution phase. Here are the main topics you need to be familiar with:

Subsection 1. **Project Delivery Methods**: Understanding the different ways to deliver a project, such as design-bid-build, design-build, construction manager as adviser, construction manager at risk, and integrated project delivery. Each of these methods has its own risk and reward characteristics, and the candidate should be able to recommend an appropriate method based on project-specific parameters.

Subsection 2. **Construction Phase Services**: This section includes understanding and managing the various processes during the construction phase. This includes the roles of different stakeholders, understanding of construction documents, responding to RFIs (Requests for Information), issuing addenda, reviewing submittals, coordinating with contractors and consultants, conducting site visits, understanding of change orders, and managing project closeout and turnover processes.

Subsection 3. **Payment Process**: This includes understanding contractually defined payment terms, verifying work completed on site for payment applications, understanding the purpose and procedure of retainage, lien waivers, and final payments.

Subsection 4. **Quality Control Procedures**: This covers the methods and procedures to ensure the project meets the required standards and expectations. It can include reviewing contractor work, coordination with consultants, and conducting punch lists.

Subsection 5. **Project Changes**: The candidate should understand how to manage changes to the project during execution. This involves understanding the process of issuing construction change directives, negotiating change orders, assessing the impact of changes on project cost and schedule, and understanding how changes can lead to construction claims.

Subsection 6. **Documentation during Construction**: This includes understanding how to maintain project documentation during the construction phase. This can involve construction meeting minutes, field reports, issues logs, and other related project control documents.

Subsection 7. **Project Closeout**: Understanding of processes related to project closeout including substantial completion, final completion, punch list, commissioning, warranties, and project turnover. 

The candidate should not only have theoretical knowledge of these topics, but should also be able to apply this knowledge to real-life scenarios and problems.

Subsection 1. **Project Delivery Methods**: 

Candidates will need to demonstrate a sound understanding of the various ways a construction project can be organized and delivered. Here are the key topics:

1.1. **Design-Bid-Build (DBB)**: This is the traditional method where the owner contracts separately with the design team and the construction team. The architectural firm completes the design, and then the project is put out for bid to contractors.

1.2. **Design-Build (DB)**: In this method, the owner contracts with a single entity to provide both design and construction services. This can potentially streamline the process and allows for faster construction, but it can also reduce the owner's control over the design.

1.3. **Construction Manager as Adviser (CMa)**: In this method, the construction manager acts as a consultant to the owner, providing advice during both the design and construction phases. The construction manager does not perform construction in this method.

1.4. **Construction Manager at Risk (CMAR)**: The construction manager acts as a consultant to the owner during the design phase and as a general contractor during construction. The construction manager provides a guaranteed maximum price (GMP), assuming some of the risk of cost overruns.

1.5. **Integrated Project Delivery (IPD)**: This method emphasizes collaboration between all key participants (owner, architect, and contractor) from early design stages through project completion. The goal is to align interests, objectives, and practices in a process that harnesses the talents and insights of all participants.

1.6. **Multi-prime Delivery**: The owner contracts with several prime contractors who are all directly responsible to the owner. This method allows the owner to have greater control over the project but requires more coordination.

Candidates should also understand how these different delivery methods affect the roles and responsibilities of the architect, the relationship between the owner, the architect, and the contractor, and the allocation of risk among the parties.

Subsection 1.1. **Design-Bid-Build (DBB)**: 

Design-Bid-Build (DBB) is the traditional project delivery method where the owner contracts separately with the design firm (architects, engineers) and the construction contractor. This method follows a linear process where one task follows the completion of another with no overlap.

Key Elements:

1. **Distinct Phases**: The DBB process is characterized by distinct project phases. The project moves from design to bidding (or tendering) to construction in a sequential manner.

2. **Separate Contracts**: The owner holds two separate contracts – one with the design team for design services, and another with the contractor for construction services.

3. **Design Completion Before Bidding**: In the DBB process, the design must be completed before the bidding process begins. Contractors bid on the project based on completed design documents.

4. **Selection Based on Price**: In general, contractors are selected based on price, provided they meet the qualifications specified in the bid documents. The contractor with the lowest responsive bid generally gets awarded the contract.

5. **Role of the Architect**: The architect's role is to provide a design that meets the owner's needs and then oversee the construction to ensure it complies with the design documents. They may also assist the owner in evaluating bids and selecting a contractor.

6. **Risk**: The owner bears a significant amount of the risk since they are responsible for the design and must deal with any issues or changes that arise during construction related to the design. 

The DBB project delivery method is often favored due to its straightforward, linear approach, and because it allows the owner to have significant control over the design of the project. However, it can be slower than other methods because construction cannot begin until after the design is completed and a contractor is selected through the bid process.

Subsection 1.2. **Design-Build (DB)**: 

Design-Build (DB) is a modern, integrated project delivery method where the owner contracts with a single entity to provide both design and construction services. It is characterized by high levels of collaboration and concurrent design and construction processes.

Key Elements:

1. **Single Point of Responsibility**: In the DB process, the design-builder is the single point of contact for the owner, providing both design and construction services under one contract. This offers the owner simplified communication and responsibility channels.

2. **Simultaneous Phases**: DB allows for design and construction phases to overlap, which can result in faster project delivery compared to traditional methods like Design-Bid-Build.

3. **Team Collaboration**: DB promotes high levels of collaboration between the design and construction teams from the project's early stages. This can lead to more innovative and efficient solutions.

4. **Selection Based on Qualifications**: Unlike Design-Bid-Build, the DB entity is often selected based on qualifications, experience, and best value as opposed to just the lowest bid.

5. **Cost Savings**: By integrating design and construction services, design-build can potentially offer cost savings due to increased team collaboration, innovative solutions, and reduced changes during construction.

6. **Risk**: The design-builder assumes more risk than in traditional delivery methods, as they are responsible for delivering a project that satisfies the owner's requirements within a guaranteed price.

Design-Build has gained popularity in recent years for its potential to deliver projects faster and with fewer disputes between the designer and builder, but it also requires a high level of trust between the owner and the design-builder, as the owner has less control over the design compared to traditional methods.

Subsection 1.3. **Construction Manager as Adviser (CMa)**:

The Construction Manager as Adviser (CMa) is a project delivery method where a construction manager is engaged by the owner to provide advice during the pre-construction phases, such as design, but does not perform the actual construction work. The CMa acts as a consultant to the owner, offering expertise and oversight for the project.

Key Elements:

1. **Advisory Role**: The CMa does not hold contracts with the trade contractors, unlike the Construction Manager at Risk (CMc). Instead, the owner holds these contracts, and the CMa assists the owner in managing the construction process.

2. **Early Involvement**: The CMa is usually involved early in the project during the design phases. They provide input on constructability, cost, and schedule, which can help to minimize changes during construction.

3. **Open Book**: The CMa offers transparency to the owner throughout the process, providing open access to cost, subcontractor bids, schedules, and other details.

4. **Professional Services**: The CMa is compensated on a fee basis for professional construction management services, including reviewing the plans for cost savings, coordinating the trades, and overseeing the construction for adherence to plans and specifications.

5. **Owner's Risk**: As the owner holds the contracts with the trade contractors, the owner carries more risk compared to other project delivery methods, such as Construction Manager at Risk or Design-Build.

6. **Selection Based on Qualifications**: The CMa is selected based on qualifications, rather than low bid. The owner chooses the CMa for their management skills and construction expertise, not their capacity to perform the construction.

The CMa model can be beneficial for owners who have the expertise to hold multiple contracts and want transparency in the process, but also want the advice and oversight of a construction professional. However, it does require the owner to take on more risk and management responsibilities compared to some other project delivery methods.

Subsection 1.4. **Construction Manager at Risk (CMAR)**: 

The Construction Manager at Risk (CMAR) is a project delivery method where a construction manager is engaged in the design phase to work with the architect, but also promises to deliver the project within a guaranteed maximum price (GMP). The construction manager acts as a contractor during the construction phase and takes on the risk of construction performance.

Key Elements:

1. **Engagement**: The CMAR is hired during the design phase and works with the owner and the architect. This allows for their input during the design process which can lead to a project that is more efficiently run.

2. **Guaranteed Maximum Price (GMP)**: In this method, the CMAR provides the owner with a GMP. If the total project cost is more than the GMP, the CMAR is responsible for the cost overrun. However, if the total cost is less than the GMP, the savings typically revert back to the owner.

3. **Risk**: The CMAR assumes the risk of meeting the project's schedule and budget. This is a significant difference from the CMa (Construction Manager as Adviser) model, where the owner holds the majority of risk.

4. **Contracts**: The CMAR holds the contracts with the subcontractors, thereby having control over their work and their schedule. 

5. **Qualification-Based Selection**: Similar to the CMa method, the CMAR is often selected based on qualifications rather than price. 

6. **Responsibility**: The CMAR is responsible for construction delivery, meaning that they're responsible for the construction process following the rules and regulations, adhering to safety standards, and following the schedule and budget. 

The CMAR model can provide owners with the advantage of a contractor's input during the design process, while also giving them some cost certainty with a GMP. This method also transfers some of the risk of the project from the owner to the CMAR.

Subsection 1.5. **Integrated Project Delivery (IPD)**: 

Integrated Project Delivery (IPD) is a project delivery approach that integrates people, systems, business structures, and practices into a process that collaboratively harnesses the talents and insights of all participants to optimize project results, increase value to the owner, reduce waste, and maximize efficiency through all phases of design, fabrication, and construction.

Key Elements:

1. **Collaboration**: IPD brings together the owner, architect, and contractor at the very beginning of the project. This team works together throughout the project from design to execution, facilitating better communication and collaboration.

2. **Risk and Reward Sharing**: All key participants share in the risks and rewards. If the project comes in under budget, the savings are shared among the team. Conversely, if costs exceed the budget, the team shares the burden of these additional costs.

3. **Early Involvement of Key Participants**: One of the core principles of IPD is to engage key stakeholders and participants from the beginning of the project, which allows for a more efficient and streamlined process.

4. **Multi-Party Agreement**: A distinctive feature of IPD is a multi-party agreement. This contract binds the owner, architect, and contractor together, emphasizing collaboration and shared responsibility.

5. **Joint Decision Making**: In the IPD model, decisions are made jointly by the owner, architect, and contractor, further supporting the spirit of collaboration.

6. **Use of Technology**: IPD often incorporates Building Information Modeling (BIM) and other collaborative technologies to improve the design process and project execution.

7. **Lean Principles**: IPD often involves the use of lean construction principles, which focus on maximizing value and minimizing waste, enhancing project outcomes.

In summary, Integrated Project Delivery involves a high degree of collaboration with all stakeholders from the start of the project, and it incorporates elements of shared risk and reward. The goal is to make the project process more efficient and to deliver a better final product.

Subsection 1.6. **Multi-prime Delivery**: 

Multi-prime Delivery is a project delivery method where the owner directly contracts with multiple specialty contractors (prime contractors) for various elements of work, instead of having one single general contractor. 

Key Elements:

1. **Multiple Contracts**: In the multi-prime delivery method, the project owner holds separate contracts with various prime contractors or trades. Each of these contractors is responsible for completing a certain part of the project.

2. **Owner's Role**: The owner plays a major role in coordinating and scheduling the work of different prime contractors. This requires a higher level of involvement and knowledge from the owner's side compared to other delivery methods.

3. **No General Contractor**: Unlike the traditional Design-Bid-Build method, there is no general contractor in the multi-prime delivery. The owner takes on some of the responsibilities usually held by the general contractor such as coordinating and scheduling the various prime contractors' work.

4. **Potential for Cost Savings**: Because the owner is contracting directly with multiple contractors, it can lead to cost savings by eliminating the markup a general contractor might add to the subcontractors' costs.

5. **Risk Management**: However, this method can also bring higher risk for the project owner, as they take on a larger managerial role and must coordinate multiple trades and manage potential conflicts.

6. **Time Management**: If well-coordinated, the multi-prime approach can offer opportunities for faster project delivery, as some tasks can be completed concurrently.

In summary, Multi-prime Delivery is a project delivery method that involves multiple prime contracts with different specialty contractors. The owner assumes a more active role in managing and coordinating the work. This method can potentially save costs and expedite the project schedule, but it also involves more complexity and risk for the owner.

Subsection 2. **Construction Phase Services**: 

Construction Phase Services examines your understanding and application of the architect’s role during the construction phase of a project. Here's a general outline of the knowledge you need to demonstrate:

2.1. **Role of the Architect**: Understanding the architect's responsibilities during the construction phase is critical. This includes reviewing submittals, responding to RFIs (Request for Information), observing the construction to ensure it's in line with the contract documents, and approving payments to contractors, among others.

2.2. **Construction Administration**: Know how the architect administers the construction process, often acting as a liaison between the owner and the contractor. 

2.3. **Submittals**: Be familiar with different types of submittals (e.g., shop drawings, product data, samples) and their purposes. Know how the architect reviews and approves these submittals.

2.4. **Requests for Information (RFIs)**: Understand what an RFI is, why it's used, and how the architect responds to them.

2.5. **Change Orders**: Understand what constitutes a change order and how they are managed and approved.

2.6. **Pay Applications**: Familiarize yourself with the process of approving pay applications, including reviewing the schedule of values, assessing work completed to date, and how retainage works.

2.7. **Site Visits**: Understand the purpose of the architect's site visits, what they should be looking for, and how they document their observations.

2.8. **Substantial Completion**: Understand how the architect determines when the work or a portion of the work is substantially complete.

2.9. **Project Closeout**: Understand the steps involved in closing out a project, including final inspections, punch lists, final payment, and turnover of the building to the owner.

2.10. **Documentation**: Familiarize yourself with different types of construction phase documentation such as meeting minutes, daily construction reports, and updated project schedules.

