Substantial completion is a critical milestone defined in the construction contract. It marks the stage when the project is sufficiently complete, in accordance with the contract documents, so that the owner can occupy or utilize the work for its intended purpose. The architect is typically responsible for inspecting the work and issuing a Certificate of Substantial Completion. This certificate formally establishes the date of substantial completion, which is crucial as it often triggers the start of warranty periods, the release of the majority of the retainage to the contractor, and transfers responsibility for utilities and insurance to the owner.

A. The project is 50% complete: This is a progress milestone for payment but does not signify that the project is ready for use or occupancy.

C. All punch list items have been finished: This defines "final completion," which occurs after substantial completion. The punch list is created at the time of substantial completion.

D. The contractor has been paid in full: Final payment, including the final portion of retainage, is made after final completion, not substantial completion.

1. American Institute of Architects (AIA) Document A201-2017, General Conditions of the Contract for Construction.

Section 9.8.1: Defines Substantial Completion as "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."

2. The American Institute of Architects, The Architect's Handbook of Professional Practice, 15th Edition. Wiley, 2013.

Chapter 10.5, "Project Closeout," page 758: "Substantial completion is the point at which the project is sufficiently complete to be occupied or used for its intended purpose... The date of substantial completion is a very important milestone in the project, as it marks the end of the construction period and the beginning of the warranty period."

3. Glower, C. & Glower, S. (2021). The Architect's Legal Handbook (10th ed.). Routledge.

Chapter 10, "The Building Contract," Section 10.5.3, "Completion": This section distinguishes between practical completion (a UK term analogous to substantial completion) and final completion, clarifying that the former is about the building being ready for its intended use, even with minor defects outstanding. (DOI: https://doi.org/10.4324/9781003053957)

The consultant team described—Mechanical, Electrical, Plumbing, and Fire Protection (MEP/FP)—constitutes the standard engineering disciplines required for a new, fully-serviced building. A new K-12 school is a complex institutional project that necessitates comprehensive design for HVAC, power and lighting, water and sanitation, and life safety systems (e.g., sprinklers, fire alarms) to meet building codes and functional requirements. The assembly of this full MEP/FP team at the qualifications stage is a clear indicator of a project involving the design and construction of a new, occupied building like a school.

B. a research university campus master plan

A master plan is a high-level planning document; its primary consultants are typically planners, civil engineers, and landscape architects, not building systems engineers.

C. the renovation of a commercial office building

While a major renovation would require this team, the term "renovation" is broad and could be minor, not necessarily requiring all four disciplines.

D. seismic upgrades of a 1950s era hospital

The lead and primary consultant for a seismic upgrade project is a structural engineer; the MEP/FP team plays a secondary, supporting role.

1. The American Institute of Architects. (2014). The Architect's Handbook of Professional Practice (15th ed.). Wiley.

Section 10.2, Managing the Project Team, p. 596: This section explicitly states, "For a typical building project, the architect’s consultants will include structural, mechanical, electrical, and plumbing (MEP) engineers..." It establishes this team as standard for a "typical building project," for which a new school is a prime example. Fire protection engineering is a standard requirement for institutional occupancies like schools.

2. AIA Document B101–2017, Standard Form of Agreement Between Owner and Architect.

Article 3, Scope of Architect's Basic Services: This article outlines the architect's responsibility to coordinate the services of consultants, including structural, mechanical, and electrical engineers, which are fundamental to the design of a new building. The commentary on B101 clarifies that this team is typical for most building projects.

3. University of Michigan, Taubman College of Architecture and Urban Planning. (Courseware for ARCH 583: Professional Practice).

Course materials on project team formation emphasize that for new institutional or commercial buildings, the architect's primary consultants are the structural engineer and the MEP/FP engineering team, assembled at the project's outset to respond to qualifications requests and develop the design.

AIA Document A201-2017, General Conditions of the Contract for Construction, explicitly assigns the responsibility for obtaining the building permit and other permits necessary for the execution of the work to the Contractor. Section 3.7.1 states, "Unless otherwise provided in the Contract Documents, the Contractor shall secure and pay for the building permit as well as for other permits, fees, licenses, and inspections by government agencies necessary for proper execution and completion of the Work..." While the Owner is responsible for pre-construction approvals like zoning and easements (per Section 2.3.1), the primary responsibility for the permits related to the construction activity itself lies with the Contractor.

A. Owner: The Owner is responsible for approvals and easements required for the use/occupancy of the project (e.g., zoning), but A201 specifically delegates the building permit and construction-related permits to the Contractor.

B. Architect: The Architect's role is to prepare the construction documents required for the permit application and may assist the Owner in filing, but they are not contractually responsible for securing the permits.

D. Construction Manager: In the context of AIA A201, the "Contractor" is the party responsible. While a Construction Manager may assist, the contractual obligation rests with the entity acting as the Contractor.

