A Iab 089195

Document D503 2013
Guide for Sustainable Projects, including Commentary on the AIA Sustainable Projects Documents
Introduction
PurposeofthisGuide
RevisionstothisGuide
HowtoUsethisGuide
Chapter1SpecialDefinitions
ApplicationoftheSpecialDefinitionstoDifferentSustainableProjectTypes
Chapter2Background
SustainableDesignandConstruction
EnvironmentalProductRatings
CertificationSystems
JurisdictionalRequirements
Conclusion
Chapter3B1012007SP,AgreementBetweenOwnerandArchitect
InitialInformation
StandardofCare
ScopeofArchitectsBasicServicesandSustainabilityServices
MaterialsorEquipmentSubstitutions
ScopeofArchitectsBasicServices
ConstructionPhaseServices
ProjectCompletion
SustainabilityServices
ScopeofArchitectsSustainabilityServices
SustainabilityCertificationAgreements
SustainabilityWorkshop
SustainabilityPlan
DesignPhase
UntestedMaterialsandEquipment
SustainabilityCertifications
Commissioning(B2112007)
LimitationsonSustainableServices
ChangestotheSustainabilityPlanorInstrumentsofService
CompletionoftheArchitectsServices
OwnersResponsibilities
InstrumentsofService
ClaimsandDisputes
ConsequentialDamages
LimitationofLiability
Indemnity
ConfidentialityofSustainabilityDocumentation
GuaranteeofPerformance
AIA Document D5032013. Copyright 2011 and 2013 by The American Institute of Architects. All rights reserved.
062013
Contents
Chapter3(cont.)
Compensation
AdditionalServices
CompensationforArchitectsConsultants
PhasedPayments
ReimbursableExpenses
B1012007SP,ExhibitA
Chapter4C4012007SP,AgreementBetweenArchitectandConsultant
Chapter5B2142012,ArchitectsServices:LEEDCertification
WhentoUseAIADocumentB214
LeedOnlinev3
Leedv4
Chapter6A1012007SP,AgreementBetweenOwnerandContractor,
andA2012007SP,GeneralConditionsoftheContractforConstruction
GeneralProvisions
TheContractDocuments
SpecialDefinitions
ContractorsResponsibilities
Substitutions
Warranty
CompliancewithLaws
SustainabilityDocumentation
Submittals
CleaningUp
SiteVisits
Subcontractors
DelaysandSubstantialCompletion
Delays
SubstantialCompletion
FinalCompletion
InsuranceandBonds
ClaimsandDisputes
ConsequentialDamages
LimitationofLiability
Chapter7A4012007SP,AgreementBetweenContractorandSubcontractor
Chapter8OtherDeliveryModels
ConstructionManagement
ConstructionManagerasAdviser(CMa)
ConstructionManagerasConstructor(CMc)
DesignBuild
IntegratedProjectDelivery
Contents
Chapter9ExampleofaSustainabilityPlan
Introduction
CoverPage
Article1DesignPhase
Article2SustainableMeasures
ItemNumber
SustainableMeasure
PointorCreditRequirements
ResponsibleParty
SustainableMeasureDescription
CompletedExamples
LEED
IgCC
OwnerApprovedSustainableMeasures
OwnersApproval
Appendix
AppendixAAIADocumentComparative:A1012007andA1012007SP,
AgreementBetweenOwnerandContractor
AppendixBAIADocumentComparative:A2012007andA2012007SP,
GeneralConditionsoftheContractforConstruction
AppendixCAIADocumentComparative:A4012007andA4012007SP,
AgreementBetweenContractorandSubcontractor
AppendixDAIADocumentComparative:B1012007andB1012007SP,
AgreementBetweenOwnerandArchitect
AppendixEAIADocumentComparative:C4012007andC4012007SP
AgreementBetweenArchitectandConsultant
AppendixFExampleofaSustainabilityPlan
AppendixGSpecialTermsandConditionsImposedbyThirdPartyCertificationorRatingEntities
(CertificationAuthorities),andinparticularGBCIandUSGBC,anarticlebyKennethW.Cobleigh,
Esq.,ManagingDirectorandCounsel,AIAContractDocuments
AppendixHAIAResourcesforSustainableDesignandConstructionProjects
Introduction
PurposeofthisGuide
Sustainabledesignandconstructioncontinuestobearapidlyevolvingareaofimportancetothe
constructionindustry.Newcodes,likethe2012InternationalGreenConstructionCode(IgCC),andnewor
revisedcertificationsystems,likeGreenGlobes,willcontinuetocreatenewroles,responsibilitiesand
risksforOwners,ArchitectsandContractors.Itisimportanttodevelopcontractsthatarespecifically
tailoredtotheseneworexpandedroles,responsibilitiesandrisks.
In2011,theAmericanInstituteofArchitectsreleasedD5032011GuideforSustainableProjects,
includingAgreementAmendmentsandSupplementaryConditions.Sincethattime,theAIAhascontinued
itscommitmenttoleadershipintheareaofsustainabledesignandconstructionbyreleasingsustainable
projects(SP)versionsofkeyAIAContractDocuments.ThefirstsetofthesenewSustainableProject
documentswasreleasedin20121.
AsofthedateofthisGuideandCommentary(referredtohereinastheGuide),theSustainableProjects
documentsinclude
A1012007SP,StandardFormofAgreementBetweenOwnerandContractor,foruseona
SustainableProjectwherethebasisofpaymentisaStipulatedSum;
A2012007SP,GeneralConditionsoftheContractforConstruction,foruseonaSustainableProject;
B1012007SP,StandardFormofAgreementBetweenOwnerandArchitect,foruseona
SustainableProject;
A4012007SP,StandardFormofAgreementBetweenContractorandSubcontractor,foruseona
SustainableProject;and
C4012007SP,StandardFormofAgreementBetweenArchitectandConsultant,foruseona
SustainableProject.
TheseSPversionsincorporatethemodellanguagedevelopedforD5032011intotheConventional(A201)
familyofAIAContractDocuments,whilemaintainingunderlyingcontractualrelationshipsandlanguageof
thecoreagreement.Additionally,AIADocumentB2142012,StandardFormofArchitectsServices:LEED
Certificationwasupdatedin2012toincorporatethenewconceptsdevelopedintheSustainableProjects
documents.AdiscussionofB2142012maybefoundinChapter5ofthisGuide.
ThisGuideismeanttoprovidegeneralbackgroundinformationoncertaintopicsofinteresttothose
pursuingsustainableprojectsandanexplanationof,andthereasoningbehind,thenewprovisionsofthe
AIAsSustainableProjectdocuments.AIADocumentD503wasoriginallydraftedtoprovidemodellanguage
thatthereadercouldincorporateintoexistingAIAContractDocuments.This2013updatetotheGuide
shiftsthefocusfromsuggestingmodellanguageusersmightincorporateintothestandardagreements,to
adetaileddiscussionofeachnewprovisionactuallyincludedintheSustainableProjectsversionsofthe
coredocumentscurrentasofthedateofthisGuide.
TheAIAplanstoreleaseadditionalSPversionsofkeyAIAContractDocuments.
Introduction
ThisGuideisdraftedtoprovidegeneralguidanceanddoesnotprovidelegaladvice.Lawsregardingtheuse
andenforceabilityoftheinformationincludedinthisGuidemayvaryfromjurisdictiontojurisdiction.Users
ofthisGuideareencouragedtofamiliarizethemselveswiththelawsandregulationsapplicableinthe
jurisdictionwheretheprojectislocatedandtoconsultwithanexperiencedattorney.
RevisionstothisGuide
TheConventional(A201)familyofAIAContractDocumentsispublishedonatenyearrevisioncycle.
However,giventherapiddevelopmentofsustainabledesignandconstruction,atenyearrevisioncycle
mightbetoolongtoprovideameaningfultoolforindustryparticipantsengagedinsustainabledesignand
constructionprojects.ThisGuideallowstheAIAtoaddressnewtopicsinsustainabledesignand
constructionastheydevelop.ThisGuidewillbeupdatedinresponsetofeedbackfromindustryparticipants
andtoreflectchangingindustrystandardsandpractices.AnysubsequentrevisionstothisGuidewillbe
indicatedbyachangetothedateinthelowerrighthandcornerofthedocument.Pleasecheckperiodically
toconfirmthatyouhavethelatestversionofthisGuide.
HowtoUsethisGuide
ThisGuidediscussessustainabledesignandconstructionissuesinthecontextofthekeyagreementsinthe
AIAsConventional(A201)Family,SustainableProjectsdocuments.However,theconceptsandsuggestions
discussedinthisGuide,withcarefulreviewandcoordination,mayeasilyformthebasisforyourown
modificationstononAIAdocuments.
ThisGuidecoversthreemaintopics:theSpecialDefinitionsandgeneralbackgroundinformationonsome
ofthemajorconsiderationsforsustainableprojects(Chapters12);adetaileddiscussionofthenew
languageincludedineachoftheSustainableProjectsdocumentsandB2142012(Chapters38);anda
discussionofanexampleSustainabilityPlan(Chapter9).
Togotospecificsectionsofinterestinthisguide,clickBookmarklinksortopicsintheTableofContents.To
viewbookmarks,clicktheBookmarkbutton
onthelefthandNavigationpane.
(backtoTableofContents)
Chapter1
SpecialDefinitions
In2007,theAIACodeofEthicsandProfessionalConductincorporatedprovisionsaddressingsustainable
design,sustainabledevelopmentandsustainablepractices.LiketheAIACodeofEthicsandProfessional
Conduct,thisGuideemploystheuseofthetermsustainable.AsusedinthisGuidethetermsustainable
isintendedtobeconstruedasacommonindustrytermusedtodescribe,ingeneral,projectsthat
incorporatedesignandconstructionpracticesthatareintendedtoofferbenefitstotheenvironment,
enhancethehealthandwellbeingofbuildingoccupants,orincreaseenergyefficiency.InthisGuide,the
termsustainableissynonymouswithothernomenclatureusedtodescribeenvironmentallyresponsible
designandconstructionsuchasgreendesignandconstructionorhighperformancebuilding,andis
meanttoapplytoprojectsseekingcertification,projectswheresustainablefeaturesarejurisdictionally
mandatedandprojectsthatincorporatetheOwnersownsustainabilitygoals.
Tofacilitatethedevelopmentofcoordinatedagreementsforsustainableprojects,A2012007SPcontains
anumberofSpecialDefinitions.ManyofthesenewSpecialDefinitionsincludethetermsustainable.The
SpecialDefinitionsareusedasdefinedtermsthroughoutthisGuideandtheSustainableProjects
documentsandarelistedheretoprovideaneasyreference.
A201SPARTICLE1,GENERALPROVISIONS
1.1.9SpecialDefinitions
1.1.9.1SustainableObjective
TheSustainableObjectiveistheOwnersgoalofincorporatingSustainableMeasuresinto
thedesign,construction,maintenanceandoperationsoftheProjecttoachievea
SustainabilityCertificationorotherbenefittotheenvironment,enhancethehealthand
wellbeingofbuildingoccupants,ortoimproveenergyefficiency.TheSustainableObjective
isidentifiedintheSustainabilityPlan.
1.1.9.2SustainableMeasure
ASustainableMeasureisaspecificdesignorconstructionelement,orpostoccupancyuse,
operation,maintenanceormonitoringrequirementthatmustbecompletedinordertoachieve
theSustainableObjective.TheOwner,ArchitectandContractorshallhaveresponsibilityforthe
SustainableMeasure(s)allocatedtoeachofthemintheSustainabilityPlan.
1.1.9.3SustainabilityPlan
TheSustainabilityPlanispreparedbytheArchitectandidentifiesanddescribes:the
SustainableObjective;thetargetedSustainableMeasures;implementationstrategies
selectedtoachievetheSustainableMeasures;theOwners,ArchitectsandContractors
rolesandresponsibilitiesassociatedwithachievingtheSustainableMeasures;thespecific
detailsaboutdesignreviews,testingormetricstoverifyachievementofeachSustainable
Measure;andtheSustainabilityDocumentationrequiredfortheProject.
(A detailed discussion of the Sustainability Plan and example of a Sustainability Plan can be found in
Chapter9andAppendixF,respectively,ofthisGuide.)
1.1.9.4SustainabilityCertification
TheSustainabilityCertificationistheinitialthirdpartycertificationofsustainabledesign,
construction,orenvironmentalorenergyperformance,suchasLEED,GreenGlobes,
EnergyStaroranotherratingorcertificationsystem,thatmaybedesignatedasthe
SustainableObjectiveorpartoftheSustainableObjectivefortheProject.Theterm
SustainabilityCertificationshallnotapplytoanyrecertificationorcertificationoccurring
subsequenttotheinitialcertification.
1.1.9.5SustainabilityDocumentation
TheSustainabilityDocumentationincludesalldocumentationrelatedtotheSustainable
ObjectiveortoaspecificSustainableMeasurethattheOwner,ArchitectorContractoris
requiredtoprepareinaccordancewiththeContractDocuments.Responsibilityfor
preparationofspecificportionsoftheSustainabilityDocumentationwillbeallocated
amongtheOwner,ArchitectandContractorintheSustainabilityPlanandmayinclude
documentationrequiredbytheCertifyingAuthority.
1.1.9.6CertifyingAuthority
TheCertifyingAuthorityistheentitythatestablishescriteriaforachievementofa
SustainabilityCertificationandisauthorizedtograntordenyaSustainabilityCertification.
ApplicationoftheSpecialDefinitionstoDifferentSustainableProjectTypes
Giventherangeofsustainabilityrequirementsencounteredontodaysprojects,therewilllikelybethree
generalcategoriesofprojects:thosewithnoSustainableObjective,thosethatvoluntarilyadoptaSustainable
ObjectiveandthosewithaSustainableObjectivemandatedbycodeorotherlegalrequirements.
AgreementsforprojectswithaSustainableObjective,whethercodeorcontractrequired,canberegarded
similarly.IftheprojectisrequiredtohaveaSustainableObjective,eitherbecauseoftheapplicablecodeor
becausetheOwnerhaselectedtopursueextensivesustainabledesignandconstructionelements,useofthe
SustainableProjectsdocumentsisappropriate.WhethertheSustainableObjectiveiscodemandatedor
voluntary,aSustainabilityWorkshopshouldbeconductedandaSustainabilityPlanapprovedtodocument
theoutcomesoftheSustainabilityWorkshop.Thesetwomilestonesformaroadmapforachievingthe
SustainableObjective.
WhenusingtheSustainableProjectsdocuments,applicationoftheSpecialDefinitionswillbedifferentwhen
theSustainableObjectiveiscodemandatedthanwhenvoluntarilyselectedbytheOwner.Forexample,when
theSustainableObjectiveismandatedbycode,thentheSustainableObjectiveislikelytobeaproject
designedtomeetcoderequirementsandapprovedbythecodeofficials.WhenaSustainableObjectiveis
adoptedvoluntarily,itwouldbedefinedbytheOwner,andbetiedtorequirementsmandatedbythe
CertifyingAuthorityortotheOwnersotherrequirements.
TheprocessdescribedintheSustainableProjectsdocuments,andtheSpecialDefinitions,canbeusedto
describetheframeworkandestablishproceduresformeetingtheSustainableObjective.Belowisabrief
descriptionofhowtheSpecialDefinitionsforprojectsinvolvingeitheracodemandatedorOwnerdeveloped
SustainableObjectivemaybeviewed.
SustainableMeasure
WhentheSustainableObjectiveisbasedoncodeorotherjurisdictionalrequirementor
elective,theSustainableMeasuresincludethecodesspecificrequirementsandits
electives;andrelateditemsrequiredtomeetthoserequirementsandelectives.
WhentheSustainableObjectiveisadoptedvoluntarily,theSustainableMeasuresinclude
thepointsorcreditsrequiredbytheCertifyingAuthority,orotherOwnerselected
requirement,andrelateditemsrequiredtomeetthoserequirements.
SustainabilityPlan
elective,theSustainabilityPlanisbasedonthecodestables,electivetablesandother
jurisdictionalrequirements;andtheactionsrequiredofeachoftheprojectparticipantsto
meetthoserequirements.
WhentheSustainableObjectiveisadoptedvoluntarily,theSustainabilityPlanisbasedon
theCertifyingAuthoritysscoreorcreditsheet,ortheotherrequirements(Sustainable
Measures)selectedbytheOwner;andtheactionsrequiredofeachoftheproject
participantstomeetthoserequirements.
SustainabilityCertification
elective,theSustainabilityCertificationisessentiallyapprovalbythecodeofficials.
WhentheSustainableObjectiveisadoptedvoluntarily,theSustainabilityCertificationis
certificationbytheCertifyingAuthority.
SustainabilityDocumentation
elective,theSustainabilityDocumentationistheinformationthatthecoderequirestobe
submittedtotheauthorityhavingjurisdiction.
WhentheSustainableObjectiveisadoptedvoluntarily,theSustainabilityDocumentationis
thedocumentationrequiredbytheCertifyingAuthorityorOwner.
CertifyingAuthority
WhentheSustainableObjectiveisbasedoncodeorotherjurisdictionalrequirement,the
CertifyingAuthorityistheauthorityhavingjurisdiction.
WhentheSustainableObjectiveisadoptedvoluntarily,theCertifyingAuthorityisthe
privateorganizationauthorizedtograntordenyaSustainabilityCertification.
Chapter2
Background
SustainableDesignandConstruction
Whilesustainabledesignandconstructionpracticeshaveexistedfordecades,theprominenceofseveral
environmentalproductratingsandSustainabilityCertifications,aswellas,newsustainablebuildingcodes
hascreatedanincreasedfocusonthesustainablybuiltenvironment.Withthisfocus,therehasbeen
increasedattentiononthenewroles,responsibilitiesandrisksencounteredbythoseparticipatingin
sustainableprojects.
Below,isabriefoverviewofenvironmentalproductratings,certificationssystemsandjurisdictional
requirementsrelatedtodesignandconstructionofsustainableprojects.Thisoverviewisincludedto
demonstratethecomplexityofoptionsandrequirementsthatmaybeencounteredonsustainableprojects.
Itisthiscomplexity,andlackofasinglestandard,thatnecessitatestheuseofcontractdocumentsthatare
specificallydesignedforuseonsustainableprojects.
EnvironmentalProductRatings
Overthepastseveraldecades,dozensofenvironmentalproductratingsystemshavebeendevelopedto
identifysustainablydesigned,builtorsourcedproducts.Theseratingsystemsmayfocusonanumberof
keyaspectsoftheratedproductincluding,energyefficiency,emissionsofvolatileorganiccompoundsor
recycledcontent.
Manyoftheenvironmentalproductratingssystemshavedevelopedanecolabelthatisaffixedto
productstoidentifycompliancewiththerequirementsoftheratingsystem.Oneparticularlyprevalent
exampleistheEnergyStarlabelthatisaffixedtohouseholdappliances.However,evenifaproducthasan
ecolabelorsomeotherproductcertification,theArchitectorthepartyspecifyingtheproductmust
researchandunderstandtheproduct,andthemethodforreceivingendorsement;andalsomustconsider
whethertheproductwillperformasintendedundertheoperatingconditionsthatwillbeencountered
wheninstalledintheproject.
Oneofthekeychallengesthespecifiermayfacewhenexaminingenvironmentalproductratingsis
understandingthedegreeofoversightorevaluationprovidedpriortoendorsement.Afirstparty
endorsementisselfendorsement.Thisdoesnotnecessarilymeanthattheproductdoesnotprovidethe
environmentalbenefitsadvertised;butanindependent,outsidesourcehasnotreviewedandtestedthe
manufacturersclaims.Manyenvironmentalproductratingsmaybedescribedassecondorthirdparty
certification.Secondpartycertificationinvolvesaconsultantortradeorganizationthatmayhavean
interestintheentityseekingtohaveitsproductscertified.Thirdpartycertificationgenerallyinvolvesa
certifierthatiswhollyindependentofthepartyseekingcertificationandisconsideredbymanytobethe
mostreliabletypeofcertification.
Inadditiontocarefullyscrutinizingenvironmentalproductratings,thespecifiershouldbeawareofthe
practiceofimproperlyapplyingsustainableattributestoproductsorpracticeswiththeprimarygoalof
increasingprofitsormarketshare,sometimesreferredtoasgreenwashing.Whiletheseproductsor
Chapter2Background
servicesmaybepromotedtohavecertainsustainableattributes,thespecifiershouldcarefullyinvestigate
theseproductsandservicestoascertainthetruesustainablevaluetheproductorservicewillprovide.The
FederalTradeCommission(FTC)hasissuedGuidesfortheUseofEnvironmentalMarketingClaims,known
astheGreenGuides,tohelpmarketersensurethatclaimsabouttheenvironmentalattributesoftheir
productsandservicesaretruthfulandnondeceptive.WhiletheGreenGuidesarevoluntaryguidelines,the
FTCdoeshavethepowertoprosecutefalseormisleadingclaims.
CertificationSystems
Inrecentyearstherehasbeentremendousgrowthinthenumberofpotentialcertificationsystemsthat
Ownersmaypursueonsustainableprojects.Manyofthesecertificationsystemsprovidediverseoptions
thatcanbetailoredtoaspecificproject,budgetandsustainableobjective.Thesenewcertificationsystems
haveplacedanincreasedfocusonsustainabledesignandconstructionandthemeasurablebenefitsof
sustainablepractices.
Inadditiontoenvironmentalbenefitsassociatedwithdesignandconstructioninconformancewiththese
systems,certificationalsooffersbrandnamerecognitionwhenleasingorsellingspaceinanewproject.On
theotherhand,manyofthebenefitsofsustainabledesignandconstruction,includingthepotentialfor
reducedenergycosts,reducedenvironmentalimpact,andincreasedbuildinglifecycle,maybeenjoyed
withoutpursuingaspecificcertificationsystem.
Inconsideringpotentialcertificationsystemsorothersustainabledesignelements,itmaybenecessaryto
distinguishbetweencertificationandbuildingperformance.Abuildingthathasachievedaspecific
certificationwillnotnecessarilyrealizeenhancedperformance,andthereforemaynotmeetanOwners
performanceexpectations.Conversely,abuildingthatmeetstheOwnersperformanceexpectationsor
incorporatessustainabledesignandconstructionelementsmaynotbeeligibleforaparticularcertification
becauseitmaynotmeetallofthecertificationrequirements.ClearlydefiningboththeOwnersvoluntary
performanceandcertificationgoals,aswellasanylimitationstoattainingthosegoals,iscriticalinsetting
expectationsandrealizingasuccessfulsustainableproject.
TheAIAdoesnotendorseanyparticularsustainabilitycertification.Ifitisdeterminedthatpursuinga
particularcertificationisthemostappropriateoptionfortheproject,therearenumerouscertification
systemsthatcanbeconsidered.Inselectingacertificationsystem,theOwnerandArchitectshould
considertheoptionsavailable,thecostofthirdpartycertification,thecostofdocumentationandthecost
ofdesignandconstructionrequiredforeach.Thetimeandeffortrequiredforsustainabledesignand
construction,aswellasthecertificationprocessandrequirements,willvarybyprojectandwillbe
particularlyaffectedbythelocalclimate,siteconditionsandpreferredarchitecturalform,massing,project
typeandjurisdictionalrequirements.