Subsection 2.1. **Role of the Architect**: 

The architect's role during the construction phase is multifaceted, requiring coordination and management of various responsibilities, all while acting as the intermediary between the contractor and the project owner.

Key responsibilities of the architect during this phase include:

1. **Construction Administration**: The architect is responsible for administering the construction contract. This includes coordinating with the contractor, processing and reviewing shop drawings and other submittals, responding to RFIs (Requests for Information), and issuing clarifications and instructions.

2. **Observation and Site Visits**: The architect visits the construction site at regular intervals to observe the progress and quality of the work and to determine if the work is proceeding according to the contract documents. It's important to note that the architect is there to observe, not supervise, the construction. 

3. **Evaluating Requests for Changes**: During construction, the contractor or the owner may request changes to the work. The architect reviews these requests, assesses their impact on the project’s scope and budget, and prepares necessary documentation if the changes are approved.

4. **Processing Pay Applications**: The architect reviews applications for payment from the contractor, confirming the amount of work completed and materials stored at the site, to determine if the requested payment is justified.

5. **Substantial and Final Completion**: The architect conducts site visits to ascertain whether the work has reached substantial completion and later final completion. They prepare a punch list of items to be completed or corrected and ultimately issue a certificate of final completion.

6. **Project Closeout**: The architect helps facilitate the project closeout process, including the submission of warranties, as-built drawings, and operation manuals by the contractor, and instructing the owner on the operation and maintenance of the building.

Understanding these responsibilities is essential for the ARE PjM exam as they embody the architect's role during the construction phase. This knowledge also contributes to the architect's successful management of the project from conception to completion.

Subsection 2.2. **Construction Administration**:

Construction Administration (CA) refers to the tasks and responsibilities an architect undertakes during the construction phase of a project to ensure the project is being built in accordance with the contract documents. It is the phase that directly follows the completion of the construction drawings and specifications, and it continues until the project is finished and the contractor's obligations are complete.

Key elements of Construction Administration include:

1. **Contract Administration**: The architect acts as the owner's representative, ensuring that the provisions of the construction contract are being fulfilled. This involves overseeing the contract between the owner and the contractor and ensuring that all parties adhere to it.

2. **Shop Drawing Review**: Shop drawings are detailed plans, diagrams, and other data created by the contractor to show how they will implement portions of the design. The architect reviews these to confirm they are in alignment with the design intent.

3. **Responding to RFIs (Requests for Information)**: During construction, the contractor may need clarification regarding the contract documents. The architect responds to these inquiries, providing necessary clarifications and interpretations.

4. **Change Order Management**: A change order is a document that outlines proposed changes to the scope of work, the budget, or the schedule. The architect reviews, validates, and may issue these as necessary, ensuring any changes align with the overall project objectives.

5. **Observation and Site Visits**: Regular site visits are conducted to observe the progress and quality of the contractor’s work. This does not include supervising or directing the contractor’s work.

6. **Reviewing Payment Applications**: The architect reviews applications for payment from the contractor, verifying the amount of work completed and stored materials onsite before the owner makes payment.

7. **Project Closeout**: At the conclusion of the project, the architect assists in the project closeout process, which includes final inspections, creating a punch list of final items to be completed, and ensuring the project meets all codes, regulations, and contract requirements. 

Remember, a critical aspect of Construction Administration is clear communication. The architect must effectively coordinate and communicate with all stakeholders, including the owner, contractor, consultants, and any other parties involved in the project.

Subsection 2.3. **Submittals**:

Submittals are written and/or physical information provided by the contractor to the architect. These documents are used to demonstrate the way the contractor plans to conform to the information given in the contract documents for certain building components. Submittals ensure that the contractor and the architect understand the project in the same way and can therefore avoid miscommunications and future problems during construction.

Key elements of Submittals include:

1. **Shop Drawings**: These are detailed drawings provided by the contractor, subcontractor, manufacturer, supplier, or distributor that show specific details of a product or portion of the work. Shop drawings illustrate how the contractor plans to meet the contract documents for a particular component and ensure that the architect and the contractor are on the same page regarding the project.

2. **Product Data**: These include brochures, diagrams, illustrations, performance charts, and other standard data provided by manufacturers and suppliers. They are reviewed to ensure the proposed materials and equipment align with the design and specification.

3. **Samples**: Physical examples which illustrate materials, equipment or workmanship, and define the standards by which the work will be judged. They can be full-size or scaled versions of a specified product. 

4. **Manufacturer's Instructions**: The contractor may also submit specific instructions provided by a manufacturer to illustrate the correct installation or use of a product.

5. **As-built Drawings**: These are a set of drawings submitted by the contractor upon completion of a project. They document the exact location, geometry, and dimension of all elements of the work completed under the contract. They are used for future reference and potential troubleshooting.

Remember, the architect's role in reviewing submittals is to check for conformance with the design intent as reflected in the contract documents, not to check for means, methods, techniques, sequences, or procedures of construction, which are the contractor's responsibility. Also, the review should be conducted in a timely manner to avoid causing any delay in the project schedule.

Subsection 2.4. **Requests for Information (RFIs)**: 

An RFI is a formal written process used by the construction team, particularly the general contractor and subcontractors, to request clarification or more information about the contract documents (plans and specifications) during the construction process. RFIs are often necessary when there are discrepancies, missing information, or ambiguities in the contract documents. 

Key elements of RFIs include:

1. **Clarification**: The primary purpose of an RFI is to resolve information gaps, uncoordinated data, and unclear documentation. They help ensure that everyone involved has a clear and consistent understanding of what's required.

2. **Formal Process**: RFIs should be formally documented and logged to ensure that they are adequately tracked. Each RFI should have a unique number for tracking purposes and should contain enough detail to clearly describe the issue or question.

3. **Timely Response**: Timely response to RFIs is crucial to maintaining the project schedule. Delays in responding can lead to delays in the project. The architect's role is to provide responses that are accurate and complete to ensure the project continues smoothly.

4. **Record Keeping**: RFIs and their responses form part of the project's official record, and they can be crucial if disputes or claims arise later. It is in everyone's best interest to ensure the RFI process is well managed.

5. **Risk Management**: Proper use and management of the RFI process can be a significant factor in mitigating risk on a project. The goal is to clarify and resolve potential issues before they impact the project's cost or schedule.

Remember, the goal of an RFI is not to alter the scope of work or to modify the contract terms, but rather to seek clarification on the existing contract documents. Any changes to the scope of work should be addressed through a change order or a contract modification.

Subsection 2.5. **Change Orders**: 

A Change Order is a formal document that signifies an amendment to the original construction contract. It can be initiated due to unforeseen conditions, design modifications, material alterations, owner requests, or any other circumstances that modify the scope, cost, or duration of the project. 

Key elements of Change Orders include:

1. **Initiation**: Change orders can be initiated by any of the parties involved in the project - the owner, architect, or contractor. However, all change orders must be agreed upon and signed by the owner, contractor, and architect to be effective.

2. **Documentation**: Change orders must thoroughly document the changes to the contract. This includes a detailed description of the change in the work, the associated costs, and the effect of the change on the project schedule.

3. **Approval Process**: Before work can proceed on a change order, it must be reviewed and approved. The architect typically reviews the change order first to verify that the change is accurately reflected in the document and that the proposed price and time extension are reasonable. The owner then reviews and approves it.

4. **Execution**: Once approved, the work outlined in the change order is executed. The cost of the change order is added to or subtracted from the contract sum, and the contract time is adjusted as necessary.

5. **Record Keeping**: Change orders, once approved and executed, form part of the contract documents. They are legal documents and should be retained as part of the project records.

6. **Risk Management**: The proper handling and processing of change orders can help manage risk on a project, ensuring that all parties are aware of changes to the scope of work and their implications on project cost and schedule.

Remember, the goal of a change order is to make changes to the contract's scope, cost, or schedule, and they should be used judiciously to avoid project scope creep, budget overruns, or schedule delays. Proper management of change orders is an essential part of project execution.

Subsection 2.6. **Pay Applications**: 

Pay Applications, also known as Payment Applications, are the documents prepared by the contractor and submitted to the architect for review. These documents outline the amount of work completed on the project and the corresponding amount of payment the contractor is requesting from the owner. 

Key elements of Pay Applications include:

1. **Schedule of Values**: This is a detailed breakdown of the cost of each part of the work. It forms the basis for the Pay Application and allows everyone to understand the cost of each component or phase of the work.

2. **Progress of Work**: The Pay Application shows the status of the work, indicating how much of each line item in the Schedule of Values has been completed. This could be a percentage or a dollar amount.

3. **Amount Due**: Based on the progress of work, the Pay Application indicates the amount due to the contractor. This is typically the total value of work completed and materials suitably stored on-site or off-site, less retainage (a percentage of the contract amount withheld by the owner to ensure completion of the project), and less the total of previous payments.

4. **Certificates for Payment**: The architect reviews the Pay Application and, if it accurately reflects the work completed, the architect issues a Certificate for Payment to the owner. This certificate is a recommendation to the owner to pay the contractor the amount indicated on the Pay Application.

5. **Lien Waivers**: Along with the Pay Application, the contractor typically provides lien waivers from its subcontractors and suppliers. These are legal documents stating that the subcontractors and suppliers have been paid and waive their right to place a lien on the property.

6. **Backup Documentation**: The Pay Application can include additional backup documentation such as photographs, delivery slips, or other evidence to prove that the work has been completed.

Remember, Pay Applications are an essential part of the construction administration process. As the architect, you are responsible for reviewing the Pay Application and verifying that it accurately reflects the work completed on the project.

Subsection 2.7. **Site Visits**:

Site visits are regular trips made by the architect to the construction site to visually observe the progress and quality of the work being performed. Site visits play a crucial role in construction administration, as they help architects ensure that the work is being carried out according to the design intent, specified materials, and workmanship standards. 

Key elements of site visits include:

1. **Observation, Not Supervision**: During site visits, the architect is there to observe and evaluate the work for conformance with the contract documents. The architect is not supervising the work. The contractor is responsible for the means and methods of construction, and for supervising the work.

2. **Frequency**: The frequency of site visits depends on the complexity of the project and the phase of construction. Some phases might require weekly visits, others might only require monthly visits. The architect's agreement with the owner will typically specify the frequency of site visits.

3. **Field Reports**: After each site visit, the architect typically prepares a field report documenting what they observed, including the progress of the work, any issues that were noted, and conversations that took place with the contractor or owner. 

4. **Photographs**: It's common practice for the architect to take photographs during site visits. These photographs provide a visual record of the work and can be particularly useful if disputes arise later.

5. **Non-conforming Work**: If the architect observes work that doesn't conform to the contract documents, they will typically inform the contractor and ask them to correct the work. The architect might also inform the owner.

6. **Project Meetings**: Site visits often coincide with project meetings where the architect, contractor, and owner (or owner's representative) discuss the status of the project, upcoming work, and any issues that need to be resolved.

Remember, site visits are an essential part of the architect's role during the construction phase. They help the architect ensure that the work is being done in accordance with the contract documents, and they provide an opportunity to spot and address issues before they become bigger problems.

Subsection 2.8. **Substantial Completion**: 

Substantial Completion is the stage in the progress of the work when the work or designated portion thereof is sufficiently complete in accordance with the contract documents, so that the owner can occupy or utilize the work for its intended use.

Key elements of Substantial Completion include:

1. **Certificate of Substantial Completion**: This is a document prepared by the architect indicating the date the project is considered substantially complete. It also outlines any remaining minor tasks or corrections known as "punch list" items to be completed by the contractor.

2. **Punch List**: At the point of substantial completion, the architect, contractor, and owner usually perform a site visit to generate a list of outstanding minor works (called the "punch list") that do not comply with the contract documents. The contractor is responsible for completing these items in a given period.

3. **Occupancy**: Substantial completion often serves as the turning point where the owner can take over the site for its intended use. However, this is not equivalent to the project completion; there might still be minor works that need to be done.

4. **Commencement of Warranties**: Warranties typically start at the time of substantial completion, not final completion.

5. **Change in Responsibility**: At the point of substantial completion, the responsibility for security, heat, light, and cleaning, insurance, and other similar aspects often transfers from the contractor to the owner.

6. **Partial Substantial Completion**: If a project is designed and built in distinct portions, it's possible to have multiple certificates of substantial completion, each for a different part of the building or project.

Remember, it's the architect's responsibility to determine and certify the date of substantial completion, and this certification significantly impacts many aspects of project closeout including final payments, warranties, and the transfer of the facility to the owner for occupancy.

Subsection 2.9. **Project Closeout**: 

Project Closeout is the final stage of the project where the project is finalized and handed over to the client. This phase ensures that all contracted work has been completed as specified, all required inspections and testing are performed, and the project is ready for occupancy.

Key elements of Project Closeout include:

1. **Substantial Completion**: This is when the work or a designated portion of it is sufficiently complete, in accordance with the contract documents, so the owner can occupy and utilize the space for its intended use. The architect generally issues a certificate of substantial completion.

2. **Final Completion**: This takes place when all the minor items on the punch list have been completed, and the architect has conducted a final inspection to ensure everything is in accordance with the contract documents. This usually leads to the issuance of the final certificate for payment.

3. **Punch List**: This is a list generated by the architect and owner during a walk-through of the project indicating work that does not conform to contract documents, is incomplete, or requires correction before final payment is issued.

4. **Final Payment**: Once the work is fully complete, the contractor submits a final application for payment. If the architect finds the work is according to the contract documents, they will issue a final certificate for payment, and the owner makes the final payment to the contractor.

5. **Commissioning**: Commissioning is the process of verifying that all of the building's systems operate as designed. This can include mechanical systems, electrical systems, and even the building envelope.

6. **As-Built Drawings**: These are drawings provided by the contractor showing the final installation locations of the elements of the project, reflecting changes made during the construction process.