1. AIA Document A201™–2017, General Conditions of the Contract for Construction.

Section 3.7.1: "Unless otherwise provided in the Contract Documents, the Contractor shall secure and pay for the building permit as well as for other permits, fees, licenses, and inspections by government agencies necessary for proper execution and completion of the Work that are customarily secured after execution of the Contract and legally required at the time bids are received or negotiations concluded."

Section 2.3.1: "Except for permits and fees that are the responsibility of the Contractor under the Contract Documents, including those required under Section 3.7.1, the Owner shall secure and pay for necessary approvals, easements, assessments and charges required for construction, use or occupancy of permanent structures or for permanent changes in existing facilities."

2. American Institute of Architects. (2014). The Architect's Handbook of Professional Practice (15th ed.). Wiley.

Chapter 9.2, The Owner's Team: This chapter outlines the Owner's typical responsibilities, which include providing the site and securing initial approvals like zoning and other land-use entitlements necessary for the project to proceed legally, distinguishing these from the construction permits obtained by the contractor.

Chapter 10.2, Construction Contract Administration: This section details the contractor's responsibilities during construction, reinforcing that obtaining the building permit is a primary task for the contractor as defined by the general conditions.

The request to revise the design is a direct result of an error made by the owner's consultant, not the architect or their team. This work falls outside the architect's defined scope of basic services. Standard owner-architect agreements, such as the AIA B101-2017, classify revisions due to information or instructions from the owner or the owner's consultants as an Additional Service. The correct professional and contractual procedure is for the architect to notify the owner of the need for this additional work and submit a request for authorization and compensation before proceeding with the revisions.

A. Issue a change order: A change order is a formal modification to the construction contract during the construction phase, not the architect's design services agreement.

C. Proceed to bidding and make changes in construction: Knowingly issuing incorrect documents for bidding is unprofessional and leads to inaccurate pricing, delays, and more costly changes during construction.

1. AIA Document B101™–2017, Standard Form of Agreement Between Owner and Architect.

Article 4, Additional Services, § 4.2.1: This section lists services that are not included in Basic Services. Revisions due to a change in the owner's instructions or information, which would include flawed information from an owner's consultant, fall under this category.

§ 4.2.2: This clause stipulates that the "Architect shall notify the Owner promptly and explain the circumstances" and "shall not proceed to provide the Additional Service until the Architect receives the Owner’s written authorization." This directly supports submitting a request before proceeding.

2. The American Institute of Architects, The Architect's Handbook of Professional Practice, 15th ed., (Hoboken, NJ: Wiley, 2013).

Chapter 10.2, "Compensation for Architectural Services," p. 718: This chapter explains that when a client requests a change in project scope, "the architect should document the request and secure the client’s agreement to a change in services and compensation before proceeding." This aligns with submitting an additional services request.

3. Demkin, J. A., & American Institute of Architects. (2008). The Architect's Handbook of Professional Practice, 14th ed., (Hoboken, NJ: Wiley).

Chapter 13, "Project Management," Section on "Managing Project Scope," p. 328: This section emphasizes that "When the architect is asked to perform services not included in the original agreement, the project manager should not proceed with those services until the owner agrees in writing to the scope of the additional services and the compensation."

Professional Liability Insurance, also known as Errors and Omissions (E&O) insurance, is the specific coverage that protects architects and other design professionals against claims of negligence, errors, or omissions in the performance of their professional services. This policy covers the architect's legal defense costs and any damages awarded if they are found to be at fault for a design flaw or other professional mistake that results in financial loss or harm to the client or a third party. It is a fundamental component of risk management for any architectural practice.

A. Builder’s Risk Insurance: Covers physical damage to the building and materials during construction; it does not cover the architect's professional errors.

C. General Liability Insurance: Covers claims of bodily injury or property damage resulting from the firm's general operations, not from professional negligence in design.

D. Workers’ Compensation Insurance: Covers medical expenses and lost wages for employees injured on the job, as required by state law.

1. Demkin, J. A. (Ed.). (2013). The Architect's Handbook of Professional Practice (15th ed.). John Wiley & Sons. Chapter 9.4, "Types of Insurance," specifically describes Professional Liability Insurance as coverage for "claims arising out of an architect’s negligent acts, errors, or omissions in the performance of professional services" (p. 818).

2. The American Institute of Architects. (2017). AIA Document B101™–2017, Standard Form of Agreement Between Owner and Architect. Article 2.5, "Insurance," requires the architect to maintain specific insurance policies, including Professional Liability, to cover claims arising from the architect's negligent acts, errors, or omissions.

3. University of Minnesota, School of Architecture. (n.d.). Arch 5511 - Professional Practice. Course materials on Risk Management. The curriculum specifies that Professional Liability Insurance is the primary mechanism for architects to manage the financial risk associated with claims of negligence.