Thefollowingisabasicsummaryofsomecommoncertificationsystemsfornewandexistingbuildings.
Dependingonthetypeofproject,therequirementsofeachofthesecertificationsystemsvariesandmany
mayhaveprogramsuniquetospecificprojecttypes.Amoredetailedexplanationofeachofthese
certificationsystemsmaybefoundattherespectivecertifyingauthoritieswebsite.
BOMA360.TheBOMA360PerformanceProgram,sponsoredbytheBuildingOwnersandManagers
AssociationInternational(BOMAInternational)evaluatesbuildingsagainstindustrybestpracticesinsix
10
Chapter2Background
majorareas:buildingoperationsandmanagement;lifesafety,securityandriskmanagement;trainingand
education;energy;environmental/sustainability;andtenantrelations/communityinvolvement.Individual
buildingsthatsatisfytherequirementsinallsixareasareawardedtheBOMA360designation.
BREEAM.BuildingResearchEstablishmentEnvironmentalAssessmentMethod(BREEAM)addresses
environmentalandsustainabilityissuesthroughascoringsystembaseduponrecognizedmeasuresof
performancesetagainstestablishedbenchmarkstoevaluateabuildingsspecification,design,construction
anduse.Theprogramincludesassessmentofperformanceatthecompletionofconstruction.BREEAM,
althoughusedonsomeprojectsintheUnitedStates,ismoreprevalentintheUnitedKingdomandEurope.
BREEAMInUseisaprogramtohelpbuildingmanagersreduceoperationscostsandimprovetheenvironmental
performanceofexistingbuildings.Itconsistsofanassessmentmethodologyandanindependentcertification
process.LikeBREEAMfornewconstruction,BREEAMInUseismoreprevalentinEurope.
EnergyStar.EnergyStarisajointprogramoftheU.S.EnvironmentalProtectionAgencyandtheU.S.
DepartmentofEnergy.Theprogramfocusesexclusivelyonenergyperformanceofbothnewandexisting
buildings.ToqualifyforENERGYSTAR,abuildingmustearnascoreof75orhigherontheEPA's1100energy
performancescale,indicatingthatthefacilityperformsbetterthanatleast75%ofsimilarbuildingsnationwide.
GreenGlobes.GreenGlobesisawebbasedprogramforgreenbuildingguidanceandcertification.The
programincludesanonsiteassessmentbyathirdparty.RatingsarerepresentedasquantityofGlobes
rangingfromonetofourGlobesbasedonthepercentageofpointsachieved.TheGreenBuildingInitiative
administersGreenGlobesintheUnitedStates.
GreenGlobesContinualImprovementofExistingBuildings(CIEB)isawebapplicationthataidsbuilding
ownersandpropertymanagersintheevaluation,documentation,andimprovementoftheenvironmental
performanceoftheirbuildings.Usingthistoolenablesbuildingteamstofocusonsustainability,givesthem
optionswhenconsideringcapitalimprovementsorimplementationofbestpractices,andallowsthemto
benchmarkandratethebenefitsofvariousbuildingattributesandprocedures
LEED.LeadershipinEnergyandEnvironmentalDesign(LEED)isacertificationsystemthatnotonlyhasdifferent
levelsofcertification(silver,gold,platinum)butalsodifferentrequirementsbasedonprojecttype(new
construction,coreandshell,etc.).LEEDalsotakesintoconsiderationmultipleaspectsofdesignandconstruction
forthewholebuilding.TheGreenBuildingCertificationInstitute(GBCI)administerstheLEEDprogram.
LEEDforExistingBuildings:Operations&Maintenanceprovidesownersandoperatorsofexistingbuildings
anentrypointintotheLEEDcertificationprocessandisapplicabletobuildingoperations,processes,
systemsupgrades,minorspaceusechanges,andminorfacilityalterationsoradditions.
TheLivingBuildingChallenge.TheLivingBuildingChallengeisoperatedbytheInternationalLivingFutures
Instituteandisapplicabletorenovationsornewconstruction.Theprogramisbasedentirelyonbuilding
performanceandabuildingmustbeoperationalforaperiodof12consecutivemonthspriorto
certification.However,abuildingmayreceiveaconditionalassessmentpriortoconclusionofthe12month
operationalperiod.TheInternationalLivingFuturesInstitutealsoprovidesNetZeroEnergyBuilding
Certificationforbuildingsthathaveprovenzeronetenergyconsumptionandzerocarbonemissions.
11
Chapter2Background
STARS.SustainabilityTracking,Assessment&RatingSystem(STARS)wasdevelopedbytheAssociationfor
theAdvancementofSustainabilityinHigherEducation(AASHE).Thiscertificationsystemisforcollegesand
universities.STARSprovidesaselfreportingframeworkforcollegesanduniversitiestomeasuretheir
performance.
JurisdictionalRequirements
Inadditiontoexistingcertificationsystems,manyjurisdictionsaredevelopingtheirownstandardsfor
sustainabledesignandconstructionoradoptingoneoftheexistingcertificationsystemsthroughregulations
orcodes.Withmoreandmorestateandlocalgovernmentsrequiringthatprojectsachievespecific
sustainabilityrequirements,somelevelofsustainabledesignandconstructionwillbecomeincreasingly
prevalentintheindustry.Often,thesenewlawsareunclearastotheexactpenaltyforfailuretoachieveor
complywiththelawsrequirements.Theymayalsorequirebondsorotherobligationsnotreadilyavailablein
themarket.Someofthemajorcodesandotherjurisdictionalrequirementsaresummarizedbelow:
Standard189.1.Inanefforttoestablishminimumsustainablecriteriaforincorporationintobuildingcodes,
theAmericanSocietyofHeating,RefrigeratingandAirConditioningEngineers(ASHRAE)inconjunctionwith
theIlluminatingEngineeringSociety(IES)andUnitedStatesGreenBuildingCouncil(USGBC)developed
ANSI/ASHRAE/USGBC/IESStandard189.1,StandardfortheDesignofHighPerformanceGreenBuildings
ExceptLowRiseResidentialBuildings(Standard189.1).Standard189.1isapplicabletoallbuildingsexcept
lowriseresidentialbuildingsandcoverssitesustainability,wateruseefficiency,energyefficiency,indoor
environmentalqualityandthebuildingsimpactontheatmosphereornaturalresources.Standard189.1
canbevoluntarilyappliedtoaproject;butisnotmandatoryunlessadoptedascodeinthejurisdiction
wheretheprojectislocated.
IgCC.TheInternationalgreenConstructionCode(IgCC),developedbytheInternationalCodeCouncil(ICC),
andpublishedin2012,addsgreenprovisionstoexistingcodes,suchastheInternationalBuildingCode
(IBC),InternationalEnergyConservationCode(IECC)andtheotherICodes.Itcoversnaturalresources,
waterandenergyconservation,operationsandmaintenancefornewandexistingbuildings,buildingsites,
buildingmaterials,andbuildingcomponents(includingequipmentandsystems).LikeotherICCcodes,itis
anticipatedthatitwillbeupdatedandreleasedonathreeyearcycle.
Whenadoptedbyajurisdiction,theIgCCwilllikelyaffectthedesignteamsscopeofservicesandwill
influencetheapplicablestandardofcare;itsprovisionsmayalsoimposenewrequirementsonOwners.
Thesenewrequirementsmayresultintheneedfornewconsultantsoranincreaseinthelevelofservices
requiredofthedesignteam.Thesenuancescanonlybediscoveredbythoroughlyreadingthecodeand
understandingwhateachprovisionsimpactwillbe.
Injurisdictionswhereithasnotbeenadopted,OwnersmayseektoincorporateprovisionsoftheIgCC
throughtheirdesignandconstructioncontracts,which,again,willaffectthedesignteamsscopeofservices
andtheapplicablestandardofcare.Incorporatingthecodebycontractwillpresentanumberofchallenges,
andthepartiestosuchacontractwillneedtobeextremelycareful.Amongotherthings,theIgCCallowsfor
theselectionofjurisdictionspecificrequirementsandprojectspecificelectives.Caremustbetakentoensure
thatacontract,seekingtoadopttheIgCCbyreference,addressesthoseprovisionsnormallydealtwithaspart
ofthecodeadoptionandenforcementprocess.Failuretoaddresssuchdetails,andanyotherissuesrequired
tobeaddressedaspartofthecodeadoptionprocess,mayleadtocontractambiguityanddispute.
12
Chapter2Background
BecausetheSustainableProjectsdocumentshavebeendraftedwiththeseissuesinmind,theyarelikely
thebestplacetobeginwhentheIgCCisapplicabletoyourproject.TheseDocumentshavebeendraftedto
allocatedutiesandriskstothepartythatisbestabletomanagethemandprovideaframeworkforthe
ArchitecttodevelopaSustainabilityPlanthatefficientlyallocatestherequirementsoftheIgCCtothe
appropriateparty.
LocalCodes.InadditiontotheIgCC,manyjurisdictionsaredevelopingtheirownstandardsforsustainable
designandconstructionoradoptingoneoftheexistingcertificationsystemsthroughregulationsorcodes.
Thesenewstandardscanbecomprehensivecodesdraftedbythejurisdiction,liketheCALGreenCode,or
theycanadoptanexistingcertificationsystem,liketheD.C.GreenBuildingAct.Itisimportantthateachof
theprojectparticipantsunderstandsthecodesandrequirementsapplicableinthejurisdictionwherethe
projectislocated.
JurisdictionalIncentives.Inadditiontojurisdictionalorgovernmentalrequirementsthatcreateadditional
sustainablecriteriaforprojects,manyjurisdictionsandthefederalgovernmentareofferingincentivesfor
projectsthatincorporatesustainabledesignandconstructionmeasures.Incentivesmayincludeexpedited
permitting;taxrebates,deductionsandcredits,suchastheIRSSection179DdeductionforEnergyEfficient
Buildings;orotherfinancialorprojectincentives.SomeincentivesareavailableexclusivelytotheOwner
whileothersareavailabledirectlytotheArchitectorContractor.Theseincentives,whilebeneficialtothe
projectorthepartyreceivingtheincentive,maycreatethepotentialforsignificantdamagestoother
partiesontheprojectifarequirementforreceivingtheincentiveisnotachieved.
OtherGovernmentalRequirements.Althoughnottechnicallyjurisdictionalrequirements,some
governmentalentities,intheirroleasOwners,havespecificsustainabilityrequirements.Forexample,the
U.S.GeneralServicesAdministration(GSA),anindependentagencyoftheUnitedStatesgovernmentand
oneofthelargestlandownersandmanagersinthenation,hasrequiredthatallofitsnewconstructionand
majormodernizationprojectsachieveLEEDcertification.OneoftheGSAskeyrolesisthedesign,
construction,operationandmaintenanceoffederalfacilities,includingcourthouses,officebuildings,land
portsofentryandresearchfacilities.
Conclusion
Asstatedpreviously,continueddevelopmentinthefieldofsustainabledesignandconstructionwillcreatea
diverseandoftenconfusingsetofcompetingcertifications,standards,andcodesthatmaybeapplicableto
sustainabledesignandconstructionprojects.Inordertoestablishaclearunderstandingofwhatis,andwhat
isnot,requiredonasustainableproject,theprojectparticipantscannolongerrelyoncontractsthatdonot
addresstheseissues.Sustainableprojectsrequirecontractdocumentsthatarespecificallytailoredto
sustainableprojectsandthatprovideaclearprocessforestablishingthesustainabilityrequirementsforthe
project.TheAIASustainableProjectsdocuments,outlinedbelow,includekeymodificationstostandardAIA
ContractDocumentsthatwillallowthepartiestoclearlyestablishtheOwnerssustainabilitygoalforthe
projectandestablishclearlinesofresponsibilityforachievingthatgoal.
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Chapter3
B1012007SP,AgreementBetweenOwnerandArchitect
Foreasyreference,thefollowingsectionsarecoordinatedwiththearticleandsectionnumbersfoundinAIA
DocumentB1012007SP.However,theinformationincludedbelowisgenerallyapplicabletoagreements
usedforsustainabledesignandconstruction.Withcarefulreviewandcoordination,thecontractlanguage
citedinthisGuidemayalsobeappliedintheuseofotherAIAagreements.Notethatthediscussionand
languageincludedbelowincorporatestheSpecialDefinitionsincludedinChapter1ofthisGuide.
ThisGuideemphasizestheroletheArchitectplaysineducatingOwnersandestablishingreasonable
expectationsregardingsustainabledesignearlyintheProject.ThelanguageemphasizesthattheArchitectwill
designthebuildingwiththeintentionofhavingtheProjectmeetthespecifiedSustainableObjective,but
recognizesthattheconstruction,operationandmaintenanceofthebuilding,aswellasinterpretationsbythe
CertifyingAuthorityorauthoritieshavingjurisdictionovertheProject,arebeyondtheArchitectscontrol.
InitialInformation
InAIADocumentB1012007,thepartiesarepromptedtoprovideinitialinformationsettingforth,among
otherthings,theOwnersassumptionsandexpectationsregardingkeyProjectparameters.TheArchitects
servicesandcorrespondingcompensationarebasedontheinitialinformationprovidedbytheOwner.Ona
sustainableproject,thepartiesmaywanttoincludespecificinformationabouttheOwnersassumptions
andexpectationsrelatedtotheSustainableObjectiveorSustainableMeasurescontemplatedforthe
Project.If,whenlaterdevelopingtheSustainabilityPlan,theSustainableObjectivechangesandcausesan
increaseintheArchitectsservicesbeyondthoserequiredbytheSustainableObjectivesetforthinthe
initialinformation,theArchitectmaybeentitledtoadditionalcompensation.
B101SPARTICLE1,INITIALINFORMATION
1.1ThisAgreementisbasedontheInitialInformationsetforthinthisArticle1andin
optionalExhibitA,InitialInformation:
(CompleteExhibitA,InitialInformation,andincorporateitintotheAgreementat
Section13.2,orstatebelowInitialInformationsuchasdetailsoftheProjectssiteand
program,Ownerscontractorsandconsultants,Architectsconsultants,Ownersbudgetfor
theCostoftheWork,authorizedrepresentatives,anticipatedprocurementmethod,
anticipatedSustainableObjective,incentiveprogramstheOwnerintendstopursue,and
otherinformationrelevanttotheProject.)
AIADocumentA2012007SP,Section9.8.1,definesSubstantialCompletionasthestageintheprogress
oftheWorkwhentheWorkordesignatedportionthereofissufficientlycompleteinaccordancewiththe
ContractDocumentssothattheOwnercanoccupyorutilizetheWorkforitsintendeduse.Ona
sustainableproject,inwhichtheOwnerisseekingtoachieveaSustainabilityCertification,thedateof
SubstantialCompletionisnotthesameasthedateofawardoftheSustainabilityCertification;the
SustainabilityCertificationmaybeissuedsometimelaterthanSubstantialCompletion.Accordingly,
languagewasincludedinB1012007SPSection1.2toclarifythatSubstantialCompletion,forpurposesof
B1012007SP,isasdefinedinSection9.8.1ofAIADocumentA2012007SP.
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Chapter3B1012007SP,Owner/ArchitectAgreement
B101SPARTICLE1,INITIALINFORMATION
1.2TheOwnersanticipateddatesforcommencementofconstruction,andSubstantial
CompletionoftheWorkasdefinedinSection9.8.1ofAIADocumentA2012007SP,are
setforthbelow:
.1 Commencementofconstructiondate:
.2 SubstantialCompletiondate:
StandardofCare
In2007,theAIAincludedanewprovisioninitsstandardOwner/ArchitectAgreementsthatsetsforththe
standardofcaregenerallyapplicabletotheArchitectsservices.ThislanguagewasaddedbytheAIAsothat
thepartiestotheOwner/Architectagreementwouldnot,withoutdiscussionornegotiation,inserta
standardofcareprovisionthatisdifferentthanthecommonlawstandardofcare.Thisstandardofcare,as
setforthinB1012007SPSection2.2,isasfollows:
B101SPARTICLE2,ARCHITECTSRESPONSIBILITIES
2.2TheArchitectshallperformitsservicesconsistentwiththeprofessionalskillandcare
ordinarilyprovidedbyarchitectspracticinginthesameorsimilarlocalityunderthesameor
similarcircumstances.TheArchitectshallperformitsservicesasexpeditiouslyasis
consistentwithsuchprofessionalskillandcareandtheorderlyprogressoftheProject.
Unlessthisprovisionissubsequentlymodifiedbytheparties,thisisthestandardbywhichtheArchitects
performancewillbeevaluatedinanylegalproceeding.Accordingly,OwnersandArchitectsshould
recognizeandunderstandthisstandardofcare.OwnersandArchitectsshouldalsobeawarethat
modificationstothiscontractualstandardofcarelanguagecouldhaveconsequencesfrombothalegal
liabilityperspectiveandaninsurancecoverageperspective.LiabilitytotheOwnerorothersbasedon
heightenedstandardofcarelanguage(e.g.,theArchitectshallperformitsservicesconsistentwiththe
highestandbestprofessionalcare...,ortheArchitectshallperformitsservicesconsistentwithhighly
experiencedgreenbuildingorsustainabledesignprofessionals...,etc.)maynotbecoveredbythe
Architectsprofessionalliabilityinsurance.BothOwnersandArchitectsshouldexercisecautionbefore
alteringoramendingthisstandardofcarelanguage,andlegalcounselshouldbeconsultedinorderto
discussthepotentialeffectsofanysuchmodifications.Intheeventofadisputeunderthestandardofcare
languagesetforthinAIADocumentB1012007SP,theArchitectsserviceswillbeevaluatedincomparison
toservicesprovidedbytheArchitectspeersperforminginthesameorsimilarlocalityunderthesameor
similarcircumstances.TheArchitectmustunderstandthecustomsandpracticesof,andstandardsapplied
by,otherArchitectsonsimilarprojectsinthatlocalityandperformitsprofessionalservicesaccordingly.
Furthermore,asmorejurisdictionsinstitutegreenbuildingstandardsbycode,theArchitectsstandardof
caremayincluderequirementsestablishedbynewlyadoptedcodeorpractice.Inotherwords,standardof
careisanevolvingconcept;asdesignprofessionalsbeginincorporatingsustainabledesignpractices
(eithervoluntarilyorthroughjurisdictionalrequirements),theArchitectsstandardofcaremayeventually
beconstruedtoincludethosesustainabledesignpracticesastheacceptedbaselinestandardof
performancefortheArchitect.EveninjurisdictionswheretheIgCCisnotofficiallyadopted,professional
practicesinitiallyadoptedtocomplywiththeIgCCmaybecomepartofthegeneralpracticeofarchitecture
orengineeringonalocal,regional,ornationallevelandtherebyinfluencethestandardofcare.
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InadditiontoindustrychangesorcoderequirementsthatmaychangetheArchitectsbaselinestandardof
care,theArchitectmayinadvertentlyassumegreaterobligationsorliabilitiesbyincludingcontractual
assuranceprovisionssuchaswarrantiesorguaranteesthataspecificSustainableObjectivewillbe
achieved.Becauseguaranteesandwarrantiesareoftenexcludedfromcoverageunderprofessional
liabilityinsurancepolicies,anonnegligentfailuretoachieveacontractuallyguaranteedSustainable
ObjectivemaynotbecoveredbytheArchitectsprofessionalliabilityinsuranceandaccordinglyshouldbe
avoided.(Seethediscussiononguaranteesofperformancebelow.)
ScopeofArchitectsBasicServicesandSustainabilityServices
D5032011suggestedthat,whenmodifyingthestandardAIAOwner/Architectagreements,theArchitects
SustainabilityServiceswouldbetreatedasAdditionalServices.However,becausetheSPdocumentswere
developedspecificallyforuseonprojectsintended,fromtheoutset,toincludesignificantsustainabledesign
andconstructionelements,itdidnotseemappropriatetotreattheSustainabilityServicesasAdditional
Services.Accordingly,underB1012007SP,theArchitectsSustainabilityServicesareincludedaspartofBasic
Services.B1012007SPincludesanewSection3.3thatoutlinestheArchitectsSustainabilityServices.Anew
Section3.1wasaddedtoalertuserstothefactthatSection3.3includestheArchitectsSustainabilityServices.
B101SPARTICLE3,SCOPEOFARCHITECTSSERVICESANDSUSTAINABILITYSERVICES
3.1TheArchitectsBasicServicesconsistofthosedescribedinArticle3Sections3.1and
3.2andincludeusualandcustomarystructural,mechanical,andelectricalengineering
services.TheArchitectsSustainabilityServicesconsistofthosedescribedinSection3.3.
ServicesnotsetforthinArticle3areAdditionalServices.
MaterialsorEquipmentSubstitutions.Sustainableprojectsrequirecarefulselectionofbuildingmaterialsand
equipment.Often,theArchitectwillselectspecificmaterialsorequipmentnecessarytoachievethe
SustainabilityCertificationorotherwisenecessaryfortheSustainableObjective.Substitutionsthatfailto
conformtothespecificrequirementsoftheArchitectspecifiedmaterialsandequipmentcouldpreventa
ProjectfromachievingtheSustainableObjective.Itis,therefore,criticalthateachsubstitutionbecarefully
consideredinlightoftheimpactitmayhaveonachievingtheSustainableObjective.Forfurtherdiscussionof
thesubstitutionissue,includingadditionalContractorobligations, seeChapter4ofthisGuide.
ScopeofArchitectsBasicServices.WhileeveryattemptwasmadetoincludealloftheArchitects
SustainabilityServicesunderSection3.3,itwasnecessarytomodifycertainprovisionsofSection3.2to
addressspecificaspectsoftheSustainabilityServices.Manyofthesechangesareminor,butnecessaryto
formanarrativeoftheiterativedevelopmentoftheSustainabilityPlan.Eachofthechangesisdetailedbelow.
BecausetheArchitectwillbeperformingtheSustainabilityServicesunderB1012007SP,thelanguagein
thissectionrequiringthattheArchitectpresentanevaluationofthefeasibilityofincorporating
environmentallyresponsibledesignapproacheshasbeendeleted.
3.2.1.3TheArchitectshallpresentitspreliminaryevaluationtotheOwnerandshall
discusswiththeOwneralternativeapproachestodesignandconstructionoftheProject,
includingthefeasibilityofincorporatingenvironmentallyresponsibledesignapproaches.
TheArchitectshallreachanunderstandingwiththeOwnerregardingtherequirementsof
theProject.
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Additionally,Section3.2.1.5.1hasbeenmodifiedtorecognizethattheArchitectsconsiderationof
environmentallyresponsibledesignalternativesisperformedaspartoftheArchitectsSustainability
ServicesunderSection3.3.
3.2.1.5.1InprovidingtheSustainabilityServicesunderSection3.3,theArchitectshall
considerenvironmentallyresponsibledesignalternatives,suchasmaterialchoicesand
buildingorientation,togetherwithotherconsiderationsbasedonprogramandaesthetics,
indevelopingadesignthatisconsistentwiththeOwnersprogram,scheduleandbudget
fortheCostoftheWork. TheOwnermayobtainotherenvironmentallyresponsibledesign
servicesunderArticle4.
Section3.2.1.7hasbeenmodifiedtorequirethattheArchitectsubmittheSustainabilityPlantotheOwner
forapprovalalongwiththeSchematicDesignDocuments.