7. **Warranties and Manuals**: The contractor hands over warranties, manuals, and instructions for the building's equipment and systems to the owner. 

8. **Release of Retainage**: Retainage, a certain amount of the contract total held back by the owner to ensure contractor performance, is typically released at closeout.

Remember, project closeout is an important phase where the architect's oversight is essential to ensure that the project is completed as per the contract, and the building is ready for the owner's occupation.

Subsection 2.10. **Documentation**:

Documentation refers to the management and storage of project-related documents, which could range from contractual agreements to design changes, project meeting minutes, and other pertinent records. These documents serve as an essential record of the project's history, changes, decisions made, and procedures followed. 

Key elements of Documentation during the construction phase include:

1. **Contract Documents**: The project's contract documents (including drawings, specifications, addenda, and modifications) provide the legal foundation for the construction project. 

2. **Requests for Information (RFIs)**: An RFI is a formal process used by the project team to request further information or clarification of project documents. The RFI and the responses provided form part of the project's documentation.

3. **Meeting Minutes**: Detailed records of all meetings—such as construction progress meetings—between the project's key participants should be kept. This includes who attended the meeting, what was discussed, and any action items or decisions made.

4. **Change Orders**: A change order is a document used to record an amendment to the original contract. All change orders must be thoroughly documented, describing what the change is, the justification for the change, and the impact on the project's cost and schedule.

5. **Construction Reports**: These are typically prepared by the architect or a field representative during site visits. They document the progress of the work, the weather conditions, the workforce on site, equipment used, testing or inspections performed, and other key observations.

6. **Submittals**: Submittals, such as shop drawings, product data, and samples, are prepared by contractors and reviewed by architects. These submittals and the feedback provided are all part of the project's documentation.

7. **Pay Applications**: Pay applications or invoices from contractors, subcontractors, and vendors are also a part of the project's documentation.

8. **Punch Lists**: These are lists of work that does not conform to contract documents, mainly quality deficiencies and incomplete work. 

9. **Closeout Documents**: These include as-built drawings, warranties, operations and maintenance manuals, and other important project closeout records.

Effective documentation is key to managing risk, preventing misunderstandings, and providing a basis for resolution if disputes occur.

Subsection 3. **Payment Process**: 

Payment Process mainly addresses the various methods and timings of payments that are made during the execution of a project. Here's an overview of what you should understand in relation to this topic:

3.1. **Types of Payment Methods**: Understand the difference between lump-sum contracts, unit-price contracts, cost-plus contracts, and how they affect the payment process.

3.2. **Application for Payment**: Know what an application for payment is, what it should include (like updated construction schedule, supporting documentation for changes etc.), and how it relates to the contractor’s schedule of values. 

3.3. **Schedule of Values**: This is a detailed statement furnished by the contractor reflecting the portion of the contract sum allotted for the various parts of the work and used as the basis for reviewing the contractor's applications for payment.

3.4. **Retainage**: This refers to a percentage of the total contract price (typically 5-10%) that is held back from the contractor by the owner to ensure all work is done according to the contract.

3.5. **Change Orders**: Understand how changes in the project's scope can affect the payment process. This could result from changes in materials, design, or unanticipated circumstances during construction.

3.6. **Progress Payments**: These are periodic payments to the contractor for work completed during a specific period, typically monthly. Progress payments are typically based on the percentage of work completed.

3.7. **Final Payment**: Know the process of certifying and issuing the final payment, which generally occurs after the project reaches substantial completion and all punch list items are addressed.

3.8. **Lien Waivers**: This refers to a document provided by the contractor, subcontractor, or suppliers stating they have received payment and waive any future lien rights to the property.

3.9. **Payment Certificates**: These are documents issued by the architect verifying the amount of work done by a contractor deserving payment.

3.10. **Interest and Penalties**: Understand the conditions under which penalties might be imposed or interest might be charged due to late payments or failure to comply with contractual obligations.

Understanding these topics can provide a comprehensive knowledge base for handling the payment processes in project execution.

Subsection 3.1. **Types of Payment Methods**: 

Understanding the types of payment methods used in project execution is vital. Here are some of the primary types of payment methods and their key elements:

1. **Lump-Sum Contract**: Also known as a stipulated sum contract, this is a total fixed price contract where the contractor agrees to provide specified services for a specific price. The contractor assumes the risk for this type of contract because any costs above the agreed-upon price are the contractor's responsibility. It provides the most certainty for the owner regarding the total project cost, given there are no changes to the project.

2. **Cost-Plus Contract**: In a cost-plus contract, the owner agrees to cover the actual expenses of the project which could be direct costs like labor and materials, indirect costs like overhead, plus a specific amount of profit for the contractor. This contract type may also include a guaranteed maximum price (GMP) that sets a cap on how much the owner will pay. This method can lead to higher quality as the contractor is less likely to cut corners to save costs.

3. **Unit-Price Contract**: Under a unit-price contract, the owner agrees to pay the contractor a specific amount for each unit of work completed. This is often used when the quantity of work required for the project is uncertain. The final project cost could vary depending on the total units needed to complete the project.

4. **Time and Material Contract**: This contract type is often used when it is not possible to accurately estimate the total project cost when the contract is signed. The owner agrees to pay the contractor based on the time spent by the contractor's employees and actual costs of materials. It may include an overhead and profit mark-up.

5. **Percentage Fee Contract**: In this contract type, the contractor is paid a percentage of the cost of the construction. This method is often used in architectural services.

Understanding these payment methods and when to apply them is crucial for effective project execution, cost control, and risk management. It's also important to note that the type of payment method chosen will be reflected in the contract documents, and changes to it can have substantial implications on the overall project.

Subsection 3.2. **Application for Payment**:

An Application for Payment is a document provided by the contractor to the architect or project owner requesting payment for work completed and materials purchased according to the contract agreement. This application includes detailed information about the work completed and the costs associated with these tasks. It is typically submitted on a monthly basis.

Key Elements:

1. **Schedule of Values**: The Application for Payment typically begins with the schedule of values, which is a detailed statement furnished by the contractor reflecting the portions of the contract sum allotted for the various parts of the work and used as a guide for reviewing the contractor’s applications for payment.

2. **Work Completed**: This section includes a detailed breakdown of the work that has been completed to date and the associated costs based on the agreed-upon contract.

3. **Stored Materials**: In some cases, the contractor may be reimbursed for materials that have been purchased but not yet installed. These would be listed separately and need to be stored carefully to prevent damage or theft.

4. **Total Completed and Stored to Date**: This combines the value of the work completed and stored materials. 

5. **Retainage or Retention**: Retainage is a portion of the agreed-upon contract price deliberately withheld until the work is substantially complete to assure that contractor or subcontractor will satisfy its obligations and complete a construction project. This is subtracted from the total completed and stored to date.

6. **Total Amount Due**: The application will then subtract the total amount previously paid from the total completed and stored to date minus retainage, resulting in the current amount due.

7. **Contractor’s Certification**: The application for payment also includes a space for the contractor’s signature, certifying that the aforementioned information is accurate to the best of their knowledge.

Once the architect reviews and verifies the application for payment, they will then certify the amount due to the contractor for the work performed. Any disagreements or discrepancies will need to be resolved before certification.

Subsection 3.3. **Schedule of Values**: 

The Schedule of Values (SoV) is a detailed document which lists the construction tasks of a project and assigns a set value to each task. It is used as a tool for managing the project's financial progress. 

Key Elements:

1. **Line Items**: Each task, material, equipment or other cost involved in the project is listed as a separate line item in the SoV. This detailed breakdown makes it easy to track costs and payments throughout the project.

2. **Monetary Value**: Each line item is given a value that reflects the total cost of completing that task, including labor, materials, equipment, and overhead costs. 

3. **Percentage of Total Contract**: Each line item is also represented as a percentage of the total contract sum. This provides a sense of how significant each task is in the context of the entire project.

4. **Payments to Date**: As the project progresses, the SoV is updated to reflect the payments that have been made towards each line item. This provides a real-time view of the project's financial progress.

5. **Balance to Finish**: This reflects the remaining unpaid amount for each line item, calculated by subtracting the payments to date from the total cost for each task.

6. **Linkage to Work Completed**: The SoV is closely tied to the work completed or stored on site. As work progresses, the contractor uses the SoV as a basis for preparing applications for payment.

7. **Preparation and Updates**: The initial SoV is typically prepared by the contractor and approved by the architect and owner before work begins. It's then updated regularly as work progresses and payments are made.

Understanding and managing the SoV is a critical part of effective project management, as it provides a detailed snapshot of the financial status of the project at any given time.

Subsection 3.4. **Retainage**:

Retainage, also known as retention, is a percentage of the total contract price that is withheld from the contractor until the work is fully completed. This ensures that the contractor completes the project to the agreed-upon standards and fulfills all the contract's terms. It serves as financial security for the owner against any defects or issues with the contractor's work.

Key Elements:

1. **Retention Percentage**: The percentage of retainage is typically stated in the contract. While it can vary, a common retainage rate is 10% of the contract price.

2. **Progress Payments**: During the construction process, the contractor is usually paid on a regular basis (such as monthly) for the work completed. These progress payments include the contract price minus the agreed-upon retainage.

3. **Release of Retainage**: Once the work is satisfactorily completed, typically at substantial completion, a portion or all of the retained amount is released to the contractor. The exact conditions for the release of retainage are outlined in the contract. 

4. **Final Completion and Release**: After substantial completion, the contractor is often required to correct any deficiencies or complete minor remaining work, known as "punch list" items. Once these are completed to the owner's satisfaction, any remaining retainage is released. 

5. **Retainage and Subcontractors**: Main contractors often withhold retainage from their subcontractors as well. This helps ensure that the subcontractors complete their work to the necessary standards.

Understanding the concept of retainage, its impact on cash flow, and how to manage it effectively is important for the successful execution of any construction project. It provides the owner with financial security and encourages the contractor to fully and satisfactorily complete the project.

Subsection 3.5. **Change Orders**

A Change Order is a document that reflects alterations to the original contract terms, including scope, time, cost, and other conditions. It's issued when unforeseen circumstances arise, design revisions are required, client preferences change, or new regulations are enacted after the contract has been signed.

Key Elements:

1. **Initiation**: A Change Order can be initiated by various parties, including the owner, architect, or contractor, as new requirements, constraints, or changes in conditions come to light.

2. **Documentation**: The Change Order clearly describes the changes in the scope of work, the associated costs, and any revisions to the project timeline. It also assigns responsibility for these changes.

3. **Approval**: Change Orders need to be approved by relevant parties, usually the owner, architect, and contractor. This formal approval ensures everyone is aware of the modifications and agrees to the new terms.

4. **Payment Alteration**: Change Orders can result in additional costs beyond the original contract sum. These costs should be itemized and agreed upon by all parties. Once approved, these changes impact the payment process as they can modify the overall budget and payment schedule.

5. **Impacts on Project**: Beyond the cost, Change Orders can influence project scheduling, resource allocation, project sequencing, and potentially lead to other change orders.

Change Orders are critical to the management of construction projects as they provide a structured process to handle inevitable alterations that arise during the project lifecycle. It's important for an architect to effectively manage Change Orders to avoid disputes, maintain project integrity, and keep the project on track towards successful completion.

Subsection 3.6. **Progress Payments**: 

Progress payments, also known as interim payments, are partial payments made to the contractor during the construction phase as specific phases or milestones are completed, rather than paying the full cost upon project completion. They are meant to cover the costs of labor, materials, and overhead for work completed to date.

Key Elements:

1. **Contractual Agreement**: The frequency and conditions of progress payments are usually defined in the contract. This could be monthly, bi-monthly, or upon reaching certain milestones. 

2. **Application for Payment**: The contractor submits an Application for Payment, often including a Schedule of Values, that details the work completed and the corresponding value. This application needs to be certified by the architect before the owner processes the payment.

3. **Review and Certification**: The architect reviews the progress on-site, validates the work completed against the submitted application for payment, and certifies the amount to be paid. 

4. **Release of Funds**: Once the architect has certified the work completed, the owner will release the funds to the contractor. 

5. **Retainage**: Often, a certain percentage of each progress payment is withheld, or "retained", by the owner to ensure satisfactory completion of the entire project. The accumulated retainage is generally paid out at substantial completion or final completion.

Understanding and managing progress payments are important skills for an architect, as they facilitate a smoother construction process, assist in cash flow management for contractors, and help to minimize financial risks associated with the project.

Subsection 3.7. **Final Payment**:

The final payment is the last contractual payment made by the owner to the contractor, marking the completion of all work as per the contract documents. This payment typically includes any retainage withheld during progress payments and is made once all project requirements are satisfied.

Key Elements:

1. **Completion of Work**: Final payment is made when all tasks outlined in the contract are complete. This includes not just the main construction work, but also smaller details like cleaning up the site, removing waste, etc.

2. **Substantial Completion**: Before the final payment, the project must have reached "substantial completion", a state where the project can be occupied and used for its intended purpose. This should be certified by the architect.

3. **Punch List**: A 'punch list' of minor fixes and touch-ups that need to be completed is often developed at substantial completion. The contractor must complete all items on this list before the final payment is released.

4. **Final Inspection and Certification**: An inspection is conducted to ensure all work, including the punch list, is complete. If satisfactory, the architect will issue a final certificate for payment.

5. **Release of Retainage**: The final payment includes the release of any retained amounts that were withheld during progress payments to ensure satisfactory completion of the project.

6. **Documentation**: All necessary documentation, including operation manuals, warranties, etc., should be handed over to the owner.

7. **Waiver of Liens**: The contractor and major subcontractors are usually required to provide a final waiver of liens, confirming that all bills related to the project have been paid. This protects the owner from any future claims.

Understanding the process and conditions of final payment is crucial for an architect's project management role to ensure a successful project closeout.