The architect's role concerning shop drawings is defined by standard industry contracts. The architect reviews submittals, such as shop drawings, for the limited purpose of checking for conformance with the information given in the contract documents and for compliance with the design concept. This review is not an approval of the means, methods, techniques, or safety precautions, which remain the contractor's responsibility. The architect's action (e.g., "No Exceptions Taken," "Revise and Resubmit") confirms that the submitted item, as detailed, aligns with the project's established design intent.

A. The contractor, subcontractors, or suppliers prepare and submit shop drawings to the architect for review.

C. The general contractor is responsible for coordinating and distributing reviewed shop drawings to the appropriate subcontractors.

D. The architect cannot unilaterally approve changes that affect cost, schedule, or design intent; such changes require a formal change order approved by the owner.

1. American Institute of Architects. (2017). AIA Document A201™–2017, General Conditions of the Contract for Construction. Section 3.12.6 states the Architect will review submittals "for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents."

2. American Institute of Architects. (2014). The Architect's Handbook of Professional Practice (15th ed.). John Wiley & Sons. Chapter 10.4, "Submittals," pp. 718-720, details the architect's review process, emphasizing that the review is for "conformance with the design concept."

3. Piotrowski, C. M. (2011). Professional Practice for Interior Designers (5th ed.). John Wiley & Sons. Chapter 18, "Construction Drawings, Schedules, and Specifications," p. 451. This text, used in university architecture and design programs, clarifies that the architect or designer reviews shop drawings to ensure they conform to the design intent of the contract documents.

The primary purpose of a construction schedule is to serve as a comprehensive project management tool that logically sequences all construction activities from start to finish. It establishes the duration for each task and allocates the necessary resources—including labor, materials, and equipment—to each activity. This ensures a coordinated and efficient workflow, helps in monitoring progress against a baseline, and facilitates timely project completion. The schedule is the roadmap for executing the construction phase of the project.

A. While the schedule's duration heavily influences costs (e.g., general conditions, labor), its primary purpose is not to determine the initial budget, which is a separate estimating process.

C. Building code requirements are identified during the design and code analysis phases, not through the creation of the construction schedule.

D. The schedule is a project management tool that is often included in or referenced by contract documents, but its primary purpose is not the preparation of the entire contract package.

1. The American Institute of Architects. (2014). The Architect's Handbook of Professional Practice (15th ed.). Wiley.

Chapter 10.2, Project Scheduling, "Scheduling Basics" (p. 658): "Scheduling is the process for determining the sequential order of the plan’s activities, assigning a duration to each activity, and specifying the resources required. The schedule is the tool that defines the project’s timeline and the key milestones from project start to project finish." This directly supports the sequencing and resource allocation function.

2. Hendrickson, C. (2008). Project Management for Construction: Fundamental Concepts for Owners, Engineers, Architects and Builders. Carnegie Mellon University.

Chapter 9, Scheduling of Project Activities, Section 9.1 (p. 211): "The objective of a project schedule is to provide a detailed plan that represents how and when the project will deliver the products, services and results defined in the project scope... A project schedule should reflect the sequence in which the project activities will be performed." This emphasizes sequencing and planning activities.

3. Construction Management Association of America (CMAA). (2015). 2015 CMAA Capstone: An In-Depth Review of the Construction Management Body of Knowledge.

Chapter 5, Time Management (p. 101): "The primary output of the Time Management process is the project schedule, which provides the timeline for the project and represents the plan for its execution. The schedule is the tool for managing the work and the timing of that work." This confirms the schedule as a tool for managing the sequence and timing of work.

The Schematic Design (SD) phase establishes the project's general concept, scale, and the relationship between components. Deliverables at this stage are intended to convey the design intent for owner approval before proceeding to more detailed work. Standard SD deliverables include preliminary drawings such as floor plans, a site plan, and key elevations and sections to illustrate the building's form and function. A preliminary cost estimate, often based on area or volume, is also a critical deliverable to verify that the proposed design aligns with the owner's budget and to assess overall project feasibility.

D. Finish schedule: This document provides a level of material detail that is developed during the Design Development or Construction Documents phases, not the conceptual schematic phase.

F. Detailed specifications: These are comprehensive written requirements for materials and workmanship prepared during the Construction Documents phase to guide bidding and construction.

1. The American Institute of Architects (AIA) Document B101™–2017, Standard Form of Agreement Between Owner and Architect.

§ 3.2.5: "The Schematic Design Documents shall consist of drawings and other documents including a site plan, if appropriate, and preliminary building plans, sections and elevations..." (Supports A, B, C).

§ 3.2.6: "The Architect shall submit to the Owner an estimate of the Cost of the Work prepared in accordance with Section 6.3." (Supports E).