3.2.1.7TheArchitectshallsubmittheSchematicDesignDocuments,andthe
SustainabilityPlanpreparedinaccordancewithSection3.3.4.1,totheOwner,andrequest
theOwnersapproval.
TheOwnersapprovaloftheSustainabilityPlanduringtheSchematicDesignphaseisanimportantfirststep
incementingtherolesandresponsibilitiesofthepartieswithrespecttoachievingtheSustainable
Objective.TheapprovedSustainabilityPlanwillinfluencethefurtherdevelopmentoftheSchematicDesign
DocumentsthroughtheDesignDevelopmentPhase.
3.2.2.1BasedontheOwnersapprovaloftheSchematicDesignDocumentsandthe
SustainabilityPlan,andontheOwnersauthorizationofanyadjustmentsintheProject
requirementsandthebudgetfortheCostoftheWork,theArchitectshallprepareDesign
DevelopmentDocumentsfortheOwnersapproval.TheDesignDevelopmentDocuments
shallillustrateanddescribethedevelopmentoftheapprovedSchematicDesignDocuments
andshallconsistofdrawingsandotherdocumentsincludingplans,sections,elevations,
typicalconstructiondetails,anddiagrammaticlayoutsofbuildingsystemstofixand
describethesizeandcharacteroftheProjectastoarchitectural,structural,mechanicaland
electricalsystems,andsuchotherelementsasmaybeappropriate.TheDesign
DevelopmentDocumentsshallalsoincludeoutlinespecificationsthatidentifymajor
materialsandsystemsandestablishingeneraltheirqualitylevels.
AsthedesignprocessprogressesandtheDrawingsandSpecificationsbecomemoredetailed,itmaybe
necessarytoadjustcertainaspectsoftheSustainabilityPlan.TheArchitectisrequiredtoupdatetheOwner
onanyadjustmenttotheSustainabilityPlanwhensubmittingDesignDevelopmentDocuments.
3.2.2.3TheArchitectshallsubmittheDesignDevelopmentDocumentstotheOwner,
advisetheOwnerofanyadjustmentstotheestimateoftheCostoftheWorkorthe
SustainabilityPlan,andrequesttheOwnersapproval.
DevelopmentoftheSustainabilityPlan,includingtheOwnersapproval,willestablishtheSustainable
MeasuresfortheProjectandestablishkeyareasofresponsibilityforeachoftheProjectparticipants.The
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approvedSustainabilityPlanbecomespartoftheContractDocuments,andelementsoftheSustainability
Planwillbereflectedinthedrawingsandspecifications.
3.2.3.1BasedontheOwnersapprovaloftheDesignDevelopmentDocuments,andon
theOwnersauthorizationofanyadjustmentsintheProjectrequirementsand,thebudget
fortheCostoftheWorkandtheSustainabilityPlan,theArchitectshallprepare
ConstructionDocumentsfortheOwnersapproval.TheConstructionDocumentsshall
illustrateanddescribethefurtherdevelopmentoftheapprovedDesignDevelopment
DocumentsandshallconsistofDrawingsandSpecificationssettingforthindetailthe
qualitylevelsofmaterialsandsystemsandotherrequirementsfortheconstructionofthe
Work.TheOwnerandArchitectacknowledgethatinordertoconstructtheWorkthe
Contractorwillprovideadditionalinformation,includingShopDrawings,ProductData,
Samplesandothersimilarsubmittals,whichtheArchitectshallreviewinaccordancewith
Section3.6.4Section3.2.5.4.
3.2.3.3DuringthedevelopmentoftheConstructionDocuments,theArchitectshallassist
theOwnerinthedevelopmentandpreparationof(1)biddingandprocurement
informationthatdescribesthetime,placeandconditionsofbidding,includingbiddingor
proposalforms;(2)theformofagreementbetweentheOwnerandContractor;and(3)the
ConditionsoftheContractforConstruction(General,Supplementaryandother
Conditions);and(4)theSustainabilityPlan.TheArchitectshallalsocompileaproject
manualthatincludestheConditionsoftheContractforConstructionandSpecificationsand
mayincludebiddingrequirementsandsampleforms.
TheArchitectwillagainnotifytheOwnerofanyadjustmentstotheSustainabilityPlanandseekthe
OwnersapprovalconcurrentwithitssubmissionoftheConstructionDocuments.
3.2.3.5TheArchitectshallsubmittheConstructionDocumentstotheOwner,advisethe
OwnerofanyadjustmentstotheestimateoftheCostoftheWorkortheSustainability
Plan,takeanyactionrequiredunderSection6.5,andrequesttheOwnersapproval.
ConstructionPhaseServices
ProjectCompletion.AsnotedinthediscussionoftheInitialInformation,SubstantialCompletionandthe
awardofaSustainabilityCertificationarenotlikelytooccuratthesametime.TheawardofaSustainability
CertificationtypicallywillbesometimelaterthanthedateofSubstantialCompletion.BecauseSubstantial
CompletiontriggersthereleaseofretainageandthebeginningoftheContractorswarrantiesand
correctionsperiod,theArchitectshoulddiscussSection3.2.5.6.1withtheOwnertobesuretheOwner
understandsthattheseitemsaretriggeredbySubstantialCompletionandnotnecessarilybyawardofthe
SustainabilityCertification,orverificationthattheSustainableObjectivewasmet.
3.2.5.6.1...VerificationthattheProjecthasachievedtheSustainableObjective,orthe
actualachievementoftheSustainableObjective,shallnotbeaconditionprecedenttothe
ArchitectsissuanceofaCertificateofSubstantialCompletion.
UnderA2012007SP,theContractorisrequiredtosubmitallofitsSustainabilityDocumentationtothe
ArchitectasaconditionofSubstantialCompletion;unlessaportionoftheSustainabilityDocumentation,by
itsnature,cannotbeprovideduntilafterSubstantialCompletion.SustainabilityDocumentationtobe
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providedafterSubstantialCompletionmightincludetheresultsofcommissioning,certainsystemstesting,
orsomeotherrequirementthatcannotbetestedorverifieduntilthebuildingisoccupied.Section3.2.5.6.4
excludespostSubstantialCompletionSustainabilityDocumentationfromtheitemsthattheArchitectmust
providetheOwneraspartofProjectcompletion.
3.2.5.6.4TheArchitectshallforwardtotheOwnerthefollowinginformationreceivedfrom
theContractor:(1)consentofsuretyorsureties,ifany,toreductioninorpartialreleaseof
retainageorthemakingoffinalpayment;(2)affidavits,receipts,releasesandwaiversofliens
orbondsindemnifyingtheOwneragainstliens;and(3)anyotherdocumentationrequiredof
theContractorundertheContractDocuments,exceptforSustainabilityDocumentation
whichbyitsnaturemustbecompletedafterSubstantialCompletion.
SustainabilityServices
Asdiscussedpreviously,B1012007SPtreatstheSustainabilityServicesasBasicServices.Wherethe
partieshaveselectedtheSustainableProjectsdocumentsasthebasisofcontractnegotiations,theparties
areawarethattheSustainabilityServicesarepartoftheProjectandtheseserviceswouldnotbe
consideredAdditionalServices.Itshouldbenoted,however,thattheSustainabilityServicesaresubjecttoa
separatecompensationprovisionunderArticle11ofB1012007SPifthepartieselecttousethisprovision.
EvenwhereajurisdictionmayrequireaspecificSustainabilityCertificationorcompliancewitha
sustainabilityrelatedcode,itisstillimportanttodefinehowtheSustainabilityPlanwillbedeveloped,who
willperformtheSustainableMeasures,whowillregistertheProjectwiththeCertifyingAuthorityandwho
willsubmitdocumentstotheCertifyingAuthority.Forthisreason,theSustainableProjectsdocumentsare
appropriateandbeneficialevenwherethesustainableelementsoftheProjectaredefinedbycode.(See,
forexample,thediscussioninChapter1.)
ScopeofArchitectsSustainabilityServices.InperformingtheSustainabilityServices,theArchitectwill
developaclearunderstandingwiththeOwnerregardingthecompletescopeoftheArchitectsservices.The
SustainabilityServicesoutlinedbelowestablishaprocessto:(1)determinetheOwnersSustainableObjective;
(2)developaSustainabilityPlanoutliningtheSustainableMeasuresnecessarytoachievetheSustainable
Objective;(3)designateresponsibilityforeachSustainableMeasure;and(4)incorporatetheSustainable
MeasuresincludedintheSustainabilityPlanintothedrawingsandspecificationsfortheProject.
Thisscopeofservicesismeanttobeflexibleandmaybeusedonmanytypesofsustainableprojects.For
example,thisscopeofservicescouldbeusedonaProjectwheretheSustainableObjectiveis75%energy
savings,comparedtoareferencedbenchmark,oraProjectwheretheSustainableObjectiveisboth75%
energysavingsandsomethirdpartyratingorcertification.Thelevelofservicecanbespecificallytailoredto
theOwnersrequirementsandbudget.
TheSustainabilityServicesareincludedinSection3.3,ratherthanincorporatedwiththeotherBasic
Services,toprovideasinglepointofreferenceforthoseservicesthatareuniquetosustainableprojects.
ThiscanbeusedasastartingpointfordiscussionswiththeOwnerregardingtheservicesperformedbythe
ArchitectonasustainableprojectandtheadditionalcommitmentrequiredoftheOwner.Whilethese
servicesarebrokenoutintoaseparatesection,theserviceswillbeperformedalongsideandinconjunction
withtheotherBasicServiceperformedbytheArchitect.
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3.3ScopeofArchitectsSustainabilityServices
3.3.1InconjunctionwiththeservicesdescribedinSections3.1and3.2,theArchitectshall
providetheSustainabilityServicesdescribedinthisSection3.3.
SustainabilityCertificationAgreements.ManySustainabilityCertificationsrequirethattheuserregister
theProjectwithandprovidesubmissionstotheCertifyingAuthoritythroughtheuseofanonlinetool.
Often,theCertifyingAuthoritymayrequiretheuseroftheonlinetooltoenterintocertainagreements
withtheCertifyingAuthorityaspartoftheregistrationprocess.Theseagreementsmaybeclickthrough
agreementsthataredisplayedonscreenaspartoftheregistrationprocess.Theseagreementscancreate
significantlegalandperformanceobligationsforthepartyregisteringtheProject.TheOwnershouldbe
awareoftherequirementsoftheseagreementsandbewillingtorecognize,throughawrittenagreement,
thatthepartyregisteringtheProjectisdoingsoontheOwnersbehalfasanagentoftheOwner.However,
lawsregardingtheestablishmentandenforcementofanagencyrelationshipmayvaryfromjurisdictionto
jurisdiction,andshouldbereviewedwithappropriatelegalcounsel.Additionalinformationonthissubject
canbefoundunderChapter5ofthisGuideasitspecificallyrelatestoLEEDCertification.
3.3.2SustainabilityCertificationAgreements
IftheanticipatedSustainableObjectivesetforthintheInitialInformationincludesa
SustainabilityCertification,theArchitectshallprovidetheOwnerwithcopiesofall
agreementsrequiredbytheCertifyingAuthoritytoregistertheProjectandpursuethe
SustainabilityCertification.TheOwnerandArchitectwillreviewandconfirmthattheterms
ofthoseagreementsareacceptabletotheOwnerbeforemovingforwardwiththe
SustainabilityServicesunderSection3.3.TheOwneragreestoexecutealldocuments
requiredbytheCertifyingAuthoritytobeexecutedbytheOwner,includingany
documentationrequiredtoestablishtheauthorityoftheArchitectasanagentofthe
OwnerforthelimitedpurposeofpursuingtheSustainabilityCertification.
SustainabilityWorkshop.Fundamentaltothesuccessofsustainableprojectsisthedevelopmentofaclear
understandingoftheOwnersgoalsandexpectationsfortheProject.TheSustainabilityWorkshopallows
theArchitect,OwnerandotherparticipantstomeetpriortotheconclusionoftheSchematicDesignPhase
oftheProjecttoconfirmtheSustainableObjectiveandestablishthegoalsandexpectationsforthe
SustainableMeasuresthatwillbeincorporatedintotheProject.DuringtheSustainabilityWorkshop,the
ProjectparticipantsshoulddiscusstheOwnersintendeduseoftheProjectandpotentialSustainable
MeasuresthatwouldallowtheOwnertoachieveitsgoalsfortheProject.Inaddition,theArchitectmay
provideadvicetotheOwnerregardingthefeasibilityof,orbudgetimpactsarisingfrom,thepotential
incorporationofSustainableMeasures,ornecessaryimplementationprocedures.TheOwnerandArchitect
mayalsodiscussthepotentialpostconstructionimpacttheSustainableMeasuresmayhaveonthe
completedProjectsuchasbuildingoperationsormaintenanceprocedures.
3.3.3SustainabilityWorkshop
NolaterthantheconclusionoftheSchematicDesignPhaseServices,theArchitectshall
conductaSustainabilityWorkshopwiththeOwnerand,asrequestedbytheArchitect,with
theOwnersconsultantsandtheArchitectsconsultants,duringwhichtheparticipantswill:
reviewanddiscusspotentialSustainableMeasurestobetargeted;examinestrategiesfor
20
implementationoftheSustainableMeasures;anddiscussthepotentialimpactofthe
SustainableMeasuresontheProjectscheduleandtheOwnersprogramandbudget.
ItshouldbenotedthatthelanguageabovestatesthattheSustainabilityWorkshopwilloccurnolaterthan
theconclusionoftheSchematicDesignPhaseServices.Thislanguagewasincludedbecausethe
SustainabilityWorkshopshouldoccurduringtheveryearlystagesoftheProject.Remember,when
schedulingtheSustainabilityWorkshop,thattheSustainabilityPlanisrequiredtobesubmittedtoand
approvedbytheOwnerwiththeSchematicDesignDocuments.HoldingtheSustainabilityWorkshoplatein
theSchematicDesignPhasemaynotgiveadequatetimetopreparetheSustainabilityPlan.
SustainabilityPlan.Section3.3.4ofB1012007SPrequiresthat,followingtheSustainabilityWorkshop,the
ArchitectdevelopaSustainabilityPlanbasedontheSustainableObjective.TheSustainabilityPlanidentifies
theSustainableMeasures;andmaytaketheformofaspreadsheetoutliningeachoftheSustainable
MeasurestargetedandallocatingresponsibilityforthatmeasuretooneormoreoftheProjectparticipants.
Chapter9of thisGuideincludesamoredetaileddiscussionaboutdevelopmentoftheSustainabilityPlan,
andanexampleofaSustainabilityPlanisincludedinAppendixF.TheSustainabilityPlanisnotintendedto
beaspirationalinnature,butratheraroadmapforachievingtheSustainableObjectivethatclearlyoutlines
theSustainableMeasuresandwhoisresponsibleforachievingthem.WhendevelopingtheSustainability
Plan,thepartiesshouldconsiderhowachievementofeachSustainableMeasureisgoingtobeverified.The
SustainabilityPlancanbeusedtoestablishperformanceparametersthatwilldemonstrateachievementof
eachSustainableMeasure,thetypesoftestingnecessary,andthepartyresponsibleforverificationthat
thoseperformanceparametershavebeenmet.IncludingaclearmethodologyintheSustainabilityPlanfor
verifyingthattheSustainableMeasureshavebeenachievedwillclarifyeachpartysresponsibilityfora
particularSustainableMeasureandmayleadtofewerclaimsontheProject.
UponcompletionoftheSustainabilityPlan,theArchitectwillsubmittheSustainabilityPlantotheOwner
forapproval.Duringthedesignphase,theSustainableMeasuresincludedintheSustainabilityPlanshould
beincorporatedintothedrawingsandspecifications,asappropriate,andwillformpartofthebasisforthe
biddingornegotiationoftheOwner/ContractorAgreement.Additionally,theSustainabilityPlanmaybe
boundintothespecificationsfortheProjectandwillbecomeaContractDocumentuponwhichthe
ContractorsWorkwillbebased.OncetheOwnerandArchitecthaveagreedtotheSustainabilityPlan,it
maybeprudentforeachpartytoacknowledgethatagreementinwriting.Thiscanavoidconfusionand
minimizedisputeslater,asthepartieshaveaclearrecordoftheiragreement.
3.3.4SustainabilityPlanServices
3.3.4.1FollowingtheSustainabilityWorkshop,theArchitectshallprepareaSustainability
PlanbasedontheSustainableObjectiveandtargetedSustainableMeasures.
TheSustainabilityPlanmayallocateresponsibilityforcertainSustainableMeasurestotheArchitect.Thisnew
provisionrequirestheArchitecttoperformtheSustainableMeasuresidentifiedasitsresponsibility.
3.3.4.2TheArchitectshallperformthoseSustainableMeasuresidentifiedasthe
responsibilityoftheArchitectintheapprovedSustainabilityPlan.IftheSustainabilityPlan
requirestheArchitecttoprovideservicesbeyondthosebasedontheInitialInformation,
thoseservicesshallbeprovidedpursuanttoSection4.3.1.1.
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TheSustainabilityPlanmayrequireadjustmentasthedesignandconstructionoftheProjectprogresses.
TheArchitectisrequiredtorevisetheSustainabilityPlanbasedonchangesapprovedbytheOwner.
3.3.4.3SubjecttoSection4.3.3,theArchitectshallmakeadjustmentstotheSustainability
PlanasthedesignandconstructionoftheProjectprogressestoreflectanyapprovedchanges.
DesignPhase.TheArchitect,aspartofthedesignphasefortheProject,willincorporatetheSustainable
MeasuresfortheProject,identifiedintheSustainabilityPlan,intothedrawingsandspecificationsas
appropriate.Thismayrequireinformationinthedrawingsandspecifications,suchasspecificperformance
criteriaorotherrequiredcharacteristicsofmaterialsorequipment.MasterSpechasdeveloped
comprehensivegreen,sustainable,andLEEDlanguagethatcanassistinthedevelopmentofspecifications
forsustainableProjects.(FormoreinformationaboutMasterSpec,gotowww.masterspec.com.)
Inpreparingspecifications,theArchitectshouldcarefullyconsider,andbepreparedtoexplain,theeffectthe
SustainableMeasureswillhaveonbuildingsystemsandotheraspectsoftheProject;howthosebuilding
systemsareintendedtobeoperatedinaccordancewiththedesignparameters;andtheimpactonbuilding
useandoccupancyresultingfromtheutilizationofSustainableMeasures.Identificationofhowthe
performancecriteriaorotherrequiredcharacteristiccontributestoattainingaSustainableMeasurewill
provideguidanceforsubstitutionrequests(seeSubstitutionsinChapter6,below.)andassisttheOwnerin
understandinghowtooperatethesystemsinaccordancewiththedesignparametersrequiredtomeeta
SustainableMeasureortheSustainableObjective.
3.3.5DesignPhase
3.3.5.1TheArchitectshallprepareSchematicDesignDocuments,DesignDevelopment
DocumentsandConstructionDocumentsthatincorporatetheSustainableMeasures
identifiedintheSustainabilityPlan,asappropriate.
UntestedMaterialsandEquipment.TheOwnersSustainableObjectiveorotherProjectrequirementsmay
warranttheuseofuntestedmaterialsandequipmentontheProject.TheArchitectoritsconsultantsmay
beunabletoconfirmatrackrecordofreliabilityforthematerialsorequipment.Ifthematerialsor
equipmentfailtoperforminaccordancewiththemanufacturersrepresentations,theProjectmayfailto
achievetheSustainableObjective.Furthermore,Architectsshouldavoidmakingselectionsbasedsolelyon
environmentalproductratingsbecauseenvironmentalproductratingscanprovetobeunreliable.The
ArchitectwilldiscussuntestedproductswiththeOwnerandinformtheOwnerofanypotentialimpacton
theSustainableObjectivethatmayoccuriftheproductfailstomeetthemanufacturersrepresentations.If,
afterdiscussionswiththeArchitectaboutthepotentialimpactsontheSustainableObjective,theOwner
choosestousetheproduct,thelanguageincludedasSection3.3.5.2belowmaylimittheArchitectsliability
forafailureoftheproducttoperforminaccordancewiththemanufacturersrepresentations.
3.3.5.2AspartoftheSustainableMeasures,theProjectmayrequiretheuseofmaterials
andequipmentthathavehadlimitedtestingorverificationofperformance.TheArchitect
maybeunabletodeterminethatthematerialsorequipmentwillperformasrepresented
bythemanufacturer.TheArchitectwilldiscusswiththeOwnertheproposeduseofsuch
materialsorequipmentanddiscusspotentialeffectsontheSustainableObjectivethatmay
22
occurifthematerialsorequipmentfailtoperforminaccordancewiththemanufacturers
orsuppliersrepresentation.TheOwnerwillrenderadecisionregardingtheuseofsuch
materialsorequipmentinatimelymanner.IntheeventtheOwnerelectstoproceedwith
theuseofsuchmaterialsorequipment,theArchitectshallbepermittedtorelyonthe
manufacturersorsuppliersrepresentationsandshallnotberesponsibleforanydamages
arisingfromfailureofthematerialorequipmenttoperforminaccordancewiththe
manufacturersorsuppliersrepresentations.
TheArchitecthasadutytokeeptheOwnerapprisedoftheProjectsprogresstowardachievementofthe
SustainableMeasuresandanydefectsordeficienciesintheWorkthattheArchitectrecognizeswillimpact
achievementoftheSustainableMeasures.Ifsuchaconditionisrecognized,theOwner,Architectand
Contractorarerequiredtomeettodiscussalternativestoremedythecondition.
3.3.6ConstructionPhase
3.3.6.1TheArchitectshalladviseandconsultwiththeOwnerregardingtheprogressof
theProjecttowardachievementoftheSustainableMeasures.Basedonsitevisits
performedinaccordancewithSection3.2.5.2.1andotherinformationreceivedfromthe
Contractor,theArchitectshallpromptlynotifytheOwnerofknowndeviationsfromthe
ContractDocumentsanddefectsordeficienciesintheWorkthattheArchitectrecognizes
willimpactachievementofSustainableMeasures.TheArchitectshallmeetwiththeOwner
andContractortodiscussalternativestoremedythecondition.
BecauseofthesignificantimpactachangecouldhaveonachievementoftheSustainableMeasuresorthe
SustainableObjective,theArchitectisrequiredtonotifytheOwnerofproposedchangesthatwillmaterially
affectachievementofaSustainableMeasureortheSustainableObjective.TheOwnermaythenauthorizethe
Architecttofurtherinvestigatethechangeandproviderecommendationsregardingtheproposedchange.
3.3.6.2IftheArchitectdeterminesthatimplementationofaproposedchangeinthe
WorkwouldmateriallyimpactaSustainableMeasureortheSustainableObjective,the
ArchitectshallnotifytheOwner,whomayauthorizefurtherinvestigationofsuchchange.
UnderA2012007SP,theContractorisrequiredtoprovide,inconnectionwithanysubstitutionrequest,a
representationdescribinghowthesubstitutionmayaffectachievementofaSustainableMeasure.Inorder
tomakethisrepresentation,theContractormayneedtorequestadditionalinformationfromtheArchitect
describinghow,ifatall,aproduct,materialorequipmentwasintendedtosatisfytherequirementsofa
SustainableMeasureortheSustainableObjective.Section3.3.6.3requirestheArchitecttoprovidethis
informationtotheContractor.