Subsection 3.8. **Lien Waivers**: 

A lien waiver is a written document from a contractor, subcontractor, material supplier, laborer, or other party to the construction project (the claimant) stating they have received payment and waive any future lien rights to the property for the amount paid. There are different types of lien waivers depending on the nature and stage of payment.

Key Elements:

1. **Types of Lien Waivers**: There are generally four types of lien waivers: 

    - Conditional Waiver on Progress Payment: This waiver becomes valid if the claimant receives the payment and covers work done up to a certain date.

    - Unconditional Waiver on Progress Payment: This waiver applies whether the claimant has been paid or not and covers work up to a certain date.

    - Conditional Waiver on Final Payment: This waiver becomes valid if the claimant receives the payment and covers all work.

    - Unconditional Waiver on Final Payment: This waiver applies whether the claimant has been paid or not and covers all work.

2. **Purpose**: Lien waivers protect the property owner or general contractor from having a lien placed on the property for work done or materials provided.

3. **Payment Verification**: Lien waivers are typically collected at the time of each payment and serve as a receipt for the payment.

4. **Waiver Collection**: It's generally the responsibility of the general contractor to collect waivers from every party from whom they request a waiver.

5. **Not a Release of Contract Rights**: While a lien waiver waives the claimant's right to place a lien on the property, it doesn't waive the claimant's contract rights. If the claimant is not paid, they can still file a lawsuit based on contract rights.

6. **Record Keeping**: Lien waivers are legal documents and must be stored and managed carefully. This includes tracking which waivers have been collected and which are outstanding, and filing and storing waivers for potential future reference.

The understanding of lien waivers and their appropriate use is an important aspect of an architect's project management responsibilities, particularly in the context of facilitating a smooth payment process.

Subsection 3.9. **Payment Certificates**: 

A Payment Certificate is a document issued under the terms of a construction contract, which certifies the amount of money due to a contractor for work they have completed during a specified period. It represents the architect's evaluation of the work completed and materials stored at the site, compared to the contract requirements.

Key Elements:

1. **Issuance**: The Payment Certificate is usually issued by the architect or a contract administrator after they have assessed the contractor's application for payment.

2. **Purpose**: The purpose of the Payment Certificate is to inform the client how much they should pay the contractor at that point in time. It's a key document in managing cash flow and financial risk during construction.

3. **Calculation**: The Payment Certificate will outline the value of the work completed, materials stored at the site, and the deductions (like retainage or back charges).

4. **Validity**: Payment Certificates are typically based on the architect's observation and assessment, not exhaustive inspection. It doesn't constitute acceptance of work not in accordance with the contract documents.

5. **Frequency**: Payment Certificates are often issued monthly, but this may vary based on the contract agreement.

6. **Dispute**: In case of disagreement about the value in the certificate, the contractor can dispute the certificate, and a resolution process (as defined by the contract) would be followed.

Payment Certificates are crucial documents that manage the payment process between the client and the contractor, mitigating financial risks and ensuring smooth project execution. Understanding their role, issuance process, and implications are vital aspects of an architect's project management responsibilities.

Subsection 3.10. **Interest and Penalties**: 

Interest and Penalties under the Payment Process in the "Project Execution" section typically refer to the additional charges or costs that may be incurred due to late payments or non-compliance with the terms of the construction contract.

Interest and penalties in a construction project are additional charges that may be applied due to late payments or failure to comply with the terms and conditions of the contract. These charges act as a deterrent against non-compliance and motivate parties to fulfill their obligations in a timely manner.

Key Elements:

1. **Contract Terms**: The specific details regarding interest and penalties, such as the rate of interest, the period after which penalties will start accruing, and the maximum allowable penalties, are generally defined in the contract. It's important to understand these terms before entering into the agreement.

2. **Late Payment Interest**: If the client fails to make payment within the time specified in the contract, they might be required to pay interest on the overdue amount. The rate at which this interest is charged should be clearly stated in the contract.

3. **Penalties**: Penalties could be levied for a range of contract breaches, such as failure to complete the work within the specified timeframe, not meeting the quality standards outlined in the contract, or failing to comply with other contractual obligations.

4. **Claiming Interest or Penalties**: In most cases, the aggrieved party must formally claim the interest or penalties, typically by issuing a notice or invoice. The process for this should be outlined in the contract.

5. **Disputes**: In case of disagreement over interest or penalties, the parties may need to resort to dispute resolution mechanisms, such as negotiation, mediation, arbitration, or litigation, as specified in the contract.

It's important for architects to understand the potential financial implications of late payments and contract non-compliance, both for their own business and in their role managing the contract administration process.

Subsection 4. **Quality Control Procedures**: 

Quality Control Procedures primarily examines the candidate's understanding of the processes and standards in place to ensure that the project adheres to the agreed-upon specifications and quality. 

Here's an overview of key knowledge areas:

4.1. **Understanding of Quality Control (QC)**: Quality Control refers to the set of procedures used to ensure that a manufactured product or performed service adheres to a defined set of quality criteria or meets the client's requirements.

4.2. **Implementing QC Procedures**: An understanding of how to implement QC procedures in a project management context is essential. This includes establishing standards, implementing QC methods, and measuring results.

4.3. **Standards and Specifications**: You should understand various standards and specifications that the project must comply with. This includes building codes, safety standards, and the specific standards outlined in the project contract documents.

4.4. **Inspections and Testing**: Knowledge of different types of inspections and testing methods, such as peer reviews, site visits, and using specific testing equipment or software, is important.

4.5. **Review of Submittals**: The review of submittals, such as shop drawings, product data, and samples, is a major part of quality control in architecture. The architect checks these submittals to ensure they conform to the design intent.

4.6. **Defects and Non-Conformities**: Procedures for identifying and addressing defects and non-conformities, including punch lists, correction notices, or rework, are essential elements of quality control.

4.7. **Documentation**: You need to understand the importance of documentation in QC procedures. This includes the creation and maintenance of inspection records, test results, and correction actions.

4.8. **Continuous Improvement**: The principle of continuous improvement in quality control implies an ongoing effort to improve products, services, or processes. You should understand how to analyze quality control outcomes and use these insights for continuous improvement. 

4.9. **Role of the Architect in Quality Control**: The architect plays a crucial role in quality control in the construction process. This includes overseeing the quality of both their own architectural work and the construction work.

Subsection 4.1. **Understanding of Quality Control (QC)**:

Quality Control (QC) refers to a set of procedures employed to ensure that a service or manufactured product adheres to a defined set of quality criteria or satisfies the requirements of the client.

Key Elements of Quality Control:

1. **Standards**: Quality Control procedures are usually defined by clear, specific standards. These standards outline the expected levels of service, product quality, and workmanship. They could be internal to a company or defined by external bodies such as industry regulatory authorities or standardization organizations.

2. **Inspection**: This is a significant part of QC and involves checking completed work or services against the established standards. It might involve visual inspections, testing of materials, or using specific inspection tools or equipment.

3. **Testing**: QC often involves testing of materials or services. This testing ensures that the materials used or the service provided meets the specified standards of quality. 

4. **Documentation**: Detailed records are kept of QC tests and inspections. These records can serve as proof of compliance with quality standards, and can also provide valuable data for improving processes in the future.

5. **Corrective Action**: If issues are found during the QC process, corrective actions are implemented. This may include reworking a product, modifying a service, or in some cases, rejecting work products outright.

6. **Continuous Improvement**: The QC process is also a part of the organization's continuous improvement efforts. By finding and correcting issues, the company can continuously improve the quality of its products or services.

Remember, the goal of QC is to identify and correct problems after they occur, but before the goods or services are delivered to the client. It's a reactive process and forms an important part of the overall quality management system, which also includes Quality Assurance (QA) - a proactive process designed to prevent errors and defects from occurring in the first place.

Subsection 4.2. **Implementing QC Procedures**: 

Implementing Quality Control (QC) procedures refers to the practical application of the techniques and activities that ensure a product, service, or process meets specified requirements and achieves its intended quality levels.

Key elements for implementing QC Procedures are:

1. **Plan Development**: Before any QC procedures can be implemented, a plan needs to be developed. This plan should outline the quality standards, how they will be met, and how the project team will measure compliance.

2. **Communication**: The QC procedures need to be communicated clearly to all members of the project team to ensure everyone understands the quality expectations, and their role in meeting these expectations.

3. **Training**: If the QC procedures require specific skills or knowledge, relevant training should be provided to team members.

4. **QC Activities**: This can involve a variety of actions, from inspecting completed work to reviewing work-in-progress to testing materials. These activities should be planned and structured, with a clear process for how they will be carried out.

5. **Documentation**: All QC activities should be documented. This provides a record of what has been checked, when, and by whom. It also creates a record of the findings, and any corrective action taken.

6. **Corrective Action**: If issues are identified during QC checks, corrective actions need to be implemented. This could involve rework, changes to processes or even rejection of work products.

7. **Feedback and Improvement**: The results of QC activities should be used to improve future performance. This can involve changes to the procedures themselves, or to the underlying processes being checked.

8. **Periodic Review**: QC procedures should be reviewed regularly to ensure they remain effective. This includes checking that the procedures are being followed, and that they are still appropriate for the work being done.

Remember, the aim of implementing QC procedures is to catch and correct errors or defects before the final product, service, or process is delivered to the client. It forms part of the wider quality management system, which also includes proactive quality assurance processes.

Subsection 4.3. **Standards and Specifications**: 

Standards and Specifications refer to the detailed written documents that describe the materials and workmanship required for a construction project. These documents set the quality standards and procedures that must be followed during the construction phase.

Key elements of Standards and Specifications include:

1. **Performance Specifications**: These specifications outline the operational requirements or the desired output for a particular system or component. They leave the methods for achieving this outcome to the contractor, allowing for flexibility and innovation in meeting the required standard.

2. **Prescriptive Specifications**: This type of specification prescribes the exact methods and materials to be used in the construction. They are detailed and leave little room for interpretation or deviation, which can be beneficial when specific methods or materials are required to meet the design intent.

3. **Proprietary Specifications**: These specifications call for specific materials, products, or systems by manufacturer name. They are often used when there's a specific product that's necessary for the project or when a particular outcome is desired that can only be achieved by a specific product.

4. **Standards**: These are often referenced in the specifications and they provide the technical definitions and guidelines to ensure that products, systems, and services meet the necessary safety, consistency, reliability, and quality requirements. Examples include ASTM, ANSI, and ISO standards.

5. **Consistency and Coordination**: Specifications should be consistent and coordinated with the rest of the contract documents, such as the drawings. Any discrepancies can lead to confusion, errors, or disputes during construction.

6. **Enforcement**: Quality control procedures ensure that these specifications are followed. This can involve site inspections, review of shop drawings, material testing, and other methods to verify compliance.

Remember, Standards and Specifications not only outline the project's quality requirements, but they also serve as a legal document. They form part of the contract between the client and the contractor, and therefore are enforceable under law.

Subsection 4.4. **Inspections and Testing**:

 Inspections and Testing are a vital part of Quality Control Procedures in project execution. They ensure that the work being done and the materials being used meet the standards and specifications outlined in the project documentation. Proper inspection and testing procedures help maintain the integrity of the project and can identify potential issues before they become larger problems.

1. **Inspections:** These are systematic examinations of the work being completed, usually performed by the project architect or a consultant. Inspections ensure that the construction is following the design plans, complies with the building codes, and meets the quality standards set in the contract documents.

2. **Testing:** This refers to the evaluation of specific materials, components, or systems to verify their performance and compliance with specified standards. Testing might be carried out in a lab (for example, testing concrete for strength) or on-site (such as load testing a structural element).

**Key Elements:**

1. **Frequency:** Inspections and testing should be performed regularly throughout the construction phase. The frequency will depend on the complexity of the project, the nature of the work being performed, and any requirements set out in the contract documents or by building codes.

2. **Documentation:** Each inspection or test should be documented. The documentation should include details of what was inspected/tested, who performed it, the date and time, the results, and any actions taken as a result.

3. **Verification:** Inspections and testing verify that the work being done aligns with the contract documents. Any discrepancies should be addressed immediately to prevent delays or additional costs.

4. **Special Inspections:** Some aspects of construction require specialized expertise to inspect. For example, structural elements, mechanical systems, or fireproofing may need a specialist to ensure they meet specific safety and performance criteria.

5. **Testing Laboratories:** When material testing is needed, it's often carried out by an accredited testing laboratory. The choice of lab may be specified in the contract documents, or it may be left up to the contractor.

6. **Action on Non-compliance:** If an inspection or test reveals a non-compliance issue, action must be taken. This might include corrective work, retesting, or in extreme cases, work stoppage until the issue is resolved.

7. **Final Inspection:** At the end of construction, a final inspection is performed to ensure that all work is complete and meets the standards set out in the contract documents. It's often a prerequisite for the issuance of a certificate of occupancy.

Remember, the goal of inspections and testing is to ensure that the final project meets the quality, safety, and performance standards set out in the project documents. Understanding the process can help prevent issues, manage risk, and ensure client satisfaction.

Subsection 4.5. **Review of Submittals**:

The Review of Submittals is a critical aspect of Quality Control Procedures in project execution. Submittals are those documents or items that a contractor must submit to the architect for approval during the construction process to verify that the correct products and quantities will be installed on the project. They can include product data, samples, shop drawings, and other relevant information. This process involves the architect's examination of the contractor's submittals to ensure that they comply with the design intent and the contract documents' specifications.

**Key Elements:**

1. **Submittal Log:** A register or log is typically maintained to keep track of all the submittals, their status, who's responsible, and the dates they're due and received. It's a critical tool in managing the review process effectively.

2. **Types of Submittals:** The typical types of submittals include product data, samples, shop drawings, mock-ups, test reports, and warranties.