2. The American Institute of Architects, The Architect's Handbook of Professional Practice, 15th Edition.

Chapter 9.1, "Design Phases" (p. 598): This chapter outlines typical schematic design deliverables, stating they include "a site plan, floor plans, building sections, and exterior elevations." It also notes the architect provides a "preliminary estimate of the cost of the work." The text explicitly contrasts this with later phases where detailed material selections (finishes) and specifications are developed.

The owner's request to change the business center to a restaurant constitutes a material change in the project's scope. According to standard owner-architect agreements, such a change necessitates an adjustment to the architect's schedule and compensation. To maintain the original construction start date despite the consultant's required four-week extension, the architect would likely need to authorize the consultant to accelerate their work (e.g., through overtime or adding staff). This acceleration is an additional service that requires additional compensation. Therefore, the architect's first action must be to inform the owner of the cost implications of their request and seek authorization for the adjusted compensation needed to fund the schedule acceleration.

B. Approve the design loads of the new mechanical system following the next quality control review.

This is a technical design review step that occurs after the new design work is performed. It does not address the immediate project management issue of schedule and scope change.

C. Receive the owner's approval of the schedule change in writing from the consultant.

The consultant reports to the architect, not the owner. The architect is responsible for obtaining approvals from the owner. This option incorrectly describes the contractual lines of communication.

D. Change the C401 agreement to reflect the additional four-week extension.

Modifying the C401 agreement is a necessary administrative step, but it can only happen after the architect has discussed the options with the owner and received a decision on how to proceed (i.e., extend the schedule or pay for acceleration).

1. AIA Document B101™–2017, Standard Form of Agreement Between Owner and Architect.

§ 4.1 & § 4.2.1: These sections stipulate that a material change in the project initiated by the owner is considered an Additional Service. The architect must notify the owner promptly and obtain written authorization, which includes adjustments to compensation and schedule, before proceeding with the additional work. This supports approaching the owner first regarding compensation.

2. AIA Document C401™–2017, Standard Form of Agreement Between Architect and Consultant.

§ 4.3: This section outlines that if the consultant's services are changed due to revisions required by the owner, the consultant is entitled to an equitable adjustment in compensation and schedule. This confirms the mechanical engineer's request is valid, and the architect must now manage this change with the owner.

3. The American Institute of Architects, The Architect's Handbook of Professional Practice, 15th Edition.

Chapter 9.3, "Managing Project Scope": This chapter emphasizes that when a client requests a change, the project manager's primary responsibility is to evaluate and communicate the resulting impacts on scope, schedule, and budget to the client for a decision before proceeding. This aligns with option A as the first critical step.

The architect's scope is the interior redesign. The county's request for a site plan, triggered by a historical note, represents a requirement beyond this initial scope. According to standard professional practice and contractual agreements, the owner is responsible for providing all necessary information about the site, including surveys and civil engineering documents. The architect's professional duty is to identify such requirements, inform the client, and advise them on the need to engage the appropriate consultants. Requiring the client to contract directly with a civil engineer correctly places the contractual responsibility and financial burden with the owner.

A. Hire a consultant civil engineer to develop an updated site plan: This action would constitute an "Additional Service" under typical owner-architect agreements. The architect would be taking on liability and cost that contractually belongs to the owner.

B. Submit the county's historical drawing that references the approved site plan: Submitting a 40-year-old drawing is professionally irresponsible. It would not reflect current site conditions, zoning ordinances, accessibility requirements, or other code changes, and would be rejected by the county.

---

1. AIA Document B101™-2017, Standard Form of Agreement Between Owner and Architect.

Article 5, Owner’s Responsibilities, Section 5.4: "The Owner shall furnish surveys to describe physical characteristics, legal limitations and utility locations for the site of the Project..." This clause establishes that providing site information, including updated plans prepared by a civil engineer, is the owner's responsibility, not the architect's.

Article 4, Supplemental and Additional Services, Section 4.1.1.5: Civil engineering is explicitly listed as a Supplemental Service that is not part of the Architect's Basic Services unless specifically designated.

2. The Architect's Handbook of Professional Practice, 15th Edition. Wiley, 2013.

Chapter 9.2, "Owner-Architect Agreements," page 368: Discusses the owner's responsibilities, stating, "The owner is responsible for providing the architect with the program, site information, and a budget for the cost of the work... The owner is also required to provide a variety of services that may include surveying, geotechnical engineering, and testing and inspection services." This reinforces that the client, not the architect, is responsible for procuring site-related engineering.

3. Demkin, J. A. (Ed.). (2008). The Architect's Handbook of Professional Practice, 14th Edition. Wiley.

Chapter 11.3, "Managing Project Risks," page 488: "The architect should advise the owner of the need for consultants... The owner should contract directly with these consultants." This guidance emphasizes the architect's role as an advisor and the importance of maintaining clear contractual lines where the owner engages site-specific experts directly.