3.3.6.3SubjecttoSection4.3.2.2,theArchitectshallprovideresponsestothe
Contractorsrequestforinformationtodescribehowaproduct,materialorequipmentwas
intendedtosatisfytherequirementsofaSustainableMeasureorcontributetoward
achievementoftheSustainableObjective.
SustainabilityCertifications.ThescopeofSustainabilityServicessetforthinB1012007SPmaybeusedon
ProjectswheretheOwnerseekstoincorporateperformancebasedSustainableMeasures,where
23
sustainabledesignandconstructionmeasuresarerequiredbycodeorotherlegalrequirement,andalsoon
ProjectswheretheOwnerseeksaSustainabilityCertification.
WhereaSustainabilityCertificationissought,Section3.3.7setsforthspecificservicestheArchitectwill
perform.TheArchitectwillregistertheProject;collecttheSustainabilityDocumentationandsubmitthe
SustainabilityDocumentationtotheCertifyingAuthority;andprepareandsubmittheapplicationfor
certificationtotheCertifyingAuthority.TheArchitectwillperformeachoftheseservicesasanagentfor
theOwner.Anagencyrelationshipcreatescertainlegalrightsthatmaydifferbasedonthejurisdiction
wheretheProjectislocated.UsersofB1012007SPareurgedtoconsultwithanattorneyregardingthe
specificlegalimplicationsofthisrelationship.
3.3.7ProjectRegistrationandSubmissionsofSustainabilityDocumentationtotheCertifyingAuthority
3.3.7.1IftheSustainableObjectiveincludesaSustainabilityCertification,theArchitect,as
agentfortheOwner,shallperformtheservicessetforthinthisSection3.3.7.
UnderB1012007SP,theArchitectwillregistertheProjectwiththeCertifyingAuthority.Asdiscussed
previously,thiscanhaveimportantlegalimplicationsfortheArchitectthatshouldbeconsidered.
Additionally,thefeeschargedbytheCertifyingAuthoritycanbeasignificantProjectexpense.Under
Section3.3.7.2,theArchitectwillpaythesefeesasareimbursableexpense.However,theOwnerand
ArchitectmaynegotiateaninitialpaymentunderSection11.11.1.1tocovertheseexpenses.
3.3.7.2TheArchitectshallregistertheProjectwiththeCertifyingAuthority.Registration
feesandanyotherfeeschargedbytheCertifyingAuthority,andpaidbytheArchitect,shall
beareimbursableexpenseunderSection11.9.1ofthisAgreementandshallbecredited
againstanyinitialpaymentreceivedpursuanttoSection11.11.1.1.
Inadditiontoregistration,theArchitectisrequiredtocollectSustainabilityDocumentationfromtheparty
responsibleforproducingitinaccordancewiththeSustainabilityPlan,andsubmittheSustainability
DocumentationtotheCertifyingAuthority.ThisdoesnotmeanthattheArchitectisresponsiblefor
preparationofalloftheSustainabilityDocumentation.TheArchitectisactingasanaggregatorofthe
SustainabilityDocumentation.SubmissionsbeyondthelimitationssetforthinSection4.3.3willbe
compensatedasAdditionalServices.
3.3.7.3TheArchitectshallcollecttheSustainabilityDocumentationfromtheOwnerand
Contractor;organizeandmanagetheSustainabilityDocumentation;and,subjectto
Section4.3.3,submittheSustainabilityDocumentationtotheCertifyingAuthorityas
requiredfortheSustainabilityCertificationprocess.
Insomecircumstances,theCertifyingAuthoritymayhaveaprocesstoappealanadversecreditorpoint
ruling.ProvidedtheArchitecthasreceivedtimelynoticeofdenialofacreditorpointnecessarytoachieve
theSustainabilityCertification,theArchitectwillprepareandfiletheappealofthecreditorpointrulingto
theCertifyingAuthority.AppealstotheCertifyingAuthorityareperformedaspartoftheArchitectsBasic
ServicessubjecttoalimitationonthenumberofappealsunderSection4.3.3.Anyappealsinexcessofthe
numbersetinsection4.3.3willbecompensatedasanAdditionalService.Inaddition,itshouldbenoted
thattheArchitectsobligationunderSection3.3.7.4doesnotextendtoprosecutingappealstothe
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CertifyingAuthority,ortakinganyotheractionsdeterminedbytheOwnertobenecessaryordesirable,
arisingfromtherevocationorreductionofanawardedSustainabilityCertification.
3.3.7.4SubjecttoSection4.3.3,andprovidedtheArchitectreceivestimelynoticefromthe
OwnerorCertifyingAuthority,theArchitectshallprepareandfilenecessarydocumentation
withtheCertifyingAuthoritytoappealarulingorotherinterpretationdenyingarequirement,
prerequisite,creditorpointnecessarytoachievetheSustainabilityCertification.
Finally,theArchitectisrequiredtoprepareandsubmittheapplicationforcertificationtotheCertifyingAuthority.
3.3.7.5SubjecttoSection4.3.3,theArchitectshallprepareandsubmittheapplicationfor
certificationoftheProjecttotheCertifyingAuthority,includinganyrequiredsupporting
documentation,inaccordancewiththeSustainabilityPlan.
Insomecases,theCertifyingAuthoritymayrespondtoacertificationrequestwithadditionalcomments,questions
orarequestforadditionaldocumentation.LanguagehasalsobeenincludedrequiringtheArchitecttoprepare
responsesandsubmitadditionaldocumentationrequiredbycommentsorquestionsreceivedfromtheCertifying
Authority,subjecttothelimitationssetforthinSection4.3.3.
3.3.7.6SubjecttoSection4.3.3,theArchitectshallprepareresponsesto,andsubmitadditional
documentationrequiredby,commentsorquestionsreceivedfromtheCertifyingAuthority.
SomeCertifyingAuthoritiesmayhaveaprocessthatwillallowcertaincreditsorpointstobemetwithoutfurther
inspectionfromtheCertifyingAuthority.ThisprocesswilloftenrequirethattheArchitectcertifythatthe
requirementsofthepointorcredithavebeenmet.Languagehasbeenincludedstatingthatanycertification,
declarationoraffirmationtheArchitectmakestotheCertifyingAuthorityaspartofregistrationorthecertification
processdoesnotcreateawarrantyorguarantytotheOwner.Thisistoavoidcreatingapotentiallyuninsurable
contractualwarrantyorguaranteetotheOwner.
3.3.7.7Anycertification,declarationoraffirmationtheArchitectmakestotheCertifying
AuthorityshallnotconstituteawarrantyorguaranteetotheOwnerortheOwners
contractorsorconsultants.
Commissioning(B2112007)
BuildingcommissioningisarequirementoftheIgCCandmaybearequirementofSustainability
Certificationsandotherordinancesandlaws.Buildingcommissioningisaprocessthatverifiesthatkey
systemsinanewbuildingperforminaccordancewiththeOwnersrequirements,aswellaswithapplicable
certificationrequirements,andareconsistentwiththedesignrequirements.Keytothecommissioning
processistheestablishmentofperformancecriteriaforthesystemstobecommissioned.Theabilityto
demonstrate,throughmeasurableandobjectivetesting,thatthesystemsactuallyperforminaccordance
withthiscriteriaisakeybenefitofcommissioning.Inaddition,commissioningshouldincludeoperator
systemstrainingthataddressesnotonlyproperoperationandmaintenanceofthesystems,butalso
demonstratesthepurposeofthesystem,specialdesignfeatures,operatingsequences,andanylimitations
ofthesystem.CommissioningmayalsoincludeafollowupmeetingwiththeOwner,typicallyoneyear
25
followingSubstantialCompletionoftheProject,toreviewspecificsystemsandtoprovideadditional
recommendationsontheoperationandperformanceofcommissionedsystems.
B101SPARTICLE4,ADDITIONALSERVICES
4.1AdditionalServiceslistedbelowarenotincludedinBasicServicesorSustainability
ServicesbutmayberequiredfortheProject.TheArchitectshallprovidethelisted
AdditionalServicesonlyifspecificallydesignatedinthetablebelowastheArchitects
responsibility,andtheOwnershallcompensatetheArchitectasprovidedin
Section11.2Section11.3.
(DesignatetheAdditionalServicestheArchitectshallprovideinthesecondcolumnofthe
tablebelow.Inthethirdcolumnindicatewhethertheservicedescriptionislocatedin
Section4.2orinanattachedexhibit.Ifinanexhibit,identifytheexhibit.)
Additional Services
4.1.22
Commissioning (B2112007)
Responsibility
(Architect, Owner
or Not Provided)
Location of Service Description

(Section 4.2 below or in an exhibit
attached to this document and
identified below)
AIADocumentB2112007,StandardFormofArchitectsServices:Commissioning,providesascopeof
servicesforcommissioningthatrequirestheArchitect,basedontheOwnersapprovalofsystemstobe
commissioned,todevelopacommissioningplan,adesignintentdocument,andcommissioning
specifications.ItalsorequiresthattheArchitectreviewtheContractorssubmittalsandother
documentationrelatedtothesystemstobecommissioned,observeanddocumentperformancetests,
trainoperators,andprepareafinalcommissioningreport.
ItshouldbenotedthatinsomeinstancesitmaynotbeappropriatefortheArchitecttoperform
commissioningoftheProject.LEED,forexample,permitstheArchitecttoperformtheprerequisite
FundamentalCommissioningbutrequiresanindependentagentthatmaybecontractedbytheArchitect
toperformEnhancedCommissioning.LocallaworOwnerpreferencemayalsopreventtheArchitectfrom
performingcommissioningoftheProject.
WheretheArchitectispermittedtoperformcommissioning,suchasundertheIgCC,theArchitects
performanceofcommissioningcanbebeneficialforavarietyofreasons.Commissioningallowsthe
ArchitecttoplayakeyroleinverifyingthatthesystemsintheProjectareperforminginthemannerthe
Architectintended.ItshouldbenotedthatcommissioningcanextendtheArchitectsserviceswellbeyond
FinalCompletionoftheProject.TheIgCCforexampleutilizesaminimumtwelvemonthcommissioning
periodtoevaluatetheperformanceofthesystemandtomakeadjustments.
DespitethebenefitsoftheArchitectperformingcommissioning,B1012007SP,Section5.17,doesnotassume
thattheArchitectwillprovidecommissioning.Rather,theOwnerisrequiredtoprovideacommissioningagent
fortheProjectunlessotherwiseagreedbytheArchitect.Thisallowsthepartiestoindependentlydetermineif
theArchitectisthemostappropriatepartytoperformcommissioning.IftheOwnerdoeshiretheArchitectto
commissiontheProject,B2112007canbeusedastheArchitectsscopeofservices.
LimitationsonSustainableServices
ChangestotheSustainabilityPlanorInstrumentsofService.TherequirementsforaspecificSustainability
CertificationmaychangeduringthecourseoftheProject.WhenaSustainabilityCertificationisselectedfor
theProject,clearlyidentifytheversionoftheSustainabilityCertificationapplicabletotheProjectinthe
26
SustainabilityPlan.SomeSustainabilityCertificationsmayallowyoutolockinaparticularversionofthe
certificationsystemwhenyouregistertheProject.IftherequirementstoachievetheSustainability
CertificationchangeduringthecourseoftheProject,theArchitectmayneedtoperformsignificantadditional
worktorevisetheplansandspecificationsfortheProjecttomeetthenewrequirements.Section4.3.1has
beenrevisedtoaddtwonewpotentialAdditionalServicesthatmayariseduringthecourseoftheProject.
Section4.3.1.11addschangingoreditingpreviouslypreparedInstrumentsofService,includingthe
SustainabilityPlan,necessitatedbychangesintherequirementstoachievetheSustainabilityCertificationfor
theProject.Section4.3.1.12addsassistingtheOwnerorContractorwiththepreparationoftheSustainability
DocumentationforwhichtheOwnerorContractorisresponsibleundertheSustainabilityPlan.
4.3.1UponrecognizingtheneedtoperformthefollowingAdditionalServices,the
ArchitectshallnotifytheOwnerwithreasonablepromptnessandexplainthefactsand
circumstancesgivingrisetotheneed.TheArchitectshallnotproceedtoprovidethe
followingservicesuntiltheArchitectreceivestheOwnerswrittenauthorization:
.1
ServicesnecessitatedbyachangeintheInitialInformation,previous
instructionsorapprovalsgivenbytheOwner,oramaterialchangeintheProject
including,butnotlimitedto,size,quality,complexity,theOwnersscheduleor
budgetforCostoftheWork,orprocurementordeliverymethod;
.2
ServicesnecessitatedbytheOwnersrequestforextensiveenvironmentally
responsibledesignalternatives,suchasuniquesystemdesigns,indepth
materialresearch,energymodeling,orLEEDcertification;
.2
ChangingoreditingpreviouslypreparedInstrumentsofServicenecessitatedby
theenactmentorrevisionofcodes,lawsorregulationsorofficialinterpretations;
.3
ServicesnecessitatedbydecisionsoftheOwnernotrenderedinatimelymanner
oranyotherfailureofperformanceonthepartoftheOwnerortheOwners
consultantsorcontractors;
.4
PreparingdigitaldatafortransmissiontotheOwnersconsultantsand
contractors,ortootherOwnerauthorizedrecipients;
.5
Preparationofdesignanddocumentationforalternatebidorproposalrequests
proposedbytheOwner;
.6
Preparationfor,andattendanceat,apublicpresentation,meetingorhearing;
.7
Preparationfor,andattendanceatadisputeresolutionproceedingorlegal
proceeding,exceptwheretheArchitectispartythereto;
.8
Evaluationofthequalificationsofbiddersorpersonsprovidingproposals;
.9
ConsultationconcerningreplacementofWorkresultingfromfireorothercause
duringconstruction;
.10 AssistancetotheInitialDecisionMaker,ifotherthantheArchitect;
.11 ChangingoreditingpreviouslypreparedInstrumentsofService,includingthe
SustainabilityPlan,necessitatedbytheCertifyingAuthorityschangesinthe
requirementsnecessarytoachievetheSustainabilityCertification;or
.12 AssistancetotheOwnerorContractorwithpreparationofSustainability
DocumentationforwhichtheOwnerorContractorisresponsiblepursuantto
theSustainabilityPlan.
27
TheArchitectshouldclearlydefinethescopeoftheArchitectssustainabledesignandconstructionphase
services.ThroughoutthedesignandconstructionoftheProject,itmaybenecessarytoperformmultiple
revisionstotheSustainabilityPlanormakemultiplesubmittalstotheCertifyingAuthority.Theseservices
maynotbecontemplatedaspartofthescopeoftheArchitectsSustainabilityServicesandcouldrequirea
significantexpenditureofresourcesorfunds;especiallyonProjectswheretheSustainabilityServicesare
beingperformedonafixedfeebasis.TheArchitectmightconsiderplacinglimitationsoncertainservices
which,ifexceeded,wouldbecompensatedasanAdditionalService.
4.3.3TheArchitectshallprovideConstructionPhaseservicesexceedingthelimitsset
forthbelowasAdditionalServices.Whenthelimitsbelowarereached,theArchitectshall
notifytheOwner:
.1
_______(__)reviewsofeachShopDrawing,ProductDataitem,sampleand
similarsubmittaloftheContractor
.2
_______(__)visitstothesitebytheArchitectoverthedurationoftheProject
duringconstruction
.3
_______(__)inspectionsforanyportionoftheWorktodeterminewhether
suchportionoftheWorkissubstantiallycompleteinaccordancewiththe
requirementsoftheContractDocuments
.4
_______(__)inspectionsforanyportionoftheWorktodeterminefinalcompletion
.5
_______(__)adjustmentstotheSustainabilityPlan
.6
_______(__)meetingsduringtheDesignandConstructionPhasesrequiredtodefine,
developandincorporatetheSustainableMeasuresintotheContractDocuments
.7
_______(__)submittalstotheCertifyingAuthority
.8
_______(__)responsestotheCertifyingAuthorityscommentsandquestions
.9
_______(__)appealstotheCertifyingAuthoritypursuanttoSection3.3.7.4
.10 _______(__)meetingswiththeOwnerandContractor,pursuantto
Section3.3.6.1,todiscussalternativestoremedydeviationsfromtheContract
DocumentsordefectsordeficienciesintheContractorsWork
CompletionoftheArchitectsServices.B1012007SPSection4.3.4establishesatimelimitfor
performanceoftheArchitectsservices.IftheProjectisnotcompletedwithinthetimespecified,continued
performancebytheArchitectwillbecompensatedasAdditionalServices.Additionally,theArchitectsBasic
ServicesduringtheConstructionPhaseend60daysafter(1)thedateofSubstantialCompletionofthe
Workor(2)theanticipateddateofSubstantialCompletionidentifiedintheInitialInformation,whicheveris
earlier,unlesstheOwnerhasauthorizedtheArchitecttocontinueperformingConstructionPhaseservices
asAdditionalServices.Onasustainableproject,theOwnermayrequestthattheArchitectcontinueto
performservicesfortheProjectuntiltheSustainableObjectiveisachieved.However,achievementofthe
SustainableObjectivemaybedelayedbyreasonsbeyondtheArchitectscontrolandmayoccurlaterthan
SubstantialCompletion.Itmay,therefore,benecessarytoplacealimitonthedurationoftheArchitects
SustainabilityServicesunderSection3.3.Section4.3.4hasbeenaddedallowingthepartiestoincludean
outerlimitontheArchitectsservices,theOwnermaywishtoextendtheArchitectsSustainabilityServices
28
beyondthistimelimitsothattheArchitectcanperformservicesnecessarytoachievetheSustainability
CertificationaftertheArchitectsotherservicesundertheAgreementhavebeencompleted.
4.3.4ExceptasotherwiseprovidedinSection4.3.5,iftheservicescoveredbythis
Agreementhavenotbeencompletedwithin_______(__)monthsofthedateofthis
Agreement,throughnofaultoftheArchitect,extensionoftheArchitectsservicesbeyond
thattimeshallbecompensatedasAdditionalServices.
4.3.5IftheSustainabilityServicesrequiredoftheArchitectbySection3.3havenotbeen
completedwithin_______(__)monthsafterthedateofSubstantialCompletion,through
nofaultoftheArchitect,extensionoftheArchitectsservicesunderSection3.3beyond
thattimeshallbecompensatedasAdditionalServices.
Onasustainableproject,theOwnersresponsibilitiesduringconstructioncouldincluderetaininga
consultanttoadvisethepartiesregardingtheSustainableObjectiveandSustainableMeasures;registering
theProjectforaSustainabilityCertification;creatingabudgettocoverincreasesincostrelatedtoachieving
theSustainableObjective;approvaloftheallocationofresponsibilityforachievingtheSustainable
MeasuresincludedintheSustainabilityPlan;andengaginganindependentthirdpartycommissioningagent
ifoneisrequiredbytheSustainabilityPlanorCertifyingAuthority.TheOwnersresponsibilitiesfollowing
constructionmayincluderesponsibilityforoperationandmaintenanceinaccordancewiththe
requirementsoftheCertifyingAuthorityorSustainabilityPlan;responsibilityforexecutingcertainpost
constructionSustainableMeasuresasrequiredbytheSustainabilityPlan;responsibilityforensuringthat
tenantsoccupyandusethebuildinginaccordancewithitsdesignintent;andresponsibilityfor
recertificationoftheProjectifrequiredbytheSustainabilityCertification.
B1012007SPincludesanaffirmativedutyoftheOwnertoperformthoseSustainableMeasuresidentified
asaresponsibilityoftheOwnerintheSustainabilityPlan.
B101SPARTICLE5,OWNERSRESPONSIBILITIES
5.13BasedontheOwnersapprovaloftheSustainabilityPlanandanyapprovedchangesto
theSustainabilityPlan,theOwnershallperformthoseSustainableMeasuresidentifiedasthe
responsibilityoftheOwnerintheSustainabilityPlan,orasotherwiserequiredbythe
ContractDocuments.TheOwnershallrequirethateachofitscontractorsandconsultants
performsthecontractorsorconsultantsservicesinaccordancewiththeSustainabilityPlan.
SustainableprojectsmayrequiretheOwnertoprovideadditionalinformation,suchashistoricalutility
usagedata,inorderfortheArchitecttoassisttheOwnerinmakingdecisionsregardingtheSustainable
ObjectiveandSustainableMeasurestargetedfortheProject.Thismaybeparticularlytrueonrenovation
projectswhereinformationonexistingconstructionmayplayacriticalroleindevelopingtheSustainability
Plan.AprovisionshouldbeincludedintheAgreementthatrequirestheOwnertoprovideanyinformation
pertinenttotheProject.
5.14TheOwnershallprovidetotheArchitectanyinformationrequestedbytheArchitect
thatisrelevantandnecessaryforachievementoftheSustainableObjective,including
designdrawings;constructiondocuments;recorddrawings;shopdrawingsandother
29
submittals;operationandmaintenancemanuals;masterplans;buildingoperationcosts;
buildingoperationbudgets;pertinentrecordsrelativetohistoricalbuildingdata,building
equipmentandfurnishings;andrepairrecords.
BecausethevariousSustainabilityCertificationsmayplacerequirementsspecificallyontheOwnerin
additiontothoserelatedtothedesignandconstructionoftheProject,suchastherequirementtoprovide
utilitybills,Section5.15requirestheOwnertocomplywiththerequirementsoftheCertifyingAuthority
beforeandafterconstruction.
5.15TheOwnershallcomplywiththerequirementsoftheCertifyingAuthorityasthey
relatetotheownership,operationandmaintenanceoftheProjectbothduring
constructionandaftercompletionoftheProject.
Section5.16obligatestheOwnertopursueanyappealsorotheractionswiththeCertifyingAuthority
necessitatedbytherevocationorreductionofaSustainabilityCertification.Forexample,iftheOwner
occupiestheProjectandfailstocomplywiththerequirementsoftheCertifyingAuthoritytosubmitenergy
usagedata,theSustainabilityCertificationcouldberevoked.TheOwnerwouldbethepartyresponsiblefor
pursuinganyappealorreinstatementactionwiththeCertifyingAuthority.
5.16TheOwnershallberesponsibleforpreparing,filing,andprosecutingappealstothe
CertifyingAuthority,ortakinganyotheractionsdeterminedbytheOwnertobenecessaryor
desirable,arisingfromtherevocationorreductionofanawardedSustainabilityCertification.
Aspreviouslydiscussed,commissioningisanimportantaspectofsustainabledesignandconstruction.
B1012007SPassumesthattheOwnerwillprovideacommissioningagentfortheProjectunlessthe
ArchitectotherwiseagreestoperformcommissioningasanAdditionalServicepursuanttoSection4.1.22.
5.17UnlesstheArchitectistoprovidecommissioningservicespursuanttoSection4.1.22,
theOwnershallprovidetheservicesofacommissioningagentthatshallberesponsiblefor
commissioningoftheProject.