3. **Purpose:** The purpose of the review is not only to ensure that the items being used are in accordance with the design intent and contract documents, but also to catch potential issues before they become costly mistakes on the construction site.

4. **Timing:** Reviewing submittals is usually done in the early stages of the construction phase, before specific products or components are ordered or installed.

5. **Responsibility:** While the contractor is responsible for submitting the correct information, the architect is responsible for conducting the review. However, the architect's review does not relieve the contractor of their responsibility for errors or omissions.

6. **Documentation:** The results of the review should be documented. Any rejections or required corrections should be noted and communicated back to the contractor.

7. **Impact on Schedule:** Delays in the submittal review process can impact the construction schedule. It's important to review and respond to submittals in a timely manner to keep the project on track.

8. **Architect’s Stamp:** Architects often use a stamp or form when reviewing submittals to clearly show the result of the review (approved, approved as noted, revise and resubmit, etc.)

The Review of Submittals is a key quality control procedure that helps to ensure the project is built according to the design intent and meets the standards set out in the contract documents. Understanding the process can help avoid misunderstandings, manage risk, and ensure the success of the project.

Subsection 4.6. **Defects and Non-Conformities**: 

The identification and management of defects and non-conformities is an important aspect of Quality Control Procedures in project execution. These refer to instances when the work performed or the materials used do not comply with the contract documents.These are instances when the materials, work, or design do not align with the agreed specifications or standards in the contract documents.

**Key Elements:**

1. **Identifying Defects and Non-Conformities:** During construction, regular inspections and reviews are necessary to identify any work or materials that do not meet the specifications outlined in the contract. This could involve physical inspections, reviews of documents, or testing.

2. **Recording:** Any defects or non-conformities identified should be documented accurately, noting the nature of the problem, where and when it was found, and any other relevant details.

3. **Notification:** The contractor should be informed immediately of any defects or non-conformities identified so they can take corrective action.

4. **Corrective Action:** Depending on the nature and severity of the defect, the contractor might need to repair, replace, or redo the work. In some cases, if the defect does not affect the function or safety of the building, it may be possible to negotiate a change order or a reduction in the contract sum instead.

5. **Re-Inspection:** Once corrective action has been taken, the work or material should be re-inspected to ensure it now meets the required standards.

6. **Follow-up:** It's also important to follow up on defects and non-conformities to ensure they have been fully resolved and to prevent them from reoccurring. This might involve reviewing procedures, retraining staff, or making changes to the design.

7. **Contract Terms:** The contract should outline the procedure for handling defects and non-conformities, including who is responsible for identifying and correcting them, and the timeframe in which they must be corrected.

The process of managing defects and non-conformities is essential for ensuring the quality of the construction work, and for maintaining the integrity of the design and the safety of the building. Understanding this process can help you manage risks and ensure the success of your projects.

Subsection 4.7. **Documentation**: 

Documentation under Quality Control Procedures pertains to the thorough record-keeping of all activities related to the quality management of the project. This refers to the systematic procedure of organizing, storing, and maintaining all documents and records relevant to the project's quality control process.

**Key Elements:**

1. **Quality Management Plan:** The Quality Management Plan outlines the quality control and quality assurance protocols for the project. It's a critical document that guides how quality will be managed and validated throughout the project.

2. **Quality Control Reports:** These reports document the results of quality control activities. They typically include information on inspections, tests, and evaluations performed to assess the quality of the work.

3. **Non-conformance Reports:** These reports detail any aspect of the project that does not comply with the established standards or specifications. They generally include a description of the non-conformance, its impact, and recommended corrective actions.

4. **Corrective Action Reports:** These reports document the measures taken to fix a non-conformance. They typically include information on what was done, who performed the corrective action, and when it was completed.

5. **Inspection and Test Records:** These documents provide a record of all inspections and tests carried out during the project, including who performed them and what the results were.

6. **Quality Audit Reports:** These reports document the findings of quality audits, which are systematic reviews of the project's quality management activities.

7. **Lessons Learned Reports:** These reports document valuable insights gained from managing the project’s quality. They include successes, failures, and recommendations for future projects.

8. **Document Management:** All these documents should be appropriately managed, including proper filing, accessibility, security, and retention for future reference or in case of audits.

Documentation in quality control procedures ensures transparency, traceability, and accountability in the project execution process. It provides a historical reference for future projects and can serve as evidence in case of disputes. Proper documentation is essential for achieving and maintaining project quality, as well as for legal and contractual compliance.

Subsection 4.8. **Continuous Improvement**:

Continuous Improvement in Quality Control Procedures pertains to the proactive process of identifying, analyzing, and improving upon existing processes within the project to optimize performance, increase efficiency, and boost effectiveness.

This is a method for identifying opportunities for streamlining work and reducing waste. The practice, formalized by the popularity of Lean / ISO 9000 / Six Sigma methodologies, involves ongoing efforts to improve services, processes, or products.

**Key Elements:**

1. **Assessing Performance:** This involves measuring and tracking performance metrics over time. By looking at trends and patterns, you can determine what's working and what isn't.

2. **Identifying Opportunities:** Continuous improvement means always being on the lookout for ways to improve. This involves soliciting feedback from clients, staff, and stakeholders, as well as doing your own research into best practices.

3. **Problem Solving:** When problems are identified, it's crucial to not just put a temporary fix in place but to dig deeper to discover the root cause and address that.

4. **Implementing Solutions:** Once you've determined a more efficient method or a way to cut waste, it's time to put that into action. 

5. **Review and Refine:** Implementing a new process or making a change isn't the end of the improvement process. You should be reviewing all changes to see if they've had the intended effect.

6. **Repeat:** Continuous improvement is cyclical in nature. Once you've made one round of changes and reviewed their effectiveness, it's time to start the cycle again.

By focusing on continuous improvement, an organization can make small, incremental changes that can have a big impact over time. It's a long-term approach that can lead to significant benefits such as cost savings, time savings, improved productivity, and increased customer satisfaction.

Subsection 4.9. **Role of the Architect in Quality Control**:

The role of the Architect in Quality Control Procedures is crucial for ensuring the project is carried out according to the design intent, industry standards, and project requirements. The architect not only influences the quality of the final constructed project but also has a major impact on the project delivery process.

The architect's role in quality control involves overseeing and reviewing the work to ensure it aligns with the project's design, standards, and requirements. The architect may also be responsible for developing and implementing quality control procedures throughout the project.

**Key Elements:**

1. **Design Review:** The architect often leads design reviews to ensure that the project's design is being correctly implemented. This can involve reviewing drawings, details, and other design documents.

2. **Standards and Specifications:** The architect is responsible for ensuring that the design adheres to applicable building codes, industry standards, and client requirements.

3. **Submittal Review:** Part of the architect's role in quality control often involves reviewing submittals (such as material samples, shop drawings, and product data) from the contractor to verify they comply with the design documents.

4. **Inspections:** The architect may be involved in site visits to visually inspect the work. While the architect is not responsible for construction means and methods, they do review the work for conformance with the design.

5. **Documentation:** The architect may be responsible for documenting quality control activities, such as recording the results of reviews and inspections. This documentation can be crucial for resolving disputes and for future reference.

6. **Communication:** The architect plays a pivotal role in communicating quality standards and expectations to the project team and ensuring everyone understands their roles and responsibilities in achieving quality objectives.

7. **Non-Conformities:** If any defects or non-conformities are found, the architect can play a key role in addressing these issues, including suggesting remedial measures, reviewing proposed solutions, and verifying the implementation of these solutions.

Remember, the architect's role in quality control is crucial but is not the same as the contractor's role, which is to build the project according to the contract documents. The architect's role is to help ensure the project is being built according to the design intent and contract documents.

Subsection 5. **Project Changes**: 

Project Execution covers important aspects of managing changes during a project's execution. You should be knowledgeable about the different types of changes, how to manage them, and their potential impacts on a project's schedule, cost, and quality. This could include the following topics:

5.1. **Definition of Project Changes**: Understand what constitutes a change in a project. This includes changes to the scope of work, project requirements, design revisions, or any alteration that impacts the contract's original terms.

5.2. **Change Orders**: These are written orders issued by the owner that modify the construction contract after the work has begun. Understand the process of issuing a change order, including the role of the architect in reviewing and validating these changes.

5.3. **Construction Change Directives (CCD)**: This is a written order by the owner, prior to the agreement on adjustment, directing a change in the work and stating a proposed basis for adjustment, if any. It requires the understanding of when it is appropriate to use a CCD instead of a change order.

5.4. **Requests for Information (RFIs)**: Recognize when RFIs may lead to a project change, as they are often used to clarify plans, specifications, and contract documents. Understand the role of the architect in responding to RFIs.

5.5. **Architect’s Supplemental Instructions (ASI)**: An ASI is a document from an architect that provides additional information, clarification, or minor adjustment to the scope of work, without any change in the contract sum or contract time.

5.6. **Impact on Project Schedule and Cost**: Understand how changes can impact a project's schedule and cost. This includes direct costs related to the change and potential delay costs.

5.7. **Dispute Resolution**: Recognize methods for resolving disputes related to project changes. This could involve negotiation, mediation, arbitration, or litigation.

5.8. **Record Keeping**: Understand the importance of documenting all project changes and maintaining good records. These records are essential for any potential disputes and for managing project costs and schedules.

In addition to these specific topics, you should be aware of the architect's role in managing project changes and how they interact with the owner, contractor, and other stakeholders during this process. Also, it's important to know how these changes might impact the architect's legal responsibilities and potential liability.

Subsection 5.1. **Definition of Project Changes**:

A Project Change refers to any alteration, modification, or variation from the originally agreed-upon project scope, design, or contract documents. This could be due to changes in the client's requirements, unforeseen conditions, changes in laws or regulations, or any other circumstance that affects the initial plans, specifications, or contract. 

Key elements of Project Changes include:

1. **Change in Scope**: This happens when there is a modification in the initial work scope, such as adding, removing, or altering features in the design, changing materials, or varying the quality standards. 

2. **Changes in Time or Cost**: Changes can also impact the project timeline or budget. An expanded scope usually implies more time and cost, while reductions may save time or money.

3. **Changes in Quality or Performance**: Changes can also affect the quality or performance of the final product, such as substituting specified materials or systems with different ones.

4. **Contract Modifications**: A project change often requires a modification of the original contract, including changes in project deliverables, timelines, or costs. These should be properly documented in a change order or similar contractual document.

5. **Request for Information (RFI)**: These can often lead to project changes when the RFI reveals that some aspect of the project is not as originally understood and needs adjustment.

Understanding and managing project changes effectively is a key skill for architects. This involves recognizing when a change has occurred, negotiating and documenting the change with all parties involved, and coordinating the implementation of the change to minimize impact on project schedule, budget, and overall quality.

Subsection 5.2. **Change Orders**:

A Change Order is a formal amendment to the original contract that changes the scope of work and can alter the project’s cost and schedule. Change Orders are common in construction projects due to unforeseen circumstances, errors or omissions in the design, or changes in the owner's requirements.

Here are the key elements involved with Change Orders:

1. **Definition**: A Change Order is an official modification to the original contract that alters the cost, time, or scope of the work. Change Orders should be in writing and signed by the contractor, owner, and often the architect, indicating agreement.

2. **Cost Implications**: Change Orders often result in adjustments to the contract sum. This can either be an addition or deduction based on the nature of the change.

3. **Time Implications**: Change Orders can also lead to changes in the project schedule, extending or shortening the completion date.

4. **Documenting Changes**: It's essential to thoroughly document the nature of the change, its impact on the project's cost and timeline, and any adjustments to the contractor's and architect's responsibilities. 

5. **Review and Approval**: All Change Orders must be reviewed and approved by the relevant parties before work commences. The architect often reviews Change Orders for conformity to the design intent and may approve them, but the owner is usually the one who must authorize any cost changes.

6. **Negotiation**: The details of a Change Order, such as the cost and time extension, are often subject to negotiation between the owner, contractor, and sometimes the architect.

Understanding the nature of Change Orders, their potential impacts, and the process of documentation and approval is crucial for effective project management, especially in minimizing project risks and disputes.

Subsection 5.3. **Construction Change Directives (CCD)**: 

A Construction Change Directive (CCD) is a written order prepared by the architect, directing a change in the work before the finalizing of the terms of a change order. This is often used when there is not enough time to negotiate the final cost or when the cost and time impacts of the change are not agreed upon before the work needs to start.

Here are the key elements involved with Construction Change Directives (CCD):

1. **Definition**: A CCD is a document issued by the architect that directs the contractor to make a change in the work. The CCD specifies the changes but the additional cost and/or time may be determined and agreed upon later.

2. **Pricing and Schedule**: The CCD will often include a rough estimate of the change in cost and schedule, but the actual values will be determined later. 

3. **Timeliness**: CCDs are typically issued when there's urgency, and there isn't enough time to negotiate the terms of a full change order.

4. **Review and Approval**: Like Change Orders, CCDs require review and approval. They are typically reviewed by the owner, architect, and contractor, with each party signing the CCD to indicate acknowledgment.

5. **Documentation**: CCDs should include a detailed description of the change in the work, the reason for the change, and any adjustments to the contractor's and architect's responsibilities.

6. **Conversion to Change Orders**: Once the cost and time impacts of the work described in the CCD are agreed upon, the CCD is usually converted into a formal Change Order.

Understanding CCDs is crucial for managing changes in a construction project, especially changes that need to be implemented quickly.

Subsection 5.4. **Requests for Information (RFIs)**:

A Request for Information (RFI) is a formal process used by the construction industry to obtain clarification or more information about the plans, specifications, or contract documents of a construction project. RFIs are typically initiated by contractors, subcontractors, or suppliers and are directed towards the project's design team, usually the architect or engineer.

Key elements of Requests for Information (RFIs) include:

1. **Definition**: An RFI is a formal communication tool used on a project to request further information or clarification about the design or construction documents. 