InstrumentsofService
InordertobesurethattheOwnerisabletocomplywiththerequirementsoftheCertifyingAuthority,
Section7.1hasbeenmodifiedtostatethattheOwnerandArchitectwarrantthatintransmitting
InstrumentsofService,thetransmittingpartyisthecopyrightowneroftheInstrumentsofServiceorhas
permissionfromthecopyrightownertoallowtheCertifyingAuthoritytopublishtheInstrumentsofService
inaccordancewiththepoliciesoragreementsrequiredbytheCertifyingAuthority.Inpractice,this
modificationisagrantofpermissionfromtheArchitecttotheOwnertosubmitInstrumentsofService
receivedfromtheArchitecttotheCertifyingAuthority.
B101SPARTICLE7,COPYRIGHTSANDLICENSES
7.1TheArchitectandtheOwnerwarrantthatintransmittingInstrumentsofService,or
anyotherinformation,thetransmittingpartyisthecopyrightownerofsuchinformationor
haspermissionfromthecopyrightownertotransmitsuchinformationforitsuseonthe
ProjectandtoallowtheCertifyingAuthoritytopublishtheInstrumentsofService,orany
otherinformation,inaccordancewiththepoliciesandagreementsrequiredbythe
30
CertifyingAuthority.IftheOwnerandArchitectintendtotransmitInstrumentsofService
oranyotherinformationordocumentationindigitalform,theyshallendeavortoestablish
necessaryprotocolsgoverningsuchtransmissions.
Section7.2hasbeenmodifiedtoallowtheOwnertosubmittheArchitectsInstrumentsofServicetothe
CertifyingAuthoritywithoutviolatingtheArchitectsreservedrightstotheInstrumentsofService.
7.2TheArchitectandtheArchitectsconsultantsshallbedeemedtheauthorsandowners
oftheirrespectiveInstrumentsofService,includingtheDrawingsandSpecifications,and
shallretainallcommonlaw,statutoryandotherreservedrights,includingcopyrights.
SubmissionordistributionofInstrumentsofServicetomeetofficialregulatory
requirementsorforsimilarpurposes,includingrequirementsofaCertifyingAuthority,in
connectionwiththeProjectisnottobeconstruedaspublicationinderogationofthe
reservedrightsoftheArchitectandtheArchitectsconsultants.
ForsustainableprojectswhereaSustainabilityCertificationissought,theOwnermayberequiredtosubmit
certainoftheArchitectsInstrumentsofServicetotheCertifyingAuthorityinordertocomplywiththe
documentationrequirements.TheOwnerslicensetousetheArchitectsInstrumentsofServicehasbeen
expandedtoincludetransmissionoftheArchitectsInstrumentsofServicetotheCertifyingAuthorityto
complywiththerequirementsoftheCertifyingAuthority.Inaddition,theArchitectgrantstotheOwnera
licensetoallowtheCertifyingAuthoritytopublishtheArchitectsInstrumentsofServiceasrequiredbythe
CertifyingAuthority.
7.3UponexecutionofthisAgreement,theArchitectgrantstotheOwneranonexclusive
licensetousetheArchitectsInstrumentsofServicesolelyandexclusivelyforpurposesof
constructing,using,maintaining,alteringandaddingtotheProject,providedthatthe
Ownersubstantiallyperformsitsobligations,includingpromptpaymentofallsumswhen
due,underthisAgreement.Solelyforthepurposeofobtainingormaintainingthe
SustainabilityCertification,theArchitectalsograntstheOwneranonexclusivelicenseto
submittheArchitectsInstrumentsofService,directlyorthroughthirdparties,tothe
CertifyingAuthoritytocomplywiththerequirementsimposedbytheCertifyingAuthority
andfurthergrantstheOwneranonexclusivelicensetoallowtheCertifyingAuthorityto
publishtheInstrumentsofServiceinaccordancewiththepoliciesandagreementsrequired
bytheCertifyingAuthority.TheArchitectshallobtainsimilarnonexclusivelicensesfromthe
ArchitectsconsultantsconsistentwiththisAgreement.Thelicensesgrantedunderthis
sectionpermittheOwnertoauthorizetheContractor,Subcontractors,Subsubcontractors,
andmaterialorequipmentsuppliers,aswellastheOwnersconsultantsandseparate
contractors,toreproduceapplicableportionsoftheInstrumentsofServicesolelyand
exclusivelyforuseinperformingservicesorconstructionfortheProject.Thelicenses
grantedinthisSection7.3arevalidonlyiftheOwnersubstantiallyperformsitsobligations
underthisAgreement,includingpromptpaymentofallsumswhendue.IftheArchitect
rightfullyterminatesthisAgreementforcauseasprovidedinSection9.4,thelicenses
grantedinthisSection7.3shallterminate.
31
ClaimsandDisputes
Potentialdamagesareanimportantissueonallprojectsbutofparticularimportanceonprojectswith
sustainabilityrequirements.Severalcontractualmethodsofaddressingdamagesarediscussedbelow.
However,alldamagesprovisionsshouldbereviewedbyeachpartyslegalcounsel.
ConsequentialDamages.TheAIAhasincludedmutualwaiversofconsequentialdamagesinitsagreements
since1997.Theimportanceofthiswaiverasatooltomitigatepotentialdamagesisespeciallyapplicableto
asustainableproject.Consequentialdamagesonanyparticularsustainableprojectcouldconceivably
include,amongotherthings,unachievedenergysavings,unintendedoperationalexpenses,lostfinancialor
taxincentivesorunachievedgainsinworkerproductivity.NewlanguagehasbeenincludedinB1012007
SPrecognizingthatthepartiesagreethatthesetypesofdamagesareconsequential.
Becauseitisunlikelythatanyoneoftheprojectparticipantswillbesolelyresponsibleforprovidinga
sustainablebuildingorSustainabilityCertification,liabilityforconsequentialdamagesmaybedifficultto
allocate.Additionally,thetypesofconsequentialdamagesthatmaybeallegedonasustainableproject,
suchasunrealizedgainsinworkerproductivity,couldbeextremelydifficulttoprove.2
ThemutualwaiverofconsequentialdamagesincludedinB1012007SPincludesexpandedlanguageto
addressthenewtypesofconsequentialdamagesthatmaybeuniquetosustainableprojectssuchas,
unachievedenergysavings,lostfinancialortaxincentives,orunachievedgainsinworkerproductivity.
However,uponconsultationwithlegalcounsel,itmaybedesirabletomodifythemutualwaiverof
consequentialdamagestoaddressspecificoruniqueconcernsrelatedtoyourProject.
B101SPARTICLE8,CLAIMSANDDISPUTES
8.1.3.1ThemutualwaiverinthisSection8.1.3expresslyincludesthoseconsequential
damagesresultingfromfailureoftheProjecttoachievetheSustainableObjective,or
failuretoachieveoneormoreSustainableMeasures,includingunachievedenergysavings,
unintendedoperationalexpenses,lostfinancialortaxincentives,orunachievedgainsin
workerproductivity.
LimitationofLiability.DuetothenatureoftheriskstotheArchitectonasustainableproject,theArchitect
mightconsiderincludingalimitationofliabilityprovisiontoestablishamaximumamountofliabilityforthe
ArchitectifthereisaclaimbytheOwner.NotethattheLimitationofLiabilityclauseappliesonlytoclaims
betweentheOwnerandArchitect,andthatclaimsfromthirdpartieswillnotnormallybeaffected.
Formodellanguagethatprovidesseveralmethodsofformulatingalimitationofliabilityprovisionthatmaybeused
inB1012007SP,seeAIADocumentB5032007,GuideforAmendmentstoAIAOwner/ArchitectAgreements.
Indemnity.B1012007SPdoesnotcontainaprovisionrequiringthattheArchitectindemnifytheOwner.AIA
DocumentB5032007,GuideforAmendmentstoAIAOwnerArchitectAgreements,containsadiscussionof
indemnityprovisionsunderSection18.Generally,theArchitectsdutytoindemnifyshouldbecarefully
draftedsothattheArchitectisonlyliableforthosethirdpartyclaimstotheextentcausedbytheArchitects
negligentactsoromissionswithrecoverylimitedtotheavailableproceedsofinsurancecoverage.Indemnity
UsersarecautionedagainstexecutinganyAIAContractDocumentthathasbeenmodifiedtoeliminatethemutualwaiverof
consequentialdamageslanguage.
32
languagethatwouldrequiretheArchitecttoindemnifytheOwnerforliabilitynotcausedbytheArchitects
negligenceorthatisotherwiseoutsidethepolicylimitsofinsurancecoverageontheProjectposesadditional
riskforanarchitectandinsomestatesmaybeunenforceable.Manystateshavelawslimitingorprohibiting
theenforceabilityofindemnityclauses.Thepartiesarecautionedtoconsultwithlegalcounselastothe
specificapplicationoflocallaws.
ConfidentialityofSustainabilityDocumentation.Asnotedabove,manyCertifyingAuthoritiesrequirethat
thepartyregisteringorsubmittingaProjectforaSustainabilityCertificationenterintocertainancillary
agreementswiththeCertifyingAuthority.GBCIrequiresthattheregistrantoftheProjectenterintothe
RegistrationAgreementwithGBCI.TheRegistrationAgreementprovidesforalicensetoGBCItoaccessand
viewallinformationsubmittedtoGBCIbyoronbehalfoftheregistrant,inrelationtotheProject.The
RegistrationAgreementprovidesthatthislicensealsoincludestherightforGBCIandUSGBCtouse,
reproduce,publishanddisplaythisinformationinthewaysidentifiedintheLEEDPolicyManual.Submission
ofcertainProjectinformationandInstrumentsofServicetoGBCImaybeinviolationofstrictconfidentiality
provisionscontainedincertainOwner/ArchitectAgreements.AIADocumentB1012007SPincludeslanguage
authorizingtheOwnerorArchitecttodiscloseinformationtotheCertifyingAuthority.
B1012007SP,ARTICLE10,MISCELLANEOUSPROVISIONS
10.8...or(4)theCertifyingAuthorityorsuchotherpersonsorentitiesthatneedto
receivesuchinformationinorderfortheOwnerorArchitecttofulfilltheirobligations
underthisAgreement.
GuaranteeofPerformance.Asstatedpreviously,successfulachievementoftheSustainableObjectivewill
dependnotonlyonthedesignoftheProjectbutalsotheOwnersuseandoperationoftheProject;the
WorkprovidedbytheContractorortheworkorservicesprovidedbytheOwnersothercontractorsor
consultants;orinterpretationofcreditrequirementsbyaCertifyingAuthority.Accordingly,theArchitectis
notinapositiontoguaranteeorwarrantthattheProjectwillachievetheSustainableObjective.
Section10.9belowhasbeenincludedtoaddressthisrisk.
B101SPARTICLE10,MISCELLANEOUSPROVISIONS
10.9TheOwnerandArchitectacknowledgethatachievingtheSustainableObjectiveis
dependentonmanyfactorsbeyondtheArchitectscontrol,suchastheOwnersuseand
operationoftheProject;theWorkprovidedbytheContractorortheworkorservices
providedbytheOwnersothercontractorsorconsultants;orinterpretationofcredit
requirementsbyaCertifyingAuthority.Accordingly,theArchitectdoesnotwarrantor
guaranteethattheProjectwillachievetheSustainableObjective.
Compensation
AdditionalServices.ThestandardB1012007separatestheArchitectscompensationforservicesintotwo
categories,compensationforBasicServicesandcompensationforAdditionalServices.Inaddition,
compensationforAdditionalServicesissubdividedintotwocategories;thoseAdditionalServicesknownat
thetimeofenteringintotheAgreementandthosethatariseduringthecourseoftheProject.Thisallowsfor
flexibilityindevelopingtheArchitectscompensationstructurefortheProject.Forexample,BasicServices
couldbecompensatedbasedonapercentageoftheCostoftheWorkwhileAdditionalServicesmightbe
billedonanhourlybasis.B5032007maybereferencedforamoredetaileddiscussiononcompensation.
33
Injurisdictionswherebuildingcodeshaveincorporatedsustainabledesignandconstructionrequirements,
OwnersmayexpectsustainabledesignservicesaspartoftheArchitectsBasicServiceswithoutadditional
compensation.However,sustainableprojectscan,andoftendo,requiremoretime,considerationand
effortonthepartoftheArchitect.TheArchitectwillneedtoconsiderwhethertheArchitectstypical
compensationstructureforBasicServicesrequiresadjustmentinconsiderationofthesignificantadditional
responsibilities,risksandexpendituresoftimetheArchitectmayberequiredtoassume.Thismaybe
problematicforArchitectsthatbillBasicServicesasapercentageoftheCostoftheWork;andmaybe
particularlytroublesomeonpublicprojectswherecompensationfortheArchitectsBasicServicesmaybe
setbylaws,ordinancesandregulations.TheArchitectwillneedtohaveadiscussionwiththeOwner
regardingtheadditionaltimeandeffortinvolvedindeliveringasustainableprojectandthenecessityfor
additionalcompensation.
B1012007SPincludesanewSection11.2thatallowsthepartiestonegotiateaseparatecompensation
structurefortheArchitectsSustainabilityServicesdescribedunderSection3.3.Section11.1isnowreserved
fortheArchitectstraditionalBasicServicesunderSections3.1and3.2andSection11.3and11.4arenow
usedtoindicatetheArchitectscompensationforAdditionalServices.Section11.2hasbeenincludedto
recognizethatwhiletheSustainabilityServicesareincludedaspartoftheArchitectsBasicServices,dueto
thecomplexityoftheSustainabilityServicesonsomeProjects,itmaybenecessarytonegotiateseparate
compensationfortheseservices.
B101SPARTICLE11,COMPENSATION
11.2FortheArchitectsSustainabilityServicesdescribedunderSection3.3,theOwner
shallcompensatetheArchitectasfollows:
(Insertamountof,orbasisfor,compensation.)
CompensationforArchitectsConsultants.TheArchitectsSustainabilityServicesmayincludeelements
outsidetheservicestypicallyperformedintheArchitectsdaytodaypracticeandmayrequirethe
involvementofconsultants.Theseservicescouldincludesomeoftheservicesoutlinedabove,suchas
commissioning,ormayinclude,forexample,energymodelingorlighting.Theservicesofconsultantsmaybe
costlyandmayfalloutsideofwhatArchitectstraditionallyincludeintheircompensationforBasicServices.
TheArchitectmayconsideraformofdirectreimbursementforthecostsoftheseconsultants.
PhasedPayments.Section11.6allowstheOwnerandArchitecttoallocatepaymentforeachphaseofthe
ArchitectsBasicServiceswhentheservicesareperformedonapercentageoftheCostoftheWorkbasisor
wherecompensationisbasedonaStipulatedSum.Section11.6.1apportionstheArchitectscompensation,
whenbasedonapercentageoftheCostoftheWorkorStipulatedSum,onthesamepercentagesdesignated
foreachphaseinSection11.6,unlessotherwisestipulatedbytheparties.
11.6.1WherecompensationfortheSustainabilityServicesdescribedinSection3.3isalso
basedonastipulatedsumorpercentageoftheCostoftheWork,theSustainability
ServicesshallbecompensatedinaccordancewiththeschedulesetforthinSection11.6
unlessotherwiseprovidedbelow:
(IfdifferentthanSection11.6,insertthecompensationscheduleforSustainabilityServices
basedonastipulatedsumorpercentageoftheCostoftheWork.)
34
ReimbursableExpenses.Sustainableprojectsmayinvolvenewreimbursableexpensesthatarenotcommon
ontraditionalprojects.Newreimbursableexpensescouldinclude,forexample,thecostofregisteringor
applyingforcertificationoftheProjectwithaselectedCertifyingAuthority,orProjectspecificsoftware
necessarytoachievetheSustainableObjective.B1012007SPspecifiesanumberofnewreimbursable
expensesuniquetosustainableprojects.ThespecificrequirementsofyourProjectmaynecessitatethe
expansionofthislist.
11.9.1ReimbursableExpensesareinadditiontocompensationforBasic,Sustainability
andAdditionalServicesandincludeexpensesincurredbytheArchitectandtheArchitects
consultantsdirectlyrelatedtotheProject,asfollows:
.1
Transportationandauthorizedoutoftowntravelandsubsistence;...
.11 AdditionalexpensesforProjectspecificsoftwareorotherequipmentor
materialsnecessarytoachieve,ordirectlyrelatedto,theSustainableObjective,
withpriorwrittenapprovalfromtheOwner;
.12 RegistrationfeesandanyotherfeeschargedbytheCertifyingAuthority;
.13 PresentationmaterialsrequiredforsubmissiontotheCertifyingAuthorityoras
otherwisenecessarytoachievetheSustainableObjective,withpriorwritten
approvalfromtheOwner;and
.14 OthersimilarProjectrelatedexpenditures.
BecauseofthepotentiallysignificantcostsinvolvedinregisteringaProjectwithaCertifyingAuthority,
Section11.11.1hasbeenaddedtoallowforaninitialpaymentfromtheOwnertotheArchitectfor
registrationfeesandotherfeespayabletotheCertifyingAuthorityandnecessarytoachievetheSustainability
Certification.Theinitialpaymentshouldbebasedonanestimateofthepotentialcostofregistrationandwill
becreditedtotheOwnersaccountatthetimetheexpenseisincurred.
11.11.1.1IfaSustainabilityCertificationispartoftheSustainableObjective,aninitial
paymenttotheArchitectof_______($__)shallbemadeuponexecutionofthisAgreement
forregistrationfeesandotherfeespayabletotheCertifyingAuthorityandnecessaryto
achievetheSustainabilityCertification.TheArchitectspaymentstotheCertifyingAuthority
shallbecreditedtotheOwnersaccountatthetimetheexpenseisincurred.
B1012007SP,ExhibitA
B1012007SP,ExhibitAwasmodifiedinafewkeyareasasoutlinedbelow.
WhiletheSustainabilityWorkshopandtheprocessfordevelopmentoftheSustainabilityPlanwillassistthe
OwnerandArchitectindevelopingtheSustainableObjectivefortheProject,theOwnerwilltypicallyhave
someideaoftheSustainableObjectiveitintendstoaccomplishattheoutsetoftheProject.TheInitial
InformationhasbeenexpandedsothatthepartiesmayincludetheOwnersanticipatedSustainableObjective
fortheProject.Atthisearlystage,theOwnermayonlyhaveavaguenotionoftheSustainableObjectiveit
wishestoachieve;however,itisbeneficialtoestablishameaningfuldescriptionoftheanticipatedSustainable
Objectiveatthistimetofacilitatethedesignprocess.Ultimately,majordeviationsfromtheintentofthis
anticipatedSustainableObjectivecouldresultinAdditionalServicesfortheArchitect.
35
B101SPEXHIBITA,ARTICLE1,PROJECTINFORMATION
A.1.6TheOwnersanticipatedSustainableObjectivefortheProject:
(IdentifytheOwnersSustainableObjectivefortheProjectsuchasSustainability
Certification,benefittotheenvironment,enhancementtothehealthandwellbeingof
buildingoccupants,orimprovementofenergyefficiency.)
TheArchitectshouldunderstandfromtheverybeginningoftheProjectwhatincentiveprogramstheOwner
intendstopursueifthoseincentivesarebasedonachievementofacertainSustainableObjective.Thiswill
allowtheArchitecttotakestepstomeettherequirementsoftheauthoritygrantingtheincentive.However,it
shouldbenotedthatthissectionisprovidedonlyfortheArchitectsinformationandisnotintendedto
establishaclaimforconsequentialdamagesthatareotherwisewaivedundertheAgreement.
B101SPEXHIBITA,ARTICLE1,PROJECTINFORMATION
A.1.7IncentiveprogramstheOwnerintendstopursuefortheProject,includingthose
relatedtotheSustainableObjective,andanydeadlinesforreceivingtheincentives,
includingthosethataredependentontheArchitectsservices,areasfollows:
(IdentifyincentiveprogramstheOwnerintendstopursueanddeadlinesforsubmittingor
applyingfortheincentiveprogram.)
UnlesstheOwnerandArchitectagreeotherwise,theOwnerisresponsibleforhiringacommissioningagent
fortheProject.TheArchitectmayestablishanearlylineofcommunicationwiththeOwnerscommissioning
agent.Thissectionhasbeenexpandedwithaparentheticalprompttolistthecontactinformationforthe
Ownerscommissioningagent.
B101SPEXHIBITA,ARTICLE1,PROJECTTEAM
A.2.3TheOwnerwillretainthefollowingconsultantsandcontractors:
(IftheOwnerintendstoretainconsultants,includingacommissioningagent,and
contractors,listdisciplineand,ifknown,identifythembynameandaddress.)
BecauseB1012007SPprovidesfortheOwnerandArchitecttoagreetoaseparatecompensationstructure
fortheArchitectsSustainabilityServices,ExhibitAincludesanewsectiontolistthoseconsultantsofthe
ArchitectthatwillbebilledaspartoftheArchitectsSustainabilityServices.
B101SPEXHIBITA,ARTICLE1,PROJECTTEAM
A.2.5.2ConsultantsretainedpursuanttoSustainabilityServices:
(Ifknown,listConsultantswhowillprovideservicespursuanttoSection3.3ofAIA
DocumentB1012007SP,includinganyConsultantsalreadylistedinSectionA.2.5.1.)
36
Chapter4
C4012007SP,AgreementBetweenArchitectandConsultant
Forasustainableproject,itmaybenecessaryfortheArchitecttohireconsultantswithexpertiseinspecific
areasoftheprojectrelatedtosustainabledesign.Likeallprojects,sustainableprojectsrequirethecareful
developmentandcoordinationofthescopeofservicestobeprovidedbyeachoftherespectiveconsultants.
AIADocumentC4012007SP,StandardFormofAgreementBetweenArchitectandConsultant,foruseona
SustainableProject,isastandardformofagreementtobeusedbytheArchitectandtheConsultantproviding
servicestotheArchitectonasustainableproject.C4012007SPestablishestheArchitectsandConsultants
responsibilitiestoeachotherandtheirmutualrightsundertheAgreement.C4012007SPincorporatesby
referenceapreexistingOwner/ArchitectAgreementknownasthePrimeAgreementandiscoordinatedfor
usewithB1012007SP.C4012007SPutilizesaflowdownprovision,atSection1.3,toincorporatetherights
andresponsibilitiesthattheOwnerandArchitecthavewithrespecttoeachotherinthePrimeAgreement
andextendthoserightsandresponsibilities,respectively,totheArchitectandtheConsultant.
Section1.2ofC4012007SPrequirestheArchitectandtheConsultanttodescribethePortionoftheProject
forwhichtheConsultantisrequiredtoprovideservices.OncetheConsultantsPortionoftheProjecthasbeen
defined,theflowdownprovisionrequirestheConsultanttoassumetowardtheArchitectallobligationsand
responsibilitiesthattheArchitectassumestowardtheOwnerinthePrimeAgreementasapplicabletothe
ConsultantsPortionoftheProject.Therefore,anySustainableMeasuresrequiredoftheArchitectinthe
SustainabilityPlanthatarecontainedintheConsultantsPortionoftheProjectwouldbecomethe
responsibilityoftheConsultant.
Giventhisflowdownofresponsibilities,theArchitectshouldclearlydefinetheConsultantsscopeofservices
fortheConsultantsPortionoftheProject.Additionally,theArchitectshouldspecifyanylimitationsorother
conditionsontheConsultantsservices.WiththisunderstandingoftheArchitectsexpectationsofthe
Consultant,therewereveryfewprovisionsoftheConsultantagreementthatrequiredmodificationin
developingtheSPversion.Eachofthechangesisdiscussedbelow.
TheparentheticalexplanationincludedinSection1.2hasbeenmodifiedtoalertuserstoincludeinformation
regardingtheConsultantsresponsibilityforcompletingportionsoftheSustainabilityServicesunderthe
PrimeAgreement.ThislanguagewasaddedtoalerttheArchitectandtheConsultantthattheConsultantmay
beresponsibleforportionsoftheArchitectsSustainabilityServices.
C401SPARTICLE1,GENERALPROVISIONS
1.2TheportionoftheProjectforwhichtheConsultantshallprovideservicesis
hereinaftercalledThisPortionoftheProject.Exceptassetforthherein,theConsultant
shallnothaveanydutiesorresponsibilitiesforanyotherportionoftheProject.This
PortionoftheProjectconsistsofthefollowing:
(FullydescribethePortionoftheProjectforwhichtheConsultantshallprovidetheservices
setforthinArticle3,includingtheConsultantsresponsibilityforSustainabilityServices
underthePrimeAgreement.)
37
Chapter4C4012007SP,Architect/ConsultantAgreement
Section1.3hasbeenmodifiedtorequiretheConsultanttoperformtheArchitectsSustainableMeasuresto
theextentapplicabletoThisPortionoftheProject.
C401SPARTICLE1,GENERALPROVISIONS
1.3TotheextentthattheprovisionsofthePrimeAgreementapplytoThisPortionofthe
Project,theArchitectshallassumetowardtheConsultantallobligationsand
responsibilitiesthattheOwnerassumestowardtheArchitect,andtheConsultantshall
assumetowardtheArchitectallobligationsandresponsibilitiesthattheArchitectassumes
towardtheOwner,includingresponsibilityforperformingtheArchitectsSustainable
MeasurestotheextentapplicabletoThisPortionoftheProject.Insofarasapplicableto
thisAgreement,theArchitectshallhavethebenefitofallrights,remediesandredress
againsttheConsultantthattheOwner,underthePrimeAgreement,hasagainstthe
Architect,andtheConsultantshallhavethebenefitofallrights,remediesandredress
againsttheArchitectthattheArchitect,underthePrimeAgreement,hasagainstthe
Owner.WhereaprovisionofthePrimeAgreementisinconsistentwithaprovisionofthis
Agreement,thisAgreementshallgovern.
UnderB1012007SP,theArchitectisresponsibleforconductingaSustainabilityWorkshopwiththeProject
participants.BecausetheConsultantsPortionoftheProjectmayincludeperformanceofcertainSustainable
MeasuresorportionsoftheSustainabilityServices,theConsultantisrequiredtoattendtheSustainability
WorkshoptotheextentrequiredbythePrimeAgreement.
C401SPARTICLE3,SCOPEOFCONSULTANTSSERVICES
3.1.6UponrequestoftheArchitect,theConsultantshallattendtheSustainability
WorkshoppursuanttothePrimeAgreement.
TheSustainabilityPlandevelopedbytheArchitect,pursuanttotheOwnerArchitectAgreement,willsetforth
specificresponsibilitiesoftheOwner,ArchitectandContractor.BecausetheConsultantsservicesforThis
PortionoftheProjectflowdownfromtheArchitectsservicesundertheOwnerArchitectAgreement,the
ArchitectisrequiredtoprovidetheConsultantwithacopyoftheSustainabilityPlan.
C401SPARTICLE5,ARCHITECTSRESPONSIBILITIES
5.1TheArchitectshallprovideavailableinformationinatimelymannerregarding
requirementsforandlimitationsonThisPortionoftheProject,includingacopyofthe
OwnersprogramfortheProjectandacopyoftheSustainabilityPlanwhenapprovedby
theOwner.Withinsevendaysafterreceiptofawrittenrequest,theArchitectshallrequest
informationfromtheOwnerasnecessaryandrelevantfortheConsultanttoevaluate,give
noticeoforenforcelienrights.Withinsevendaysofreceiptofsuchinformationfromthe
Owner,theArchitectshallfurnishtheinformationtotheConsultant.
VariousSustainabilityCertifications,likeGreenGlobes,mayrequirethesubmissionofcertaindocuments,
reportsorotherinformationtotheCertifyingAuthority.Section10.6allowstheArchitectortheConsultantto
discloseinformation,otherwisedesignatedasconfidential,totheCertifyingAuthorityasnecessarytoachieve
theSustainableObjective.
C401SPARTICLE10,MISCELLANEOUSPROVISIONS
10.6IftheConsultantorArchitectreceivesinformationspecificallydesignatedbythe
otherpartyasconfidentialorbusinessproprietary,thereceivingpartyshallkeepsuch
informationstrictlyconfidentialandshallnotdiscloseittoanyotherpersonexceptto
38
Chapter4C4012007SP,Architect/ConsultantAgreement
(1)itsemployees,(2)thosewhoneedtoknowthecontentofsuchinformationinorderto
performservicesorconstructionsolelyandexclusivelyfortheProject,(3)theCertifying
Authority,ifapplicable,onlyasnecessarytoachievetheSustainableObjective,or(4)its
consultantsandcontractorswhosecontractsincludesimilarrestrictionsontheuseof
confidentialinformation.
Section10.7statesthatnothingcontainedintheAgreementshallbeconstruedasaguaranteeorwarranty
thattheSustainableObjectivewillbeachieved.ThislanguageissimilartolanguageincludedinB1012007
SPandisincludedherebecausethesuccessofasustainableprojectisdependentontheservicesandwork
ofallProjectparticipantsandcannotbeguaranteedbyanyoneparty.Thislanguageisnotintendedto
absolvetheConsultantofliabilityforitsnegligentactsoromissions.
C401SPARTICLE10,MISCELLANEOUSPROVISIONS
10.7TheArchitectandConsultantacknowledgethatachievingtheSustainableObjective
isdependentonmanyfactorsbeyondtheConsultantscontrol,suchastheOwnersuse
andoperationoftheProject;theWorkprovidedbytheContractororitssubcontractors;
theservicesprovidedbytheArchitectoritsotherconsultants;theworkorservices
providedbytheOwnersothercontractorsorconsultants;orinterpretationofcredit
requirementsbyaCertifyingAuthority.Accordingly,theConsultantdoesnotwarrantor
guaranteethattheProjectwillachievetheSustainableObjective.
39
Chapter5
B2142012,ArchitectsServices:LEEDCertification
TheUSGBCsLEEDcertificationratingsystemsarewidelyusedinthedesignandconstructionofsustainable
projects,andhavebeenincorporatedintothebuildingcodesorstatutesofsomejurisdictions.AIA
DocumentB2142012,StandardFormofArchitectsServices:LEEDCertification,establishesthe
ArchitectsscopeofservicesforLEEDCertification.Amongotherthings,theArchitectsservicesinclude
conductingaLEEDWorkshopwheretheLEEDCertificationsystemwillbereviewedandLEEDcreditswillbe
targeted,preparingaLEEDcertificationplan,monitoringtheLEEDcertificationprocessandprovidingLEED
specificationsforinclusionintheContractDocuments.
WhentoUseAIADocumentB214
B2142012maybeusedintwoways,eitherasascopeofservicesforaLEEDConsultingArchitectorasa
scopeofAdditionalServicesforaPrimeArchitect.Acheckboxselectionisprovidedforthepartiesto
designatePrimeArchitectorLEEDConsultingArchitect,asappropriate.Basedonthatselection,the
applicableprovisionsofB2142012,describingtheArchitectsLEEDCertificationServices,willvary.ThePrime
ArchitectisresponsibleforalloftheservicesunderB2142012,exceptthoseunderSection2.8.TheLEED
ConsultingArchitectisresponsibleforalloftheservicesunderB2142012,exceptthoseunderSection2.7.
IfprovidingLEEDcertificationservicesasthePrimeArchitectfortheProject,theArchitecttakesondirect
responsibilityfortheLEEDCertificationServicesandhasresponsibilityforpreparingContractDocuments,
includingtheDrawingsandSpecificationsthatincorporatetherequirementsoftheLEEDCertificationPlan.
IfprovidingLEEDcertificationservicesastheLEEDConsultingArchitect,theArchitectisnotresponsiblefor
incorporatingtherequirementsoftheLEEDCertificationPlanintotheDrawingsandSpecifications.The
LEEDConsultingArchitectprovidestheLEEDCertificationPlantotheOwnersprimeArchitectfor
incorporationintotheDrawingsandSpecificationsandprovidesadvicetotheOwnerregardingthe
ContractDocumentsandanyimpedimentstoachievementoftheanticipatedLEEDCertification.
B214isnotastandalonedocumentandtobecomeeffectiveitmustbeincorporatedintoanowner
architectagreement.ItmaybeusedwithAIADocumentB1022007,StandardFormofAgreement
BetweenOwnerandArchitectwithoutaPredefinedScopeofArchitectsServices,toprovidetheArchitects
solescopeofservices,orwithB1022007inconjunctionwithotherstandardformservicesdocuments.It
mayalsobeincorporatedintoanyownerarchitectagreementwhentheagreementisexecutedorused
withAIADocumentG8022007,AmendmenttotheProfessionalServicesAgreement,tocreatea
modificationtoanyownerarchitectagreement.B2142012shouldnot,however,beusedwiththeAIAs
SustainableProjectsOwnerArchitectagreements,suchasB1012007SP.Thoseagreementsalreadyhave
provisionsthatwillencompassservicesforLEEDCertificationaspartoftheArchitectsSustainability
ServiceswhentheOwnersSustainableObjectiveincludesLEEDcertification.
LEEDOnlinev3
In2009,theUSGBCreleasedLEEDversion3.0.Aspartofthatrelease,theUSGBCmandatedtheuseofLEED
OnlineVersion3(LEEDOnline)asthevehicleforprojectregistration,documentsubmission,andproject
certification.ThecurrentLEEDregistrationprocessrequiresthatallpartieswhowillsubmitdocumentation,
40
Chapter5B2142012,ArchitectsServices:LEEDCertification
infurtheranceofprojectregistrationorcertification,agreetoTermsandConditionsfortheUseofLEED
Online.Inaddition,thepersonorentityseekingtoregisteraprojectforLEEDCertificationand/or
ultimatelyapplyingforthatcertificationmustalsoagreetotheLEEDProjectRegistrationAgreement,the
LEEDProjectCertificationAgreement,andtheLEEDCertificationPolicyManual.Thoseagreementsalso
incorporated,byreference,requirementsandtermsfoundinotherLEEDrelateddocuments.
Asoriginallydrafted,theseagreementsplacedsignificantobligationsandresponsibilitiesontheproject
registrantandonthepersonsorentitiessubmittingtheprojectforcertification.3Concernsoverthe
structureandtermsoftheseagreementswereraisedwiththeUSGBCandGBCIbyseveralindustrygroups.
TheUSGBCandGBCIconsideredtheconcernsraisedand,in2011,issuedrevisedagreementsandrelated
documentsforuseinconjunctionwithLEEDOnlineandtheLEEDcertificationprocess.Therevised
documentsaddressedmanyoftheconcernsraised.
The2011reviseddocuments,andtheConfirmationofAgentsAuthority(versiondatedDecember19,2011,
wascurrentasofthiswriting)inparticular,clarifythattheUSGBCandGBCIareprimarilyinterestedin
holdingtheprojectowneraccountableforcompliancewiththerequirementsforseekingandmaintaining
LEEDcertification.Havingsaidthat,nonownerparticipantsmaystillassumepotentialliabilityarisingfrom
theuseofLEEDOnlineandparticipationintheregistrationandcertificationprocess.Itistherefore
importantthatallprojectparticipantsthoroughlyreadandunderstandtheagreementsandrelated
documentsassociatedwiththeuseofLEEDOnline.Ownersshouldbeawareofthecontentofthese
documentsandthepracticalandlegalobligationstheyimpose.Foramoredetaileddiscussionofthese
agreementsseeSpecialTermsandConditionsImposedbyThirdPartyCertificationorRatingEntities
(CertificationAuthorities),andinparticularGBCIandUSGBC,inAppendixGofthisGuide.
LEEDv4
AsofthedateofthisGuide,theUSGBCisworkingtowardthereleaseofLEEDv4.TheUSGBChasstated
thatLEEDv4willaddressnewmarketsectorsandprovideforincreasedtechnicalrigorandstreamlined
services.TheballotperiodforapprovalofLEEDv4issettoconcludeonJune30,2013.
Insomeinstances,thoseobligationswentwellbeyondwhatthatpersonorentitycouldreasonablycontrol.Forexample,the
ProjectCertificationAgreementrequiredtheregistrant,regardlessofwhethertheregistrantwastheownerorsomeotherproject
participant,toprovidesiteaccesstodocumentation,andaccesstoprojectspecificenergyandwaterperformancedocumentation
forasignificantperiodoftimeafterprojectcompletion.Clearlythesematterswouldbewithinthepurviewoftheprojectowner
andwouldnormallybebeyondthescopeofmattersaprojectarchitect,contractor,orgreenbuildingconsultantcouldcontrol.
41
Chapter6
A1012007SP,AgreementBetweenOwnerandContractor,and
A2012007SP,GeneralConditionsoftheContractforConstruction
ThefollowingsectionsarecoordinatedwiththearticleandsectionnumbersfoundinAIADocuments
A1012007SPandA2012007SP,asindicated,foreasyreference.However,theinformationincluded
below,withcarefulreviewandcoordination,maybeapplicabletootherAIAagreements.Usersare
encouragedtoconsultanattorneybeforemodifyingadocument.
GeneralProvisions
TheContractDocuments.BecausetheSustainabilityPlanpreparedbytheArchitectandapprovedbythe
OwneristhecriticaldocumentinoutliningtheOwners,ArchitectsandContractorsresponsibilitiesfor
SustainableMeasuresnecessarytoachievetheSustainableObjective,itisimportanttoincludereferenceto
theSustainabilityPlanasaContractDocument.
ThetermContractDocumentsisdefinedinbothAIADocumentA1012007SPandAIADocumentA2012007SP.
ThedefinitionineachofthesedocumentshasbeenmodifiedtoincludetheSustainabilityPlan.
A101SPARTICLE1,THECONTRACTDOCUMENTS
TheContractDocumentsconsistofthisAgreement,ConditionsoftheContract(General,
SupplementaryandotherConditions),Drawings,Specifications,theSustainabilityPlan,
AddendaissuedpriortoexecutionofthisAgreement,otherdocumentslistedinthis
AgreementandModificationsissuedafterexecutionofthisAgreement,allofwhichform
theContract,andareasfullyapartoftheContractasifattachedtothisAgreementor
repeatedherein.TheContractrepresentstheentireandintegratedagreementbetween
thepartiesheretoandsupersedespriornegotiations,representationsoragreements,
eitherwrittenororal.AnenumerationoftheContractDocuments,otherthana
Modification,appearsinArticle9.
A201SPARTICLE1,GENERALPROVISIONS
1.1BasicDefinitions
1.1.1TheContractDocuments
TheContractDocumentsareenumeratedintheAgreementbetweentheOwnerand
Contractor(hereinaftertheAgreement)andconsistoftheAgreement,Conditionsofthe
Contract(General,SupplementaryandotherConditions),Drawings,Specifications,the
SustainabilityPlan,AddendaissuedpriortoexecutionoftheContract,otherdocuments
listedintheAgreementandModificationsissuedafterexecutionoftheContract.A
Modificationis(1)awrittenamendmenttotheContractsignedbybothparties,(2)a
ChangeOrder,(3)aConstructionChangeDirectiveor(4)awrittenorderforaminorchange
intheWorkissuedbytheArchitect.UnlessspecificallyenumeratedintheAgreement,the
ContractDocumentsdonotincludetheadvertisementorinvitationtobid,Instructionsto
Bidders,sampleforms,otherinformationfurnishedbytheOwnerinanticipationof
receivingbidsorproposals,theContractorsbidorproposal,orportionsofAddenda
relatingtobiddingrequirements.
Reference to the Sustainability Plan has also been added to the enumeration of Contract Documents
included in A1012007, Article 9.
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Chapter6A1012007SP,Owner/ContractorAgreement,andA2012007SP,GeneralConditions
A101SPARTICLE9,ENUMERATIONOFCONTRACTDOCUMENTS
9.1.7TheSustainabilityPlan:
(IdentifythedocumentordocumentsthatcomprisetheSustainabilityPlanbytitle,dateand
numberofpages,andincludeotheridentifyinginformation.)
Title
Date
Pages
Otheridentifyinginformation:
SpecialDefinitions.TheSpecialDefinitionsdescribedinChapter1ofthisGuidehavebeenincludedas
Section1.1.9ofA2012007SP.
AchievingtheSustainableObjectivereliesonmorethantheContractorsperformance.TheOwner,
ArchitectandContractormusteachperformthoseservicesidentifiedastheirresponsibilityinthe
SustainabilityPlan.AnaffirmativeobligationfortheOwnertoperformthoseSustainableMeasures
identifiedastheresponsibilityoftheOwnerhasbeenincludedaspartoftheGeneralConditions.
A201SPARTICLE2,OWNER
2.2.6TheOwnershallperformthoseSustainableMeasuresspecificallyidentifiedasthe
responsibilityoftheOwnerintheSustainabilityPlan,includinganyapprovedchanges,oras
otherwiserequiredbytheContractDocuments.TheOwnershallrequirethateachofits
contractorsandconsultantsperformthecontractorsorconsultantsservicesinaccordance
withtheSustainabilityPlan.
BecausethevariousSustainabilityCertificationprogramsmayplacerequirementsspecificallyontheOwner
inadditiontothoserelatedtothedesignandconstructionoftheProject,suchastherequirementto
providepostoccupancyutilitybills,languagehasbeenaddedstatingthattheOwnerwillcomplywiththe
requirementsoftheCertifyingAuthoritybeforeandafterconstruction.
A201SPARTICLE2,OWNER
2.2.7TheOwnershallcomplywiththerequirementsoftheCertifyingAuthorityasthey
relatetotheownership,operationandmaintenanceoftheProjectbothduring
constructionandaftercompletionoftheProject.
ContractorsResponsibilities
AswiththeOwner,anaffirmativerequirementthattheContractorperformthoseSustainableMeasures
identifiedastheresponsibilityoftheContractorintheSustainabilityPlanandContractDocumentshas
beenincludedaspartoftheGeneralConditions.
A201SPARTICLE3,CONTRACTOR
3.1.2TheContractorshallperformtheWorkinaccordancewiththeContractDocuments,
includinganySustainableMeasuresIdentifiedastheresponsibilityoftheContractorinthe
SustainabilityPlan.
Section3.2.2.1hasbeenaddedtoprovideaprocessforcorrectingconditionsthatmightaffect
achievementoftheSustainableObjective.IftheOwnerorArchitectrecognizessuchacondition,the
ContractorisrequiredtoparticipateinmeetingswiththeOwnerandArchitecttodiscussalternativesto
correctthecondition.TheContractorisalsoresponsibleforreportingsuchconditionsthatarediscovered
ormadeknowntotheContractor.
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3.2.2.1TheContractorshallmeetwiththeOwnerandArchitecttodiscussalternativesin
theeventtheOwnerorArchitectrecognizesaconditionthatwillaffectachievementofa
SustainableMeasureorachievementoftheSustainableObjective.Ifanyconditionis
discoveredby,ormadeknownto,theContractorthatwilladverselyaffecttheContractors
achievementofaSustainableMeasureforwhichtheContractorisresponsiblepursuantto
theSustainabilityPlan,theContractorwillpromptlyprovidenoticetotheArchitectand
meetwiththeOwnerandArchitecttodiscussalternativestoremedythecondition.
ReferencetotheCertifyingAuthorityhasbeenaddedtothissection.TheContractorisnotrequiredto
ascertainiftheContractDocumentsareinaccordancewiththerequirementsoftheCertifyingAuthority
butmustreportnonconformitiesdiscoveredbyormadeknowntotheContractor.
3.2.3TheContractorisnotrequiredtoascertainthattheContractDocumentsarein
accordancewithapplicablelaws,statutes,ordinances,codes,rulesandregulations,lawful
ordersofpublicauthorities,orrequirementsoftheCertifyingAuthority,buttheContractor
shallpromptlyreporttotheArchitectanynonconformitydiscoveredbyormadeknownto
theContractorasarequestforinformationinsuchformastheArchitectmayrequire.
Substitutions.Theprocessforhandlingsubstitutionsonasustainableprojectiscomplicatedbythefactthatthe
suitability,characteristics,performanceandreliabilityofmaterialsandequipmentcanhavefarreaching
impacts,notonlyontheProjectscheduleandthelongtermfunctionoftheProject,butalsoonwhether
targetedSustainableMeasureswillbeachieved.Theprocessforevaluatingsubstitutionsmustbe
communicatedtoallpartiestotheProject.Thefollowingsectionestablishesthecriteriaforsubmissionof
substitutionrequeststhatmayhaveaneffectontheSustainableObjective.Suchlanguagemayalsobeincluded
intheGeneralRequirements(Division1oftheSpecifications)aswellastheSupplementaryConditions.Amore
detailedprocessforthereviewofsubstitutionscanbefoundinAIADocumentA5032007.
3.4.2.1TheContractorshallinclude,withanyrequestforsubstitution,awritten
representationidentifyinganypotentialeffectthesubstitutionmayhaveontheProjects
achievementofaSustainableMeasureortheSustainableObjective.TheOwnerand
Architectshallbeentitledtorelyonanysuchrepresentation.Inpreparingthis
representation,theContractormayrequestadditionalinformationfromtheArchitect
describinghowtheproduct,materialorequipment,forwhichasubstitutionisproposed,
wasintendedtosatisfytherequirementsofaSustainableMeasureorcontributetoward
achievementoftheSustainableObjective.TheArchitectshallrespondtotheContractors
requestinaccordancewithSection4.2.14.
Warranty.AchievingtheSustainableObjectivedependsuponanumberofdecisionsandactionsduringdesign
andconstructionoftheProject.TheOwnersactionspostconstructionandduringoccupancyofthebuilding
alsoaffectachievementandmaintenanceoftheSustainableObjective.Contractorsshouldavoid
incorporatingcontractuallanguageortakingactionsthatcouldbeconstruedasestablishingawarrantyasit
pertainstoachievementoftheSustainableObjective.LanguagestatingthattheContractorwillconstructthe
ProjectinaccordancewiththeContractDocuments(includingtheSustainabilityPlan)butthattheContractor
cannotwarrantthattheProjectwillachievetheSustainableObjectiveisincludedinSection3.5.2.
44
3.5.2TheContractorshallperformtheSustainableMeasuresrequiredtobeperformed
bytheContractorinaccordancewiththeContractDocuments;however,nothingcontained
inthisSection3.5shallbeconstruedasaguaranteeorwarrantybytheContractorthatthe
ProjectwillachievetheSustainableObjective.
CompliancewithLaws.Manystateandlocaljurisdictionshaveadoptedpoliciesandlawsestablishing
requirementsforsustainabledesignandconstruction.Somejurisdictionsrequireallprojectstoachievea
specifiedSustainabilityCertificationwhileotherjurisdictionshaveenactedcomprehensivelawsthatoutline
specificperformancerequirements.TheContractorshouldunderstandwhatisrequiredinthejurisdiction
wheretheProjectislocated.