2. **Purpose**: RFIs are crucial for avoiding misunderstandings or mistakes due to ambiguous or incomplete information in project documents. They ensure that everyone has a clear understanding of the design intent.

3. **Initiators**: RFIs are usually initiated by contractors, subcontractors, or suppliers. They are often necessary when the party needs further clarification to complete their work accurately and correctly.

4. **Recipients**: RFIs are generally directed towards the project's architect or engineer. These are the professionals who have the authority to interpret the contract documents and provide the requested information.

5. **Documentation**: The RFI is a written document and typically includes the question or clarification needed, reference to the relevant project documents, and any proposed solutions. It's crucial to keep track of all RFIs as part of the project's documentation.

6. **Response Time**: The turnaround time for RFI responses should be as quick as possible to prevent project delays. The contract usually stipulates the expected response time.

7. **RFI Log**: All RFIs and their responses should be tracked in an RFI log. This log can be crucial in resolving disputes or understanding decisions made during the construction process.

Understanding the RFI process is essential for effective communication and problem resolution on a construction project. As a project manager, you will need to manage this process to ensure timely responses and appropriate documentation.

Subsection 5.5. **Architect’s Supplemental Instructions (ASI)**:

An Architect's Supplemental Instruction (ASI) is a document issued by an architect during the construction phase of a project. The ASI provides additional clarification or explains a minor adjustment in the project's plans, specifications, or contract documents, but it doesn't alter the contract's scope or cost.

Key elements of Architect's Supplemental Instructions (ASIs) include:

1. **Definition**: ASI is a non-contractual document used by the architect to provide additional information or minor modifications to the project without changing the contract sum or contract time. 

2. **Purpose**: ASIs are used to further clarify or explain the design intent, resolve minor discrepancies, or respond to contractor's requests for information (RFIs). They are crucial for maintaining clear and consistent communication during the project's construction phase.

3. **Changes to Contract**: Unlike change orders or construction change directives (CCDs), ASIs do not change the scope, cost, or schedule of the project. If a proposed change impacts these aspects, it should be addressed through a change order or CCD, not an ASI.

4. **Authority**: ASIs are issued by the architect or architectural firm responsible for the project. They are a tool for the architect to convey additional information or minor corrections without altering the terms of the contract.

5. **Response and Compliance**: Contractors are expected to comply with ASIs. Any disagreement or concern should be communicated back to the architect promptly.

6. **Documentation**: All ASIs issued on a project should be carefully documented and incorporated into the project record. This documentation is essential for tracking changes and can be helpful in resolving disputes or issues that arise later in the project.

Understanding the purpose and use of ASIs is important for an architect in managing and executing construction projects. As a project manager, you will need to know when and how to issue an ASI effectively.

Subsection 5.6. **Impact on Project Schedule and Cost**:

Changes to a project, whether they're change orders, construction change directives (CCD), or responses to requests for information (RFI), can have a significant impact on both the project schedule and cost. Understanding these impacts is crucial for effective project management.

**Impact on Project Schedule:**

Changes to the project can lead to schedule delays. For instance, a change in the project might require additional work or resources, which could extend the timeline of the project. The cumulative effect of many small changes can also lead to a significant delay.

Key elements related to schedule impact include:

1. **Critical Path:** Understanding the critical path of the project schedule is essential. Changes affecting tasks on the critical path will have a direct impact on the project's completion date.

2. **Delays:** Delays can occur because of changes in materials, construction methods, or design aspects of the project. 

3. **Acceleration:** If changes cause significant delays, the project team may need to accelerate other parts of the work to meet the original completion date, which can lead to increased costs.

**Impact on Project Cost:**

Changes can also increase the project's costs. Additional labor, materials, or equipment might be needed to accommodate the change, all of which can increase costs.

Key elements related to cost impact include:

1. **Direct Costs:** Changes often lead to direct cost increases, such as additional materials, labor, and equipment. 

2. **Indirect Costs:** Changes can also result in indirect costs. For example, a delay in the schedule might lead to extended general conditions, overhead costs, or potentially liquidated damages if the project exceeds its contracted completion date.

3. **Contingency:** A contingency allowance is typically included in the budget to cover unexpected costs like these. If changes cause the contingency to be depleted, the overall budget may need to be increased.

For the ARE Project Management exam, you'll need to understand how to manage project changes to mitigate their potential impacts on the schedule and budget. This includes effectively communicating changes to all stakeholders, carefully documenting changes and their impacts, and strategically planning to absorb these changes with minimal disruption to the project's overall timeline and budget.

Subsection 5.7. **Dispute Resolution**:

Dispute Resolution is an integral part of project management, particularly in the realm of construction and architecture. As a process, it involves resolving disagreements that arise during the course of a project. These disagreements can stem from various aspects such as scope of work, contractual terms, project delays, or costs.

Key Elements to understand for the ARE Project Management exam include:

1. **Prevention:** The best way to manage disputes is to prevent them from occurring in the first place. Clear communication, proper documentation, and a thorough understanding of the contract by all parties involved are crucial preventive measures.

2. **Contractual Clauses:** Contracts typically include clauses outlining the procedures for dispute resolution, such as negotiation, mediation, arbitration, or litigation. Understanding these processes is critical in managing disputes.

3. **Negotiation:** This is the first step in resolving any dispute. It involves discussion between the parties directly involved in the dispute, aiming to reach a mutually acceptable resolution.

4. **Mediation:** If negotiation does not resolve the dispute, a neutral third party, or mediator, may be brought in to facilitate dialogue and guide the parties towards a resolution. The mediator does not make a decision but helps the parties find a resolution themselves.

5. **Arbitration:** This process involves a neutral third party or parties (the arbitrators) who review the dispute and make a decision. The decision can be binding (must be followed) or non-binding (advisory), as specified in the contract.

6. **Litigation:** This is the most formal dispute resolution process and involves going to court. It is generally the last resort due to its high costs and lengthy timeframe.

7. **Documentation:** Proper documentation is vital throughout any project and becomes extremely important in the event of a dispute. This may include contracts, emails, meeting minutes, change orders, and any other documentation related to the project.

Understanding these key elements of dispute resolution is vital for effective project management. It will also be an essential aspect of the Project Management section of the ARE exam.

Subsection 5.8. **Record Keeping**:

Impact on Record Keeping pertains to how changes made during the project affect the documentation and record-keeping processes.

Record keeping is crucial in project management as it provides evidence of project-related decisions, changes, and actions taken. It helps in tracking progress, identifying issues, and can serve as a critical resource in the event of a dispute or for future reference. Changes in the project, be it design changes, schedule adjustments, or scope modifications, should be thoroughly documented and kept in an orderly and accessible manner. 

Key elements related to the impact of project changes on record keeping include:

1. **Change Orders:** Any modification in the project’s design, scope, or schedule often comes in the form of change orders. These need to be properly documented, showing what the change involves, its impact on the project's timeline and budget, and acceptance from all the relevant parties.

2. **Meeting Minutes:** Changes discussed and decided in meetings need to be reflected accurately in meeting minutes. This allows all stakeholders to stay informed about decisions made and tasks assigned.

3. **Correspondence:** Changes may prompt discussions via emails, memos, letters, or other forms of correspondence. All communication related to project changes must be documented and organized to maintain a record of decisions and responses.

4. **Drawings and Specifications:** Any alterations to design details, specifications, or drawings must be updated promptly. The revised versions should be date-stamped and saved to reflect the current state of the project accurately.

5. **Contracts and Agreements:** Amendments to contracts or agreements due to project changes should be clearly documented and agreed upon by all concerned parties.

6. **Requests for Information (RFIs):** RFIs related to project changes should be tracked carefully. The responses can result in changes to the project and should be reflected in the project documentation.

7. **Architect’s Supplemental Instructions (ASI):** ASIs are issued to provide clarification or minor adjustments to the contract documents and should be thoroughly documented. 

8. **Financial Records:** Changes can have a significant impact on project costs. All financial implications of changes should be recorded and reflected in the financial reports.

Subsection 6. **Documentation during Construction**: 

In this subsection, you'll need to understand how to document different processes and events that occur during the construction phase of a project. Keeping track of such details ensures the project is carried out according to the set plans and standards, and it can serve as a reference point in case disputes arise later on. 

Key elements in this subsection include:

6.1. **Construction Observations and Reports:** The architect's role during construction includes periodic site visits to observe the progress and quality of the work and to determine if the work is proceeding according to the contract documents. The observations must be documented in field reports, noting any discrepancies or issues that need to be addressed.

6.2. **Submittal Review:** Submittals (e.g., shop drawings, samples, product data) are used to confirm materials and methods proposed by the contractor meet the design requirements as per the contract. The review process must be documented to show the architect's approval or needed corrections.

6.3. **RFIs (Requests for Information) and Responses:** Architects should document all RFIs and their responses, to ensure there's a clear record of any clarifications or changes made during construction.

6.4. **Change Orders:** Changes to the original contract, whether they're alterations in design, material, or scope of work, should be documented in a change order, which provides a record of changes made, including the reason for the change, impact on cost, and revised schedule, if any.

6.5. **Construction Change Directives (CCDs):** These provide a written order directing a change in the work before agreement on an adjustment of contract sum or time. Documenting CCDs and their impacts on cost and schedule is crucial.

6.6. **Architect's Supplemental Instructions (ASIs):** These are used to clarify or provide further detail about the work, without changing the contract sum or time. Documenting these can be crucial for clarifying instructions and avoiding potential confusion or disputes.

6.7. **Meeting Minutes:** Meetings among project stakeholders should be thoroughly documented, with clear minutes taken to keep track of decisions made, issues discussed, and action items identified.

6.8. **Applications for Payment:** Payment applications from the contractor should be documented and reviewed. These documents help to ensure the contractor is paid for work performed and materials supplied according to the contract terms.

6.9. **Punch Lists:** A punch list includes work that does not conform to contract specifications, has not been properly completed, or is yet to be completed. 

Remember that clear and consistent documentation during construction is key for project management. Accurate records can protect all parties involved if there are disputes and can help ensure the project is completed as per the contract documents.

Subsection 6.1. **Construction Observations and Reports:** 

Construction Observations and Reports refers to the process in which an architect observes the construction of a project on a regular basis and documents their findings in written reports. This is a crucial part of the architect's role during the construction phase as it helps ensure the work is being executed in compliance with the contract documents.

Key elements of Construction Observations and Reports include:

1. **Observations:** The architect makes regular site visits to observe the quality and progress of the work. The purpose of these observations is not to supervise the construction, but rather to become generally familiar with the work, and to assess whether the work is proceeding in accordance with the contract documents.

2. **Reports:** Following each site visit, the architect creates a field report documenting what was observed. This may include the progress of different trades, the methods being used, the quality of the work, any discrepancies or deviations from the contract documents, and other relevant information. It's important to note that the report should describe what was observed, not provide an evaluation of the work.

3. **Photographic Documentation:** It can be beneficial to include photographs in the field reports. These can provide a visual record of the work, showing details that may be difficult to describe in words. It's important to ensure that photographs are clear, well-lit, and show the necessary context.

4. **Communication with Contractor:** If any issues or discrepancies are observed during the site visit, these should be communicated to the contractor for resolution. This communication should also be documented in the field report.

5. **Record Keeping:** The field reports are part of the project's official record. They can be useful for tracking the project's progress, for reference in any future disputes or claims, and for post-occupancy evaluations.

Note that construction observations and reports are an important part of an architect's services and can provide significant value to the client. They can help identify and address issues early, before they become costly or time-consuming to fix, and they can help ensure that the project is completed to the quality and standards specified in the contract documents.

Subsection 6.2. **Submittal Review:** "

Submittal Review refers to the process by which the architect reviews documents submitted by the contractor to ensure that the specified materials, products, and systems meet the requirements of the design intent expressed in the contract documents. This process is crucial in confirming that the contractor understands the design and the contractor's proposed methods will deliver a project that conforms to the design.

Key elements of the submittal review process include:

1. **Submittal Schedule:** At the beginning of the construction phase, the contractor typically provides a submittal schedule, which is a timeline that outlines when various submittals (samples, shop drawings, product data, etc.) will be provided for the architect's review. The architect must be able to manage their time efficiently to review and respond to these submittals promptly.

2. **Submittal Log:** The architect often maintains a log of all submittals, tracking their receipt, review status, and return to the contractor. This helps keep the process organized and ensures that no submittal is overlooked.

3. **Review for Conformance:** When reviewing submittals, the architect is checking for conformance with the design intent as expressed in the contract documents. This review does not extend to means, methods, techniques, sequences, or procedures of construction unless they are specifically called out in the contract documents.

4. **Response Time:** The contract usually specifies a time period (such as 10 or 14 days) in which the architect must return the reviewed submittals. This ensures that the construction process is not delayed due to submittal reviews.

5. **Action Taken:** After reviewing a submittal, the architect indicates the action taken, typically using a stamp or mark on the submittal itself. This may include "approved," "approved as noted," "revise and resubmit," or "rejected."

6. **Records:** Reviewed submittals form part of the project record and can be important in resolving disputes or claims. They should be filed and stored carefully.

7. **Liability:** It is important to note that submittal review does not relieve the contractor of their responsibility for errors and omissions in the submittals or for meeting the requirements of the contract documents. Submittal review also does not constitute acceptance of deviations from the contract documents, unless the architect has clearly and in writing agreed to such deviations. 

Remember, the submittal review process is a key part of quality control during the construction phase, helping to ensure that the completed project will conform to the specified requirements.

Subsection 6.3. **RFIs (Requests for Information) and Responses:**

Requests for Information (RFIs) are formal questions raised by the contractor during the construction process. These questions can be about anything that is unclear or needs further clarification in the contract documents. RFIs play a vital role in preventing misunderstandings and misinterpretations, thereby helping to keep the project on track.