AIADocumentA2012007SP,Section3.7,requirestheContractorto(1)complywithandgivenoticesrequired
byapplicablelaws,statutes,ordinances,codes,rulesandregulations,andlawfulordersofpublicauthorities
applicabletoperformanceoftheWorkand(2)assumeappropriateresponsibilityforsuchWorkandbearthe
costsattributabletocorrectionofWorktheContractorperformsknowingittobecontrarytoapplicablelaws,
statutes,ordinances,codes,rulesandregulations,orlawfulordersofpublicauthorities.Whilenomodifications
havebeenmadetothislanguageintheSustainableProjectsdocuments,theContractorshouldbecomefamiliar
withapplicablejurisdictionalrequirementsrelatedtosustainabledesignandconstruction.
SustainabilityDocumentation.WhereanOwnerrequiresachievementofaSustainabilityCertificationor
whereaSustainabilityCertificationisrequiredbylaw,theContractormayberesponsibleforpreparing
certainSustainabilityDocumentationrelatedtotheContractorsWorkassetforthintheSustainabilityPlan.
3.11.2TheContractorshallberesponsiblefortimelypreparingandcompletingthe
SustainabilityDocumentationrequiredfromtheContractorbytheContractDocuments,
includinganySustainabilityDocumentationrequiredtobesubmittedafterSubstantial
Completion.TheContractorshallsubmittheSustainabilityDocumentationtotheArchitect
inaccordancewithanyschedulesordeadlinessetforthin,orasotherwiserequiredby,the
ContractDocuments.Intheabsenceofschedulesordeadlinesforsubmissionof
SustainabilityDocumentationintheContractDocuments,theContractorwillsubmitthe
SustainabilityDocumentationwithreasonablepromptnesssothattheArchitectmay
submittheSustainabilityDocumentationtotheCertifyingAuthority.
Submittals.TheContractorssubmittals,suchasshopdrawings,productdataandsamples,playan
increasinglyimportantroleonsustainableprojects.Submittalsrelatedtosustainableproducts,materials
andmethodsoftenrequireadditionaltimeforpreparation.Whilethesectionsonsubmittalshavenotbeen
revisedintheSustainableProjectsdocuments,theContractormayconsiderincludingadditionaltimeinits
submittalscheduletoallowforpreparationofsubmittalsrelatingtosustainableproducts,materialsand
methods.MultiplesubmittalsrelatedtoaparticularSustainableMeasuremustbeconsideredtogetheras
theyoftenhaveacollectiveeffectonachievingaSustainableMeasure.Aswithallsubmittals,the
Contractorhasanobligation,underSection3.12.6ofAIADocumentA2012007SP,toreview,coordinate
andapproveallsubmittalspriortosubmissiontotheArchitect.Inaddition,theContractormaynotperform
WorkforwhichasubmittalwasrequireduntilthesubmittalisapprovedbytheArchitectpursuantto
Section3.12.7ofA2012007SP.OnProjectswhereperformancespecificationsareprovidedforsustainable
productstheremaybeadditionalcriteriathatmustbeverifiedbytheContractor.
45
TheOwnersSustainableObjectiveorotherProjectrequirementsmaynecessitatethattheContractors
designprofessionalsrecommendtheuseofuntestedmaterialsorequipmentontheProject.The
Contractorsdesignprofessionalsmaybeunabletoconfirmatrackrecordofreliabilityforthematerialsor
equipment.Ifthematerialsorequipmentfailtoperforminaccordancewiththemanufacturers
representations,theProjectmayfailtoachievetheSustainableObjective.TheContractorwilldiscuss
untestedproductsproposedbyitsdesignprofessionalswiththeOwnerandArchitect,andinformthe
OwnerandArchitectofanypotentialimpactontheSustainableObjectivethatmayoccuriftheproduct
failstomeetthemanufacturersrepresentations.IftheOwnerthenchoosestousetheproduct,
Section3.12.10.1maylimittheliabilityoftheContractor,theContractorsdesignprofessional,andthe
Architectforafailureoftheproducttoperforminaccordancewiththemanufacturersrepresentations.
3.12.10.1IntheeventtheContractorsdesignprofessionalproposestheuseofmaterials
orequipmentthathavehadlimitedtestingorverificationofperformance,theContractor
shalldiscusswiththeArchitectandOwnertheproposeduseofsuchmaterialsor
equipmentandpotentialeffectsontheSustainableObjectivethatmayoccurifthe
materialsorequipmentfailtoperforminaccordancewiththemanufacturersorsuppliers
representations.TheOwnerwillrenderawrittendecisionregardingtheuseofsuch
materialsorequipmentinatimelymanner.IntheeventtheOwnerelectstoproceedwith
theuseofsuchmaterialsorequipment,theContractorandArchitectshallbepermittedto
relyonthemanufacturersorsuppliersrepresentationsandshallnotberesponsiblefor
anydamagesarisingfromthefailureofthematerialorequipmenttoperformin
accordancewiththemanufacturersorsuppliersrepresentations.
CleaningUp.Constructionwastemanagementanddisposalplaysanimportantpartonsustainable
projects.Buildingdemolition,selectivedemolition,renovation,andnewconstructionallcontributeto
generatingwastewhichisoftendivertedtolandfills.Manymaterialsgeneratedfromtheconstruction
processareabletobesalvagedforreuseintheProjectorforrecycling.Forexamplesitedemolitioncould
offeropportunitiesforrecyclingofasphaltpavingforuseinnewpaving,andforrecyclingmasonry,and
concreteobtainedfromdemolitionforuseincleansitefill.Wastegeneratedbyconstructionworkers(e.g.
paperandbeveragecontainers)andbytheconstructionprocesscanberecycled.
3.15.1TheContractorshallkeepthepremisesandsurroundingareafreefrom
accumulationofwastematerialsorrubbishcausedbyoperationsundertheContract.At
completionoftheWork,theContractorshallremovewastematerials,rubbish,the
Contractorstools,constructionequipment,machineryandsurplusmaterialsfromand
abouttheProject.TheContractorshallalsorecycle,reuse,removeordisposeofmaterials
asrequiredbytheContractDocuments.
UnderA2012007SP,theContractorisrequiredtoprepareandsubmitaconstructionwastemanagement
anddisposalplaninaccordancewiththeContractDocuments.Thegoalofaconstructionwaste
managementanddisposalplanistoreducetheamountofmaterialsenteringalandfill.Thereareseveral
componentstotheplan.First,aquantitativegoalmustbesetbytheOwnerforrecyclingorsalvaginga
certainpercentagebyweightofnonhazardousdemolitionandconstructionwasteontheProject.This
percentagecanalsobesetbypublicauthoritieshavingjurisdictionovertheProjectorbyaCertifying
46
Authority.Otherportionsoftheplanincludeidentificationofwasteforrecycling,awastereductionwork
plan,acostanalysisandanimplementationplan(includingtraining,monitoringandreporting).
Theprocesscanbecomplexandtimeconsuming.Itcanalsobecostly,asreportsmustbegenerated,
personnelmustbetrainedandoftenawastemanagementcoordinatorisemployed.Theconstruction
wastemanagementanddisposalprogrammayalsoneedtobedetailedunderaseparateDivision01
specificationsectionfortheProjectoutliningalltheapplicablerequirementsandprocedures.
3.15.2TheContractor,inaccordancewiththeContractDocuments,shallprepareand
submittotheArchitectandOwneraconstructionwastemanagementanddisposalplan
outliningtheproceduresandprocessesforsalvaging,recyclingordisposingofconstruction
wastegeneratedfromtheProject.
3.15.3IftheContractorfailstocleanupinaccordancewithSection3.15.1andas
providedintheContractDocuments,theOwnermaydosoandOwnershallbeentitledto
reimbursementfromtheContractor.
SiteVisits.Section4.2.3hasbeenaddedtorequirethattheArchitectreporttotheOwnerknown
deviationsfromtheContractDocumentsanddefectsordeficienciesintheWorkthattheArchitect
observesduringsitevisitsandthatwillhaveanimpactonachievementoftheSustainableMeasures.
A201SPARTICLE4,ARCHITECT
4.2.3Onthebasisofthesitevisits,theArchitectwillkeeptheOwnerreasonably
informedabouttheprogressandqualityoftheportionoftheWorkcompleted,andreport
totheOwner(1)knowndeviationsfromtheContractDocumentsandfromthemostrecent
constructionschedulesubmittedbytheContractor,and(2)defectsanddeficiencies
observedintheWork,includingthosethatwillimpacttheContractorsachievementofits
SustainableMeasures.TheArchitectwillnotberesponsiblefortheContractorsfailureto
performtheWorkinaccordancewiththerequirementsoftheContractDocuments.The
Architectwillnothavecontroloverorchargeofandwillnotberesponsibleforactsor
omissionsoftheContractor,Subcontractors,ortheiragentsoremployees,oranyother
personsorentitiesperformingportionsoftheWork.
Section4.2.8hasbeenaddedrequiringtheArchitecttonotifytheOwnerintheeventthataproposed
changebytheContractorwillmateriallyimpactaSustainableMeasureortheSustainableObjective.The
Ownermaythenauthorizefurtherinvestigationofthechange.
4.2.8TheArchitectwillprepareChangeOrdersandConstructionChangeDirectives,and
mayauthorizeminorchangesintheWorkasprovidedinSection7.4.IftheArchitect
determinesthatimplementationofaproposedchangewouldmateriallyimpacta
SustainableMeasureortheSustainableObjective,theArchitectshallnotifytheOwner,
whomayauthorizefurtherinvestigationofsuchchange.TheArchitectwillinvestigateand
makedeterminationsandrecommendationsregardingconcealedandunknownconditions
asprovidedinSection3.7.4.
Section4.2.9hasbeenmodifiedtorequiresubmissionoftheSustainabilityDocumentationpriorto
issuanceofafinalCertificateforPayment.
47
4.2.9TheArchitectwillconductinspectionstodeterminethedateordatesofSubstantial
Completionandthedateoffinalcompletion;issueCertificatesofSubstantialCompletion
pursuanttoSection9.8;receiveandforwardtotheOwner,fortheOwnersreviewand
records,writtenwarranties,SustainabilityDocumentationandrelateddocumentsrequired
bytheContractandassembledbytheContractorpursuanttoSection9.10;andissueafinal
CertificateforPaymentpursuanttoSection9.10.
Subcontractors.TheSustainabilityPlanhasbeenaddedtothecopiesoftheContractDocumentsthatthe
ContractorisrequiredtoprovidetotheSubcontractors.
A201SPARTICLE4,SUBCONTRACTORS
5.3SubcontractualRelations
Byappropriateagreement,writtenwherelegallyrequiredforvalidity,theContractorshall
requireeachSubcontractor,totheextentoftheWorktobeperformedbytheSubcontractor,
tobeboundtotheContractorbytermsoftheContractDocuments,andtoassumetoward
theContractoralltheobligationsandresponsibilities,includingtheresponsibilityforsafetyof
theSubcontractorsWork,whichtheContractor,bytheseDocuments,assumestowardthe
OwnerandArchitect.Eachsubcontractagreementshallpreserveandprotecttherightsof
theOwnerandArchitectundertheContractDocumentswithrespecttotheWorktobe
performedbytheSubcontractorsothatsubcontractingthereofwillnotprejudicesuchrights,
andshallallowtotheSubcontractor,unlessspecificallyprovidedotherwiseinthesubcontract
agreement,thebenefitofallrights,remediesandredressagainsttheContractorthatthe
Contractor,bytheContractDocuments,hasagainsttheOwner.Whereappropriate,the
ContractorshallrequireeachSubcontractortoenterintosimilaragreementswithSub
subcontractors.TheContractorshallmakeavailabletoeachproposedSubcontractor,priorto
theexecutionofthesubcontractagreement,copiesoftheContractDocumentstowhichthe
Subcontractorwillbebound,includingtheSustainabilityPlanand,uponwrittenrequestof
theSubcontractor,identifytotheSubcontractortermsandconditionsoftheproposed
subcontractagreementthatmaybeatvariancewiththeContractDocuments.
Subcontractorswillsimilarlymakecopiesofapplicableportionsofsuchdocumentsavailable
totheirrespectiveproposedSubsubcontractors.
DelaysandSubstantialCompletion
Delays.ProjectsthatseektoincorporateSustainableMeasuresorachieveaSustainabilityCertification
posenewchallengesforaContractorwhodesirestoachieveSubstantialCompletionoftheProjectwithin
theContractTime.Theuseofnewandpotentiallyuntestedproducts,orproductsthatmustbeobtained
fromaparticularmanufacturerorinaparticularlocation,createsapotentialsourceofdelays.
BecausespecificmaterialsorequipmentmaybenecessarytoachieveaSustainableMeasureor,ultimately,to
achievetheSustainableObjective,theContractorshouldverifythatthespecifiedmaterialsorequipmentcanbe
fabricatedanddeliveredtotheProjectinaccordancewiththeconstructionschedule.Anydelaysindelivery,or
unavailabilityofspecifiedmaterialsorequipment,knowntotheContractorshouldbebroughttotheattention
oftheArchitectassoonaspossiblesothatalternativematerials,equipmentorsourcesmaybeconsidered.
SubstantialCompletion.UnderAIAContractDocuments,SubstantialCompletionoccurswhentheProjectcan
beoccupiedandusedforitsintendedpurpose.BecausetheContractorcannotcontrolthereviewandapproval
processofaCertifyingAuthorityormaynotberesponsibleforcollectingallofthedatanecessarytoquantify
48
achievementofaSustainableObjective,theContractoriscautionedagainstenteringintoacontractthatwould
requireachievementoftheSustainableObjectiveasaconditionprecedenttoSubstantialCompletion.However,
itisoftenthecasethattheContractorhassomeresponsibilityfordocumentationrequiredtobesubmittedto
theCertifyingAuthority.Becauseofthis,Section9.8.1ofA2012007SPrequiresthattheContractorsubmitall
SustainabilityDocumentationthattheContractorisrequiredtoprovideasaconditionprecedenttoachieving
SubstantialCompletion.However,wheretheSustainabilityDocumentationmaynot,byitsnature,beprovided
priortoSubstantialCompletion,theContractormayprovidethedocumentationwhenitisavailable.
A201SPARTICLE9,PAYMENTSANDCOMPLETION
9.8.1SubstantialCompletionisthestageintheprogressoftheWorkwhentheWorkor
designatedportionthereofissufficientlycompleteinaccordancewiththeContractDocumentsso
thattheOwnercanoccupyorutilizetheWorkforitsintendeduse.Exceptforthatportionofthe
SustainabilityDocumentationwhichbyitsnaturemustbeprovidedafterSubstantialCompletion,
theContractorshallsubmitallotherSustainabilityDocumentationrequiredfromtheContractor
bytheContractDocumentsnolaterthanthedateofSubstantialCompletion.Verificationthatthe
ProjecthasachievedtheSustainableObjective,ortheactualachievementoftheSustainable
Objective,ortheactualachievementoftheSustainableObjective,shallnotbeacondition
precedenttoissuanceofaCertificateofSubstantialCompletioninaccordancewithSection9.8.4.
AtthetimeofSubstantialCompletion,theContractormaystillberesponsibleundertheContractDocumentsfor
certainSustainableMeasuresnecessarytoachievetheSustainableObjective.Aperformancebond,suchasAIA
DocumentA3122010,mayhelpprotecttheOwnersinterestsinseeingthattheContractorsobligationsare
met.AssumingtheOwnerisnotindefaultofitsobligationsunderthecontractasdefinedbythebondform,in
theeventofaContractordefault,thePerformanceBondsuretyassumesresponsibilityforeitherobtaining
performanceoftheContractorsWorkundertheContractor,alternatively,payingtheOwnerasumofmoney
uptothelimitofthepenalsumofthebondtoallowtheOwnertoprocureperformancebyothers.
IftheOwnerrequiresaPerformanceBond,thebondamountshouldbeinsertedinAIADocumentA1012007SP
inthefillpointinArticle10.Additionally,theOwnermightconsiderextendingtheContractorsoneyear
correctionperiodunderA2012007SPSection12.2.2.1takingintoconsiderationtheestimateddatewhen
verificationoftheSustainableObjectivewilloccur.IftheOwnerdesirestoextendthecorrectionsperiod,Section
12.2.2.1ofA2012007SPcanbemodifiedbydeletingthereferencetooneyearandinsertingareferencetoan
agreeduponcorrectionperiod.
Final Completion
FinalcompletionoftheProjectunderA2012007SPoccurswhentheContractorsWorkhasbeen
completedinaccordancewiththetermsandconditionsoftheContractDocumentsandtheentirebalance
foundtobeduetheContractor,andnotedinthefinalCertificateforPayment,isdueandpayable.Final
completionoftheProjectiscomplicatedbythefactthatverificationthattheProjecthasachievedthe
SustainableObjectivemaynotoccuruntilsometimeafterSubstantialCompletion.EnergyStarcertification,
forexample,isnotissueduntilafullyearofenergyusagedatahasbeencompiledforthebuilding.Inmany
instances,theContractormayhavecompletedthepunchlistandperformedallofitsobligationsunderthe
ContractDocuments.Hereagain,thePerformanceBondwillprovideasuretythatwillobtainperformance
oftheContractorsWorkundertheContractorpayasumofmoney,uptothepenalsumofthebond,so
thattheWorkmaybeperformedbyothers.AnextendedcorrectionperiodcanassurethattheContractor
isavailabletocorrectdefectiveWork.
49
A201SPARTICLE9,PAYMENTSANDCOMPLETION
9.10.1...TheArchitectsfinalCertificateforPaymentwillconstituteafurther
representationthatconditionslistedinSection9.10.2asprecedenttotheContractors
beingentitledtofinalpaymenthavebeenfulfilled.VerificationthattheProjecthas
achievedtheSustainableObjective,ortheactualachievementoftheSustainableObjective,
shallnotbeaconditionprecedenttoissuanceofthefinalCertificateforPayment.
9.10.2Neitherfinalpaymentnoranyremainingretainedpercentageshallbecomedue
untiltheContractorsubmitstotheArchitect(1)anaffidavitthatpayrolls,billsformaterials
andequipment,andotherindebtednessconnectedwiththeWorkforwhichtheOwneror
theOwnerspropertymightberesponsibleorencumbered(lessamountswithheldby
Owner)havebeenpaidorotherwisesatisfied,(2)acertificateevidencingthatinsurance
requiredbytheContractDocumentstoremaininforceafterfinalpaymentiscurrentlyin
effectandwillnotbecanceledorallowedtoexpireuntilatleast30dayspriorwritten
noticehasbeengiventotheOwner,(3)awrittenstatementthattheContractorknowsof
nosubstantialreasonthattheinsurancewillnotberenewabletocovertheperiodrequired
bytheContractDocuments,(4)allSustainabilityDocumentationrequiredfromthe
ContractorbytheContractDocuments,(5)consentofsurety,ifany,tofinalpaymentand
(6),ifrequiredbytheOwner,otherdataestablishingpaymentorsatisfactionofobligations,
suchasreceipts,releasesandwaiversofliens,claims,securityinterestsorencumbrances
arisingoutoftheContract,totheextentandinsuchformasmaybedesignatedbythe
Owner.IfaSubcontractorrefusestofurnishareleaseorwaiverrequiredbytheOwner,the
ContractormayfurnishabondsatisfactorytotheOwnertoindemnifytheOwneragainst
suchlien.Ifsuchlienremainsunsatisfiedafterpaymentsaremade,theContractorshall
refundtotheOwnerallmoneythattheOwnermaybecompelledtopayindischarging
suchlien,includingallcostsandreasonableattorneysfees.
Insurance and Bonds
Insurancecarriersareworkingtoeducateandinformtheirinsuredsabouttherisksofsustainabledesignand
construction.Consultwithyourcarrierforrecommendationsregardinglanguagethatshouldbeincludedin
contractstominimizepotentialclaimsandavoidassuminguninsuredriskonsustainableprojects.
InsuranceproductsforOwnersspecificallytailoredtosustainableprojectshavegenerallybeenlimitedto
propertyinsurance.AlthoughnochangeshavebeenmadeinA2012007SP,Ownersmaywanttoconsider
someoftherecentlyreleasedpropertyinsurancepoliciesthatareavailableforsustainableprojects.Some
oftheseinsurancepolicieswillallowtheOwnertoreplaceadamagedexistingbuildingwithequivalent
sustainableproductsinsteadofstandardbuildingmaterials.OthersallowtheOwnertorebuildanexisting
projecttoachieveasustainabilitycertificationwheretheoriginalbuildingwasnotcertified.Other
insurancepolicieswillallowforreconstructionofexistingsustainablebuildingsusingneworrevised
sustainabilitystandards.Ownersshoulddiscussavailableinsuranceproductswiththeircarriersandselect
insurancethatwillbestmeettheownersneeds.
InsituationswheretheContractorhasassumedprofessionalliabilityforsomeportionoftheproject,the
Contractorshouldconsiderprofessionalliabilityinsurance.AswiththeArchitect,theContractorsprofessional
liabilityinsurancewilllikelyexcludecoverageforcontractualguaranteesorwarranties.Inaddition,
Contractorsprovidingperformancebondsorbuildersriskcoverageonsustainableprojectsshouldbemindful
ofanyexclusionsforsustainableconstructionincludedinthebondsorinsurancepolicies.
50
ClaimsandDisputes
ConsequentialDamages.OwnersoftenelecttoincludeSustainableMeasuresintheirProjectsforreasons
otherthanincreasingtheenvironmentalperformanceofthebuilding.Manyjurisdictionsoffertax
incentivesforsustainablybuiltbuildingsorofferexpeditedpermitting.Ownersmayalsoincorporate
SustainableMeasurestoincreasethemarketabilityofthebuilding,increasethepublicimageofthe
company,decreaseenergyuseorincreaseworkerproductivity.IfaProjectdoesnotmeetitsSustainable
Objective,theOwnermayclaimtohavesustaineddamagesarisingfromthefailuretorealizethese
ancillarybenefits.Thesetypesofdamagesareoftendifficulttoanticipate,quantify,orprove.Forexample,
itisdifficulttodeterminewhatdamagesmayariseiftheOwnerallegesthatitsemployeesarenot
productiveandmotivatedbecausethebuildingfailedtoachieveaspecificSustainableMeasureordidnot
achievetheSustainableObjective.
BecauseitisunlikelythatanyoneoftheProjectparticipantswillbesolelyresponsibleforprovidinga
sustainablebuildingorachievingaSustainabilityCertification,liabilityforconsequentialdamagesmaybe
difficulttoallocate.Forthisreason,usersarecautionedagainstexecutinganyAIAContractDocumentthat
hasbeenmodifiedtoeliminatethemutualwaiverofconsequentialdamageslanguage.
ThemutualwaiverofconsequentialdamagesincludedinA2012007SPandotherAIADocumentsincludes
allconsequentialdamagesregardlessofthespecificcircumstancesoftheProject.However,A2012007SP
hasbeenmodifiedtoincludeadditionallanguageaddressingspecificoruniqueconcernsrelatedto
sustainableprojects.