Key elements of the RFIs and responses process include:

1. **Clarity and Detail:** The contractor needs to ensure that each RFI is clear, concise, and includes all relevant details to help the architect understand the query and respond accurately.

2. **Response Time:** The contract typically specifies a time frame within which the architect needs to respond to RFIs. This is to ensure that the project doesn't suffer unnecessary delays.

3. **Log of RFIs:** A running log of all RFIs and their status (open, closed, in progress) is usually maintained by the architect. This log will include the date the RFI was received, the response deadline, the date of the response, and a summary of the issue and response.

4. **Impacts to the Project:** The RFI should include an explanation of how the issue impacts the project, particularly the work schedule or costs.

5. **Architect’s Response:** The architect's response should be clear and thorough. They should indicate whether the RFI results in a change to the contract documents. If the RFI will result in a change to the contract cost or schedule, the architect should indicate this so the contractor can submit a proposal or quote.

6. **Communication:** RFIs and responses should be distributed to all relevant parties, including the contractor, architect, owner, and any consultants or subcontractors as necessary.

7. **Record Keeping:** RFIs and their responses are a part of the project record and should be filed and stored appropriately. They may be critical for resolving any disputes or claims that arise during or after the project.

It's important to note that the RFI process should not be used to request approval for deviations from the contract documents, nor for resolving design issues that should have been addressed during the design phases. It is used for clarification and information purposes.

Subsection 6.4. **Change Orders:** 

Change Orders are a part of the construction contract modifications that represent an agreement between the owner and the contractor for a change in the work, contract sum, or contract time. They're typically used when there's a need to alter the design, adjust quantities, revise specifications, or extend the time for completion due to unforeseen circumstances during construction.

Key elements of the Change Orders process include:

1. **Request for Change Order:** The need for a change order can come from various sources - the owner, the architect, the contractor, or even a code official. A request for change order typically contains a detailed description of the change, including drawings or specifications, if necessary.

2. **Review:** Once a change order is requested, the architect must review and approve it. The review process will consider the reason for the change, its impact on the overall project, and any relevant codes or standards.

3. **Pricing:** If the change will affect the cost of the project, the contractor will need to provide a price for the change. This can include both the direct cost of the work and the potential impact on the project schedule.

4. **Approval:** If the change order is acceptable to the owner, the architect, and the contractor, the change order will be approved, and the work can proceed. In most cases, this requires a formal written agreement.

5. **Documentation:** All change orders must be documented thoroughly. The documentation will typically include the reason for the change, the effect on the project timeline and budget, the approval process, and any other relevant details. This documentation will become part of the project record.

6. **Implementation:** Once a change order has been approved, the contractor can proceed with the changes. This might involve adjusting schedules, reassigning personnel, or ordering new materials.

7. **Impact on Project Schedule and Cost:** Change orders often affect the project schedule and cost. If a change order is going to impact the timeline or budget, this should be clearly documented and agreed upon by all parties involved.

Understanding the change order process is crucial for project management, as these can have significant impacts on the project's scope, cost, and schedule. The architect’s role in managing and reviewing change orders is critical to ensuring that all changes are necessary, priced fairly, and executed correctly.

Subsection 6.5. **Construction Change Directives (CCDs):**

A Construction Change Directive (CCD) is a document issued by the owner or the architect to the contractor during construction to direct a change in the work before the parties have agreed upon the final terms of a formal change order. CCDs are used when there is a need to expedite a change in the project that could affect the project schedule or when the cost impact of the change is not yet fully understood or agreed upon.

Key elements of Construction Change Directives include:

1. **Request and Reason:** The request for a CCD usually arises due to unanticipated conditions, changes requested by the owner, discrepancies in the contract documents, or regulatory changes. The reason for the change should be clearly described in the CCD.

2. **Directive:** The CCD includes specific directives about the change, such as what should be done, how it should be carried out, and when it should be completed.

3. **Preliminary Assessment:** A preliminary assessment of the change's impact on project schedule and cost should be included in the CCD. However, the final agreement on these may not be made until later.

4. **Review and Signature:** The CCD should be reviewed by all relevant parties, including the owner, the contractor, and the architect. All parties should sign the CCD to indicate their agreement to move forward with the change.

5. **Implementation:** The contractor carries out the change as per the directives in the CCD.

6. **Negotiation:** While the work is proceeding, the contractor, architect, and owner continue to negotiate the final cost and time adjustments.

7. **Documentation:** The CCD, including any agreements about the impact on cost and schedule, should be documented as part of the project record.

8. **Formal Change Order:** Once the details of the cost and time impact are agreed upon, a formal change order is usually issued.

Understanding CCDs and their role in the construction process is crucial to effective project management. The architect plays a crucial role in drafting, reviewing, and administering CCDs to ensure the project continues to run smoothly despite necessary changes in the work.

Subsection 6.6. **Architect's Supplemental Instructions (ASIs):**

Architect's Supplemental Instructions (ASIs) are documents issued by the architect during the construction phase to clarify or provide further detail about some aspect of the contract documents. Unlike change orders or construction change directives, ASIs do not change the contract sum or the contract time.

Key elements of Architect's Supplemental Instructions include:

1. **Clarification or Detail:** ASIs are meant to clarify, explain, or provide further details about the existing contract documents. They should not introduce new elements to the project or change the scope of work.

2. **No Impact on Cost or Time:** ASIs should not have an impact on the project's cost or schedule. If an issue arises that will impact these aspects, a change order or construction change directive would be more appropriate.

3. **Communication:** ASIs serve as an official means of communication between the architect and the contractor. This communication is important for keeping all parties on the same page and preventing misunderstandings or disputes.

4. **Documentation:** ASIs should be documented and kept on file with the rest of the project records. This provides a record of all clarifications and details provided during the construction process.

5. **Review and Response:** Once the contractor receives an ASI, they should review it and respond accordingly. This might involve adjusting their work methods or consulting with the architect for further clarification.

Understanding the purpose and proper use of ASIs is an important part of project management. They ensure that the architect's intentions are accurately executed by the contractor and that the project is built according to the design intent. Remember, the architect uses ASIs as a means to direct minor adjustments or clarifications to the work that do not impact the cost or time. If a change will impact cost or time, the architect must use other means, such as a change order or construction change directive, to direct the work.

Subsection 6.7. **Meeting Minutes:** 

Meeting minutes are the official written record of a meeting. They capture the key information that was discussed, the decisions that were made, and the actions that need to be taken. 

Key elements of meeting minutes include:

1. **Meeting Information:** The minutes should include the date, time, location, and list of attendees at the meeting. It should also specify the names of the meeting's chair and secretary, or the person who prepared the minutes.

2. **Agenda Items:** The minutes should list all of the items that were on the meeting's agenda, even if they were not discussed. If an item was not discussed, the minutes should note this.

3. **Discussions:** The minutes should summarize the main points of each discussion, including any differing viewpoints. The summaries should be objective and factual, not subjective or judgmental.

4. **Decisions and Action Items:** The minutes should note any decisions that were made, including who made them and who seconded them. They should also list any actions that were agreed upon, who is responsible for completing each action, and when they are due.

5. **Next Meeting:** The minutes should specify the date, time, and location of the next meeting, if this information is available.

6. **Approval:** The minutes should be approved at the next meeting, and any corrections should be noted.

In construction project management, meeting minutes serve a critical role in ensuring effective communication and collaboration among all the stakeholders, including the architect, client, contractors, and other consultants. They help track project progress, maintain accountability, resolve issues, and can serve as a legal record of what transpired during a meeting. 

It's important to note that the architect often has the responsibility of creating and distributing meeting minutes during the construction administration phase, especially for project meetings they facilitate such as Owner-Architect-Contractor meetings. Consequently, understanding the importance and key elements of meeting minutes is crucial for the Project Management exam.

6.8. **Applications for Payment:**

An Application for Payment is a document that a contractor submits to an architect or owner for approval of payment for work completed. It's part of the payment process during the construction phase of a project. Understanding Applications for Payment is crucial as they significantly impact a project's financial management and budget control.

Key elements of an Application for Payment include:

1. **Billing Period:** The time period for which the contractor is requesting payment. This is typically done monthly.

2. **Description of Work:** A detailed breakdown of the work completed during the billing period. This can include the tasks performed, materials used, labor hours, and any other relevant details.

3. **Schedule of Values:** A detailed, itemized list of every part of the construction project, along with the cost for each part. In an Application for Payment, the contractor indicates how much of each line item in the schedule of values has been completed.

4. **Amount Requested:** The total cost of the work completed during the billing period, including labor, materials, and overhead.

5. **Total Completed and Stored to Date:** This is the total of the previously completed work plus the current application, including materials not yet installed but have been delivered and suitably stored at the site.

6. **Retainage:** If the contract allows for it, a certain percentage (usually around 10%) of the amount due is held back (or "retained") to ensure the contractor completes the project. This amount is subtracted from the 'current payment due'.

7. **Signature:** The document should be signed by the contractor's authorized representative, certifying that the information is accurate.

8. **Supporting Documents:** The contractor may need to provide additional documents like invoices, receipts, or lien waivers, depending on the contract's terms.

As the architect, your role includes reviewing the Application for Payment, verifying the work completed aligns with the request, and approving the amount due. Discrepancies would need to be discussed with the contractor and resolved before approval.

It's important to note that while this is a standard format, the actual Application for Payment may vary depending on the contract terms and local regulations. For the ARE exam, it's important to understand the architect's role and responsibilities in the Application for Payment process.

Subsection 6.9. **Punch Lists:** 

A Punch List, in the context of construction and architecture, is a document prepared near the end of a construction project listing work that does not conform to contract specifications, that the general contractor must complete prior to final payment. It serves as an agreement between the contractor and owner of the tasks that need to be resolved before project completion. 

Key elements of a Punch List include:

1. **Item Description:** Detailed description of each item that needs to be addressed. This could be a range of issues such as cosmetic defects, functional issues, or incomplete work.

2. **Location:** The precise location within the project where the issue needs to be resolved. This could be as specific as a room number or a gridline reference on the construction documents.

3. **Trade Responsibility:** The subcontractor or trade professional responsible for correcting the item.

4. **Date Noted:** The date the item was added to the list. This can be important for tracking progress and for any discussions about why the item was not addressed in the original work.

5. **Completion Date:** The date by which the item needs to be addressed. This might not be included in the initial list, but added once the responsible party has had a chance to review the issue.

6. **Status:** An indicator of whether the issue has been resolved. This often isn't filled in until work has been inspected and approved.

As an architect, you may be involved in creating the Punch List, walking the site to identify issues, and signing off on items once they've been resolved. This is a critical step in ensuring the project is completed to the standard set out in the construction documents.

Subsection 7. **Project Closeout**: 

The following are some key areas of knowledge and understanding that you should focus on:

7.1. **Project Closeout Procedures:** Understanding the steps involved in closing out a project, including final inspections, punch lists, and resolution of outstanding issues.

7.2. **Commissioning:** This is the process of ensuring that the building's systems operate as intended. It can include activities like system tests, fine-tuning of equipment, and training of building operators. 

7.3. **Final Acceptance:** This refers to the formal acceptance of the project by the owner or client, following satisfactory completion of all construction and closeout activities.

7.4. **Final Payment:** You should be aware of the conditions that need to be met before the final payment can be made to the contractor.

7.5. **Documentation:** This includes as-built drawings, warranties, manuals, maintenance schedules, and other documents that need to be handed over to the owner at the end of the project.

7.6. **Post-Occupancy Evaluation (POE):** Understanding how and when to conduct a POE to assess the effectiveness of the building’s design and systems after it is occupied.

7.7. **Financial Closeout:** Understanding how to finalize all financial matters of a project, including resolution of any remaining change orders or disputes, release of final retainage, and finalization of the project accounting.

7.8. **Roles and Responsibilities:** Understanding the roles and responsibilities of the architect, owner, and contractor in the Project Closeout process.

7.9. **Warranty Period:** Understanding the warranty period, the obligations of the contractor during this period, and how this period affects the project closeout.

For the ARE Project Management exam, it's important to understand that Project Closeout is not simply the end of construction but a critical phase in the project's life cycle that requires careful management and attention to detail. The goal of the Project Closeout phase is to ensure a smooth transition of the project from construction to operation, while satisfying all contract conditions and the owner's needs.

Subsection 7.1. **Project Closeout Procedures:** 

Project Closeout Procedures are the formal processes and steps taken to ensure the successful and organized conclusion of a construction project. These procedures are critical to ensure that the completed work aligns with the project's original goals and meets all the contractual obligations. 

Key Elements of Project Closeout Procedures:

1. **Final Inspections and Punch List:** The project team, including the architect, client, and often the contractor, completes a thorough inspection of the project. Any deficiencies, incomplete works, or issues that do not conform to the contract documents are noted in a punch list for the contractor to address.

2. **Completion of Punch List:** The contractor addresses the items on the punch list. The architect then verifies the corrections.

3. **Certificate of Substantial Completion:** The architect issues a Certificate of Substantial Completion when the work or a portion of it is complete enough so the owner can occupy or utilize the work for its intended purpose. This document also establishes the start of the warranty period.

4. **Final Acceptance:** After the punch list items have been resolved, the owner accepts the project, marking the end of the construction contract.

5. **Commissioning:** The architect verifies that the building's systems operate as intended. This can include activities like system tests, fine-tuning of equipment, and training for the building operators.

6. **Final Payment:** Once the project has been accepted by the owner, the architect can certify the contractor's request for the final payment.

7. **Documentation:** The architect hands over any necessary documents to the owner. This could include as-built drawings, operation manuals, warranties, and the maintenance schedule.

8. **Post-Occupancy Evaluation (POE):** After the building has been occupied for a set period, the architect may conduct a POE to understand how well the building is functioning and to learn from the project.