A201SPARTICLE15,CLAIMSANDDISPUTES
15.1.6.3DamagesresultingfromfailureoftheProjecttoachievetheSustainable
ObjectiveoroneormoreoftheSustainableMeasuresincludingunachievedenergysavings,
unintendedoperationalexpenses,lostfinancialortaxincentives,orunachievedgainsin
workerproductivity.
LimitationofLiability.TheContractorsliabilityfordamagesiftheprojectfailstomeettheSustainable
Objectivecanbelimitedbyuseofalimitationofliabilityprovision.Useofsuchaprovisionmightbe
considerediftheOwnerwillnotagreetothewaiverofconsequentialdamagesortheContractors
disclaimerofawarranty.Alimitationofliabilityprovisionwillplaceparametersaroundalossandprotect
thecontractorfromapotentiallossthatisdifficulttoquantify.
SuchaprovisionwouldnormallyappearintheOwner/ContractorAgreement;forexample,spaceis
providedinAIADocumentA1012007SPSection8.6forinsertionofothertermsapplicabletothe
Contract.However,Subcontractorsandothersshouldbeawareofsuchaprovision;thereforeitisnot
unusualforthisrequirementtobesetoutintheSupplementaryConditions.
AIADocumentB5032007includesadetaileddiscussionoflimitationsofliabilityunderSection15.A
limitationofliabilityprovisionshouldnotbeincludedasSupplementaryConditionswithoutreviewbythe
OwnersattorneyandconcurrenceoftheOwner.Repetitionshouldbeavoided.Iftheprovisioniswrittenin
theSupplementaryConditions,acrossreferenceshouldappearintheAgreementbetweentheOwnerand
Contractor.Inmultipleprimecontracting,theOwnershouldincludeappropriateprovisionsaddressing
limitationofliabilityinthemultipleprimecontracts.
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Chapter7
A4012007SP,AgreementBetweenContractorandSubcontractor
Forasustainableproject,itmaybenecessaryfortheContractortohiresubcontractorswithexpertisein
specificareasoftheprojectrelatedtosustainableconstruction.Likeallprojects,sustainableprojects
requirethecarefuldevelopmentandcoordinationofthescopeofWorktobeprovidedbyeachofthe
respectivesubcontractors.
AIADocumentA4012007SP,StandardFormofAgreementBetweenContractorandSubcontractor,for
useonaSustainableProject,isastandardformofagreementtobeusedbytheContractorandthe
Subcontractoronasustainableprojectthatestablishestheirresponsibilitiestoeachotherandtheirmutual
rightsundertheAgreement.A4012007SPadoptsbyreferenceAIADocumentA2012007SP,General
ConditionsoftheContractforConstructionforuseonaSustainableProject,andapreexisting
Owner/ContractorAgreementknownasthePrimeContract.AIADocumentA4012007SPutilizesaflow
downprovision,atArticle2,toincorporatetheobligationsandresponsibilitiesthattheOwnerand
ContractorhavewithrespecttoeachotherinthePrimeContractandextendthoseobligationsand
responsibilities,respectively,totheContractorandtheSubcontractor.
Article8ofA4012007SPrequirestheContractorandtheSubcontractortodescribetheportionofthe
WorkforwhichtheSubcontractorisresponsible.OncetheSubcontractorsportionoftheWorkhasbeen
defined,theflowdownprovisionrequirestheSubcontractortoassumetowardtheContractorall
obligationsandresponsibilitiesthattheContractorassumestowardtheOwnerinthePrimeContractas
applicabletotheSubcontractorsportionoftheWork.Therefore,anySustainableMeasuresrequiredofthe
ContractorintheSustainabilityPlanthatarecontainedintheContractorsportionoftheWorkwould
becometheresponsibilityoftheSubcontractor.
Giventhisflowdownofresponsibilities,theContractorshouldclearlydefinetheSubcontractorsportionof
theWork.TheContractorshouldalsospecifyanylimitationsorconditionsontheSubcontractorsservices.
WiththisunderstandingoftheContractorsexpectationsoftheSubcontractor,therewereveryfew
provisionsoftheSubcontractagreementthatrequiredmodificationindevelopingtheSustainableProjects
version.Eachofthechangesisdiscussedbelow.
Section4.4hasbeenmodifiedtorequirethattheSubcontractorrecycle,reuse,removeordisposeof
materialsasrequiredbytheContractDocumentsandasnecessarytoachievetheSustainableObjective.
ThesechangeshavebeenmadesothatA4012007SPisconsistentwithchangesmadeinA2012007SP.
A401SPARTICLE9,SUBCONTRACTOR
4.4CleaningUp
4.4.1TheSubcontractorshallkeepthepremisesandsurroundingareafreefrom
accumulationofwastematerialsorrubbishcausedbyoperationsperformedunderthis
Subcontract.TheSubcontractorshallnotbeheldresponsibleforconditionscausedby
othercontractorsorsubcontractors.TheSubcontractorshallalsorecycle,reuse,removeor
disposeofmaterialsasrequiredbytheContractDocuments.
52
Chapter7A4012007SP,Contractor/SubcontractorAgreement
Additionally,Section4.4.2hasbeenmodifiedtorequiretheSubcontractor,inaccordancewiththeSubcontract
Documents,toprepareaconstructionwastemanagementanddisposalplanthatsetsforththeproceduresand
processesforsalvaging,recyclingordisposingofconstructionwastegeneratedfromtheProject.
4.4.2TheSubcontractor,inaccordancewiththeSubcontractDocuments,shall,totheextent
applicabletoSubcontractorsWork,prepareandsubmittotheContractoraconstructionwaste
managementanddisposalplansettingforththeproceduresandprocessesforsalvaging,
recyclingordisposingofconstructionwastegeneratedfromtheProject.
AswiththeArchitectandContractor,thesuccessofasustainableProjectisdependentontheworkofall
participantsandcannotbeguaranteedbyanyoneparty.ThissectionstatesthattheSubcontractorwill
performtheSustainableMeasuresrequiredbytheSubcontractDocuments,butdoesnotprovidea
guaranteeorwarrantyunderSection4.5thattheProjectwillachievetheSustainableObjective.This
languageisnotintendedtoabsolvetheSubcontractorofliabilityforfailingtoperforminaccordancewith
theSubcontractDocuments.
4.5.2TheSubcontractorshallperformtheSustainableMeasuresrequiredtobe
performedbytheSubcontractorinaccordancewiththeSubcontractDocuments;however,
nothingcontainedinthisSection4.5shallbeconstruedasaguaranteeorwarrantybythe
SubcontractorthattheProjectwillachievetheSustainableObjective.
AclearunderstandingoftheSustainableMeasuresincludedintheportionoftheWorkforwhichthe
SubcontractorisresponsiblewillassisttheSubcontractorinmeetingtheSustainableMeasuresand
avoidingdisputes.TheparentheticalinstructionlocatedinArticle8hasbeenrevisedtoremindusersthata
descriptionoftheSustainableMeasuresthatapplytotheWorkoftheSubcontractshouldbeincludedin
thedescriptionoftheSubcontractorsWork.
A401SPARTICLE9,THEWORKOFTHISSUBCONTRACT
TheSubcontractorshallexecutethefollowingportionoftheWorkdescribedinthe
SubcontractDocuments,includingalllabor,materials,equipment,servicesandotheritems
requiredtocompletesuchportionoftheWork,excepttotheextentspecificallyindicated
intheSubcontractDocumentstobetheresponsibilityofothers.
(InsertaprecisedescriptionoftheWorkofthisSubcontract,includingadescriptionofthe
SustainableMeasuresintheSustainabilityPlanapplicabletotheWorkofthisSubcontract,
referringwhereappropriatetonumbersofDrawings,sectionsofSpecificationsandpagesof
Addenda,Modificationsandacceptedalternates.)
53
Chapter8
OtherDeliveryModels
TheconceptsdiscussedinthisGuidearepresentedinthecontextofthecurrentAIASustainableProjects
documentsintheConventional(A201)Family.TheA201familyformsthebasisonwhichotherAIA
documentsfamiliesaredrafted.Therefore,manyoftheconceptsdiscussedinthisGuidemaybeappliedto
AIAContractDocumentsforotherdeliverymodels,suchasDesignBuild,ConstructionManagementor
IntegratedProjectDelivery.
TheSustainableProjectsdocumentsarebasedonthedesignbidbuilddeliverymodelbecausethesedocuments
(namelyA201)formthebackboneofallAIAContractDocuments.Inmanyinstances,aprojectmaybenefitfrom
adeliverymodelsuchasintegratedprojectdelivery,designbuildorconstructionmanagement.
Increasingcoordinationamongallpartiesonasustainableprojectcanbeaneffectivewaytoachievethe
ownersgoalsandincreaseprojectsuccessforallparticipants.However,thisGuidedoesnotendorseany
specificdeliverymodelasthemostappropriatemodelforsustainablebuildingprojects.Usersareencouragedto
considerallavailabledeliverymodelsandchoosethemodelbestsuitedfortheparticularprojectconsideringthe
ownersgoalsandbudget.BelowisabriefdiscussionofsomeoftheotherdeliverymodelsaddressedbyAIA
ContractDocuments:ConstructionManagement,DesignBuild,andIntegratedProjectDelivery.
ConstructionManagement
AIAContractDocumentsseparatesitsConstructionManagement4documentsintotwodistinctfamilies;
ConstructionManagerasAdviserandConstructionManagerasConstructor.Eachofthesefamiliesoffers
uniqueopportunitiesforthesustainablebuildingproject.
ConstructionManagerasAdviser(CMa).UndertheAIAsConstructionManagerasAdviserdocuments,the
Ownerentersintothreeseparatecontracts;theOwner/ArchitectAgreement(B1322009),the
Owner/ConstructionManagerasAdviserAgreement(C1322009)andtheOwner/ContractorAgreement
(A1322009).TheGeneralConditionsfortheseagreementsisA2322009.TheOwner/Architectand
Owner/ContractorAgreementsaresimilartothecorollaryagreementsintheConventionalFamilyof
documentswithaddedrecognitionoftheuniqueroletheConstructionManagerplaysinthisdeliverymodel.
UnderC1322009,theConstructionManagerisnothiredtoconstructtheProject.Instead,theConstruction
ManagerishiredtoadvisetheOwnerpriortothestartofconstruction,orpreconstruction,andtoassistinthe
managementoftheProjectduringconstruction.Duringthepreconstructionphase,theConstructionManager
performsvariousfunctions,includingcostestimating,scheduling,designreview,andadvisingtheOwner
regardingconstructability,availabilityofmaterialsandlabor,sequencingforphasedconstruction,time
requirementsforprocurement,andinstallationandconstruction.TheConstructionManageralsoadvisesthe
Ownerconcerningfactorsrelatedtoconstructioncost,includingcostsofalternativedesignsormaterials,
preliminarybudgets,lifecycledata,andpossiblecostreductions.Duringtheconstructionphaseofthe
Project,theConstructionManagersdutiesincludeperformingcontractadministrationforthecontract(s)for
TheAIAwillreleaseSustainableProjectsversionsoftheCMcandCMadocumentsinthefallof2013.
54
construction;administrationofmultipleprimecontractors,ifapplicable;updatingandissuingtheProject
schedule;schedulingtestsandinspections;andassistinginProjectcloseout.
BecauseoftheConstructionManagersclosecooperationwiththeOwnerandArchitectduringthe
preconstructionphaseandtheConstructionManagersadditionalresponsibilitiesduringtheconstruction
phase,theConstructionManagerasAdviserdocumentsofferauniqueopportunityfortheConstruction
Managertoassistinthedevelopmentandimplementationofasustainabledesignandconstruction
program.DuringthePreconstructionPhase,theConstructionManagerAdvisercanreviewthe
SustainabilityPlanandofferadviceonconstructability,materialsavailability,timerequirementsfor
procurement,lifecycledata,etc.Thisadditionalreviewandcoordinationwillprovideanaddedlayerof
assurancethattheProjectismovingintherightdirectiontoachievetheSustainableObjective.Inaddition,
theConstructionManagerAdvisersparticipationintheProjectduringPreconstructionallowsfora
targetedapproachtocontractadministrationandschedulingduringtheconstructionphase.
ConstructionManagerasConstructor(CMc).UndertheAIAsConstructionManagerasConstructor
documents,theOwnerentersintotwoseparateagreements;theOwner/ArchitectAgreement(typically
AIADocumentB1032007)andtheOwner/ConstructionManagerasConstructoragreement(either
A1332009orA1342009).TheGeneralConditionsdocumentisA2012007.Thisdeliverymodelis
similartotheConstructionManagerasAdviserdeliverymodelwiththeexceptionthattheConstruction
ManageralsoservesastheConstructoroftheProject.
TheearlyinvolvementoftheConstructionManagerduringthedesignphaseallowstheConstructionManagerto
provideinputontheSustainableMeasurescontemplated,assistinthedevelopmentoftheSustainabilityPlan,
procureitemswithlongerleadtimes,andprovideasmoothtransitionwhenitistimetostartconstruction.
DesignBuild
UndertheAIAsDesignBuildFamilyofdocuments,theOwnerentersintoonecontract(A1412004)with
aDesignBuilderwhoisobligatedtodesignandconstructtheProject.TheDesignBuilderthenentersinto
agreementswithaContractor(A1422004),oranArchitect(B1432004),orboth.Often,theDesign
BuildermayalsobetheArchitectorContractorfortheProject.
ManyofthebenefitscitedfordesignbuildasaProjectdeliverymodelsuchasenhancedcommunication,
singlepointresponsibility,andincreasedvalueanalysis,maybeusefulonasustainableProject.Thesingle
pointresponsibilityfordesignandconstructionoftheProjectallowstheDesignBuildertocarefully
coordinatethedesignwiththeinputoftheArchitectorContractor.Theallocationofresponsibilityfor
certificationcreditsorotherSustainableMeasurescanbeconfirmedwiththeresponsiblepartyearlyinthe
design.ThiscarefulcoordinationofthedesignwiththeactivitiesoftheContractormayallowfortheearly
identificationofissuesandallowforadjustmentoftheSustainableMeasuresfortheProjectinorderto
achievetheSustainableObjective.
IntegratedProjectDelivery
TheAIAsIntegratedProjectDeliveryFamilyiscomprisedofthreesetsofdocuments.Thetransitionalforms
aremodeledafterexistingConstructionManageragreementsandofferacomfortablefirststepinto
IntegratedProjectDelivery.TheMultiPartyAgreementisasingleagreemententeredintobytheOwner,
Architect,ContractorandpossiblyotherpartiestodesignandconstructaProjectutilizingIntegrated
55
ProjectDelivery.TheSinglePurposeEntitycreatesalimitedliabilitycompanyforthepurposeoffurnishing
planning,design,andconstructionfortheProject.
OneofthemajorelementsofIntegratedProjectDeliveryisclosecooperationamongthepartiestotheProject.
LikeConstructionManagementorDesignBuildprojects,thisclosecooperationallowsforcoordinationofthe
SustainabilityPlan,responsibilityforSustainableMeasures,constructability,materialsavailability,time
requirementsforprocurement,lifecycledata,andotheritemsofimportancetothistypeofProject.
UndertheMultiPartyandSpecialPurposeEntitymodels,closecooperationisfurtherencouragedby
providingforGoalAchievementCompensationfortheaccomplishmentofgoals.GoalAchievement
CompensationunderthesemodelsworksbyallowingthepartiestoestablishgoalsearlyintheProject,such
asachievingaSustainableMeasure,andpayingamountstoeachpartyintheformofgoalachievement
compensationifthatgoalisachieved.ThisprovidesanaddedincentiveforpartiesontheProjecttowork
togethertoachievetheSustainableObjective.
56
Chapter9
ExampleofaSustainabilityPlan
Introduction
TheSustainabilityPlandescribestheSustainableObjective,identifiestheSustainableMeasuresandassigns
theresponsiblepartyforeachoftheSustainableMeasures.DefinitionsoftheSustainabilityPlanand
relatedtermsarecontainedwithinA2012007SPandareincorporatedby reference into theother
SustainableProjectsdocuments.TheArchitectdevelopstheSustainabilityPlanbasedontheSustainable
Objective.TheSustainabilityPlanisintendedtobearoadmaptowardachievementoftheSustainable
Objective.TheSustainabilityPlanshoulddescribestrategiesselectedtoachieveeachSustainableMeasure,
andestablishmetricsthatwilldemonstratecompletionofeachSustainableMeasure,suchasthetypesof
testingnecessary,aswellasthepartyresponsibleforverificationthatthosemetricshavebeensatisfied.
AnExampleofaSustainabilityPlanisincludedasAppendixFtothisGuide.Theexamplewasdevelopedto
showwhatatypicalSustainabilityPlanmightinclude.TheexampleSustainabilityPlanisatableforlisting
eachofthetargetedSustainableMeasuresandtheallocationofresponsibilityforeachoftheSustainable
MeasurestooneormoreoftheProjectparticipants.DevelopmentofastandardSustainabilityPlan
applicabletoallProjectsmayprovedifficultbecauseofthevastdiversityintherequirementsofthe
differingSustainabilityCertifications,jurisdictionalrequirementsandOwnergoals.Thisexamplemaybe
usedasastartingpointfordevelopinganappropriateProjectspecificSustainabilityPlan.Thetable
parameterswillneedtobemodifiedbasedonthespecificsofeachsustainableProject.
ThefollowingisadescriptionofeachsectionoftheexampleSustainabilityPlanandsamplesofhowthe
SustainabilityPlanmaybecompletedondifferingtypesofsustainableProjects.
CoverPage
ThecoverpageincludesfillpointsforidentificationoftheProjecttowhichtheSustainabilityPlanapplies,
identificationoftheOwnerandArchitect,andastatementoftheSustainableObjectivefortheProject.The
sameProjectdescriptionshouldbeusedasisusedintheProjectagreement,suchastheOwner/Architect
Agreement.TheSustainableObjectivewilloftenbethesameasthatincludedintheInitialInformationof
theOwner/ArchitectAgreement.However,if,duringthedesignprocess,theSustainableObjectivehas
beenmodified,thecurrentSustainableObjectiveshouldbedescribedintheSustainabilityPlan.
57
Article1DesignPhase
Article1addressesthedesignphasetowhichtheSustainabilityPlanapplies.BecauseB1012007SP
requirestheArchitecttonotifytheOwnerofchangestotheSustainabilityPlanandrequestOwner
approvalattheconclusionofeachdesignphase,thischeckboxhasbeenaddedtoaidintheeasy
identificationofthedesignphaseforwhichtheSustainabilityPlanissubmittedforapproval.However,note
thattheSustainabilityPlanmaynotbeupdatedateachsubsequentdesignphase.Ifchangestothe
SustainabilityPlanhavenotbeenmadebetweentheSchematicDesignPhaseandtheDesignDevelopment
Phase,forexample,theremaybenoneedtoseekOwnerapprovalattheDesignDevelopmentPhase.
Article2SustainableMeasures
Article2providesatableonwhichtolisttheSustainableMeasuresrequiredtoachievetheSustainable
Objective,identifythepartyresponsibleforeachSustainableMeasure,andprovideadetaileddescription
ofeachSustainableMeasure.Thetableconsistsoffivecolumns:
ItemNumber.EachSustainableMeasurelistedintheSustainabilityPlanshouldbenumberedtoprovide
easyreferencefortheProjectparticipants.
SustainableMeasure.ThiscolumnisusedtolisteachSustainableMeasurenecessarytoachievetheSustainable
Objective.When the Sustainable Objective includes a Sustainability Certification, the parties may choose to list all
points or credits available under the Sustainability Certification program, including those points or credits
considered rejected, and those points and credits identified as contingent which the parties may choose to pursue
later, as of the date of the Sustainability Plan is prepared and submitted to the Owner for review and approval.
58
PointorCreditRequirements.ThiscolumnisusedwhentheSustainableObjectiveincludesapointor
creditbasedSustainabilityCertification.OnprojectswheretheSustainableObjectivedoesnotincludea
SustainabilityCertification,thissectionmaybeomittedormodifiedtoincludeotherinformation.
EachofthePointsshouldbelistedintheappropriatesubcolumntoindicatethepointsstatus:
AvailableIndicatesthetotalnumberofpointsorcreditsavailablefortheitemnumber.
ExpectedIndicatesthetotalpointsorcreditsexpectedforeachlineitem.Theexpected
columnmayincludeanumberequaltoorlessthanthenumberindicatedasavailable.
RejectedIndicatesthenumberofpointsorcreditsforeachlineitemthatwillnotbe
pursuedorthatareunattainablefortheproject.Ifapointorcreditisrejectedentirely,this
numberwillequalthenumberincludedintheAvailablecolumn.
ContingentIndicatesthetotalnumberofpointsorcreditsheldincontingencythatcould
bepursuedwithadditionalcostoreffort.
ResponsibleParty.ThiscolumnidentifiesthepartyresponsibleforeachSustainableMeasure.Someparties
willbedesignatedastakingprimaryresponsibilityandotherstoprovidesupportservices.Forexample,the
Architectmayhaveprimaryresponsibilityfordesigningandspecifyingsystemsthatmeetacertainstandard
ofenergyreductionwhiletheOwnerplaysasupportingroleinoperatingthosesystemsinamanner
consistentwiththedesignspecifications.
SustainableMeasureDescription.ThiscolumnisusedtoprovideadetaileddescriptionofeachSustainableMeasure.
59
ThedescriptionofeachSustainableMeasuremightinclude
theimplementationstrategiesselected,
thespecificdetailsofdesignreviews,
thetestingormetricsnecessarytoverifyachievementoftheSustainableMeasure,and
adescriptionoftheSustainabilityDocumentationrequiredtobesubmittedforthe
SustainableMeasure.
CompletedExamples
ThetablecanprovidetheflexibilityneededforusewithvariousSustainabilityCertificationsorforprojects
whichdonotincludeaSustainabilityCertification.Examplesforsomeofthedifferentpossibilities:
LEED
IgCC
60
Noticethatintheexampleabove,thecolumnlabeledpointorcreditrequirementhasbeenchangedto
statusofcodemandatedmeasure.ThisisnecessarybecausetherequirementsoftheIgCC,likeothercodes,
thathavebeenlegallyadoptedbyajurisdictionaremandatoryandnotsubjecttoselectionbytheparties.
OwnerApprovedSustainableMeasures(noncode,nonSustainabilityCertification)
OwnersApproval
ThissectionrequirestheOwnertosignanddatethedocumenttoapprovetheSustainabilityPlanasofthe
designateddesignphase.
61
Appendix
AppendixA
AIADocumentComparative:A1012007andA1012007SP,
AgreementBetweenOwnerandContractor
AppendixB
GeneralConditionsoftheContractforConstruction
AppendixC
AgreementBetweenContractorandSubcontractor
AppendixD
AIADocumentComparative:B1012007andB1012007SP,
AgreementBetweenOwnerandArchitect
AppendixE
AIADocumentComparative:C4012007andC4012007SP
AgreementBetweenArchitectandConsultant
AppendixF
ExampleofaSustainabilityPlan
AppendixG
SpecialTermsandConditionsImposedbyThirdPartyCertificationorRatingEntities
(CertificationAuthorities),andinparticularGBCIandUSGBC,anarticleby
KennethW.Cobleigh,Esq.,ManagingDirectorandCounsel,AIAContractDocuments
AppendixH
AIAResourcesforSustainableDesignandConstructionProjects
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