Each of these steps is an important part of the project closeout procedures and ensures that the project meets the contract requirements and satisfies the owner's needs.

Subsection 7.2. **Commissioning:**

In the context of architecture and construction, commissioning is a quality-oriented process for enhancing the delivery of a project. It focuses on verifying and documenting that all the systems and components of a building or industrial plant are designed, installed, tested, operated, and maintained according to the operational requirements of the owner or client. In simple terms, commissioning is about making sure the building works as it was designed to work.

Key Elements of Commissioning:

1. **Pre-Design Phase:** A commissioning agent is appointed and the commissioning process starts even before the design phase. The commissioning plan is established at this phase outlining the entire process.

2. **Design Phase:** During this phase, the commissioning agent reviews the design for operability, maintainability, and energy efficiency. They also develop a specific commissioning plan for each system that includes test procedures and checklists.

3. **Construction Phase:** The commissioning agent inspects system installations for compliance with the design, monitors system testing, and signs off on the systems once they pass the tests.

4. **Acceptance Phase:** The systems are run in their intended modes while the commissioning agent verifies that they are operating as designed and specified.

5. **Post-Occupancy Phase:** The commissioning agent returns after the building has been occupied (often after one year) to ensure systems are still operating as intended.

6. **Documentation:** Comprehensive commissioning documentation is delivered to the owner, including all test results and a report of actions taken.

The commissioning process is crucial to ensure that building systems - such as HVAC, electrical, plumbing, fire/life safety, building envelopes, interior systems, utility plants, sustainable systems, lighting, wastewater, controls, and building security - perform interactively according to the design intent and the owner's operational needs. This process ultimately leads to reduced building lifecycle costs and improved risk management.

Subsection 7.3. **Final Acceptance:** Final Acceptance in the context of architectural project management and the construction process is a significant milestone. It marks the formal conclusion of a construction project and signifies that the work has been completed in accordance with the contract documents to the satisfaction of the architect and the owner. After this point, the contractor is released from construction responsibility, barring any issues related to warranty claims, and the owner can fully take possession and begin occupying the building.

Key Elements of Final Acceptance:

1. **Inspection:** Before final acceptance, a thorough inspection, or a series of inspections, is conducted. These inspections involve the owner, the architect, and sometimes the contractor. They are intended to verify that the work is complete, and that the project complies with the requirements set out in the contract documents. 

2. **Punch List:** This inspection often results in a "punch list" of remaining minor items that need to be completed or corrected by the contractor. Once these items are addressed satisfactorily, final acceptance can be granted.

3. **Substantial Completion:** Prior to final acceptance, the project will have reached a state of "substantial completion," which is when the project is sufficiently complete, in accordance with the contract documents, and the owner can occupy or utilize the building for its intended use. Final acceptance usually follows substantial completion.

4. **Documentation:** Final acceptance is typically documented in writing and often involves the architect issuing a certificate of final completion. This certificate indicates that the work has been reviewed and that the project is complete. 

5. **Final Payment:** Once final acceptance is given, the contractor can submit their final application for payment. This will include any retained amounts, providing all contractual requirements have been met.

6. **Warranty Period:** Even after final acceptance, there is usually a warranty period during which the contractor is obligated to return to the site to repair defects that become apparent. This period is often one year but can vary based on the contract terms. 

For the ARE PjM exam, understanding the process of final acceptance is essential as it involves several significant aspects of project management, including compliance with contract documents, inspections, payments, and the transition of the project from construction to occupancy.

Subsection 7.4. **Final Payment:**

Final payment in the context of construction and architectural project management is the last payment made to the contractor after the project has been declared substantially complete, and all other contractual obligations have been fulfilled. This payment signifies the formal end of the construction project and generally marks the transition of the property from the contractor back to the owner.

Key Elements of Final Payment:

1. **Substantial Completion**: This is when the project is sufficiently complete, in accordance with the contract documents, that the owner can occupy or utilize the building for its intended use. Substantial completion is typically confirmed by the architect and must occur before final payment can be made.

2. **Punch List**: After substantial completion, the architect and owner usually create a "punch list" of minor items that still need to be completed or corrected by the contractor. The items on this list are typically completed prior to final payment, or a portion of the final payment may be held back until these items are resolved.

3. **Final Inspection**: A final inspection takes place to verify that all punch list items have been addressed, that the work complies with the contract documents, and that the project is ready for final acceptance.

4. **Final Acceptance**: Following the final inspection and resolution of punch list items, final acceptance can be given, usually in the form of a certificate of final completion issued by the architect. This document indicates that the work has been reviewed, and the project is complete.

5. **Release of Retainage**: The final payment often includes the release of any retained amounts (retainage), providing all contractual requirements have been met. Retainage is a certain percentage of the contract price deliberately withheld until work is fully completed to the client's satisfaction. It acts as an insurance policy to encourage the contractor to complete all aspects of the project.

6. **Lien Waivers**: The contractor, and possibly sub-contractors and suppliers, will be required to provide lien waivers or releases, which indicate they have been paid in full and waive their right to claim a lien against the property. This is an essential step before releasing the final payment.

7. **Documentation**: The contractor submits the final application for payment, which includes documentation verifying that all work has been completed, and all subcontractors and suppliers have been paid. The architect reviews this final application and, if in agreement, certifies it, indicating the owner should make the final payment.

Understanding the process and key elements of final payment is crucial for the ARE PjM exam as it signifies the closure of a construction contract and the fulfillment of the contractor's obligations under the terms of the contract.

Subsection 7.5. **Documentation:** 

Documentation in the context of Project Closeout refers to the set of final records that confirm the project's completion according to the contract requirements and can serve as a legal, financial, and historical record of the project. These documents are important for the owner for future maintenance, warranty claims, potential legal issues, or planning future projects. Moreover, proper documentation is crucial in terms of learning and improvement for future projects for the architects and contractors.

Key Elements of Documentation in Project Closeout:

1. **As-Built Drawings**: These are a set of drawings submitted by the contractor, subcontractors, or suppliers. They show the final installed conditions of the project, including changes made during construction. This documentation is crucial for the future maintenance and renovation of the building.

2. **Final Application for Payment**: This is a document issued by the contractor indicating that all work is complete and all the payment due has been received. This application typically includes lien releases from the contractor, subcontractors, and suppliers, ensuring they have received all due payments.

3. **Warranties and Guarantees**: These are provided by the contractor, subcontractors, and suppliers. Warranties and guarantees cover equipment, material, and workmanship for a specific period, usually one year from the date of substantial completion or longer, depending on the terms of the contract.

4. **Operation and Maintenance (O&M) Manuals**: These manuals provided by the contractor give instructions on how to operate and maintain the systems, equipment, and other components installed in the building. They are an essential reference for the owner's maintenance staff.

5. **Certificate of Occupancy**: This is a document issued by the local government or authority having jurisdiction that allows the building to be legally occupied. The certificate of occupancy signifies that the building complies with local building, health, and safety codes.

6. **Project Closeout Report**: This is an internal document prepared by the architect or project manager. It includes a summary of the project, performance analysis, issues encountered and how they were resolved, and lessons learned that can be applied to future projects.

7. **Building Information Modeling (BIM) Files**: In modern construction, BIM files can provide a digital representation of the physical and functional characteristics of the building, serving as a resource for decision-making during the building's lifecycle.

These documentation elements are vital in project closeout and are often the basis for release of the final payment to the contractor.

Subsection 7.6. **Post-Occupancy Evaluation (POE):** 

Post Occupancy Evaluation (POE) is a process that evaluates buildings after construction and occupation to obtain feedback on the project’s performance. This evaluation usually takes place some months after the occupants have taken possession of the building, allowing enough time for them to get acquainted with the new environment and for any teething problems to surface. 

The POE process measures factors such as the occupants' satisfaction, comfort, and productivity, and the building's operational and maintenance costs, among other parameters. The findings can provide valuable insights for architects, owners, and other stakeholders for the planning and design of future projects, as well as the operation and maintenance of the current building.

Key Elements of Post Occupancy Evaluation:

1. **Building Performance**: This includes measuring various parameters like energy efficiency, water usage, and other aspects of the building's operational performance. This can be done using building management systems, utility meter readings, or other measurement tools.

2. **Occupant Satisfaction**: Feedback is gathered from the occupants on various aspects such as the comfort levels (temperature, light, acoustics), spatial layout, and overall satisfaction with the building. This is often done through surveys, interviews, or focus groups.

3. **Functional Adequacy**: The evaluation assesses how well the building supports the activities it was designed for. For instance, if it’s an office building, how well does it support the workflow, collaboration, and privacy needs of its users?

4. **Health and Safety**: POE evaluates whether the building maintains good indoor air quality, sufficient lighting, and whether it meets health and safety standards.

5. **Maintenance and Operation**: The evaluation should look at the costs of maintaining and operating the building and whether the building has been easy or difficult to manage from a facility management point of view.

6. **Lessons Learned**: POE should lead to lessons learned for future projects. These can be best practices to replicate or problems to avoid.

Remember, for the ARE PjM exam, a key point about POE is that it can offer a feedback loop to architects, providing vital insights that can inform the design of future projects, improve professional practice, and ultimately lead to better-performing and more satisfying buildings.

Subsection 7.7. **Financial Closeout:** 

Financial closeout is the final phase of the project management process, where all financial obligations and matters are resolved. This includes ensuring that all payments have been made, all invoices have been settled, and all financial agreements are closed. This stage signifies the completion of the project from a financial perspective. 

Key Elements of Financial Closeout:

1. **Final Payment**: The final payment to the contractor is made once the architect has confirmed that all the work has been completed according to the contract documents, and all relevant project documentation has been handed over, including warranties, manuals, and as-built drawings.

2. **Release of Retainage**: Retainage (or retention) is a percentage of the contract price that is withheld from the contractor's progress payments to ensure satisfactory completion of the project. During financial closeout, the retainage is typically released back to the contractor once the work is completed and approved.

3. **Review of Final Accounts**: This involves verifying that all accounts related to the project have been settled. This could include reviewing invoices, payments, and other financial transactions to confirm everything is accurate and complete.

4. **Final Cost Report**: This is a report of the final, total costs of the project. It should match the approved project budget unless any changes or issues occurred that affected the costs.

5. **Reconciliation of Cost Reports and Accounts**: This involves comparing the final cost report to the project's financial accounts to ensure they align.

6. **Archiving of Financial Records**: Once everything has been settled, the financial records for the project should be archived according to the firm's policies and legal requirements for record keeping.

7. **Closing Financial Contracts**: Any remaining contracts related to the project (with contractors, sub-contractors, consultants, etc.) are officially closed.

Remember, financial closeout is a crucial part of project management and requires careful attention to detail to ensure all financial matters are properly resolved. For the ARE PjM exam, it's important to understand this process and how it relates to the overall project closeout process.

Subsection 7.8. **Roles and Responsibilities:**

The roles and responsibilities during project closeout revolve around ensuring that all elements of the project have been correctly finished according to the project's goals, and the documentation and financial matters have been finalized.

Key roles involved in the project closeout phase typically include the architect, the client (or owner), the contractor, subcontractors, and often consultants or other specialists. Each has distinct responsibilities:

1. **Architect**: The architect is typically responsible for:

    - Verifying that the work is complete according to the contract documents, often with the assistance of a punch list.

    - Reviewing and approving the contractor's application for final payment.

    - Handing over all necessary documentation to the client, including as-built drawings, warranties, and manuals.

    - Conducting a Post Occupancy Evaluation (POE) if it's part of their contracted services.

    - Archiving project records.

2. **Client (Owner)**: The client's responsibilities often include:

    - Making final payment to the contractor upon receipt of the architect's approval.

    - Confirming receipt of all necessary documentation.

    - Taking over the operation and maintenance of the project, including any final inspections or licensing requirements.

3. **Contractor**: The contractor's roles during project closeout can include:

    - Completing all remaining work according to the contract and punch list.

    - Submitting the final application for payment.

    - Providing all required documentation, including warranties and manuals, and often as-built drawings.

    - Addressing any defects during the warranty period.

4. **Subcontractors and Consultants**: Subcontractors and consultants also have a role in finalizing their particular components of the project.

The exact roles and responsibilities can vary depending on the specifics of the contract and project. For the ARE PjM exam, it's crucial to understand these general roles and how they interact during the project closeout phase.

Subsection 7.9. **Warranty Period:**

The warranty period in the context of construction and architecture refers to the predetermined time period following project completion during which the contractor is responsible for correcting defects or issues that arise from the construction work. 

The warranty period is typically stipulated in the construction contract. It begins when the work is substantially completed and accepted by the owner, often marked by the issuance of a Certificate of Substantial Completion. This time period allows for the identification and rectification of construction issues that might not be immediately apparent at the time of project completion.

Key elements of the warranty period include:

1. **Time frame**: The length of the warranty period can vary but typically lasts for one year after substantial completion. Some warranties for specific elements of a building may last longer, such as warranties for roofing systems or HVAC equipment.

2. **Scope**: The warranty covers defects in materials and workmanship provided by the contractor. It's important to note that normal wear and tear, misuse, or alterations made without the contractor's consent are not typically covered.

3. **Responsibility**: The contractor is generally responsible for fixing any problems that emerge during the warranty period. This could mean repair or replacement of the faulty work or material at no additional cost to the owner. 

4. **Documentation**: All warranty information should be properly documented and handed over to the owner at the time of project closeout. This includes warranties from manufacturers of installed products, as well as the contractor's warranty for workmanship.

Understanding the warranty period and its implications is essential for architects, as it relates to both the management of the project closeout and the ongoing relationship with the client and contractor. It is also important for the architect to facilitate any necessary communication between the owner and contractor during this period, and to assist in the resolution of any disputes that may arise.