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Guide for Responsibility

in Concrete Construction
Reported by ACI Committee 132
ACI 132R-14
First Printing
December 2014
ISBN: 978-0-87031-980-8

Guide for Responsibility in Concrete Construction


Copyright by the American Concrete Institute, Farmington Hills, MI. All rights reserved. This material
may not be reproduced or copied, in whole or part, in any printed, mechanical, electronic, film, or other
distribution and storage media, without the written consent of ACI.

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ACI 132R-14

Guide for Responsibility in Concrete Construction


Reported by ACI Committee 132

Jeffrey W. Coleman, Chair Kevin A. MacDonald, Secretary

Dennis C. Ahal Beverly A. Garnant Colin L. Lobo Michael J. Schneider


Casimir J. Bognacki James R. Harris Thomas O. Malerk Benjamin B. Tymann
Kenneth B. Bondy Mohammad Iqbal W. Calvin McCall Woodward L. Vogt
Julie K. Buffenbarger Cecil L. Jones Amy M. Reineke Trygestad George R. Wargo
Boyd A. Clark William M. Klorman Joseph C. Sanders

The responsibilities of each party in a concrete construction project CHAPTER 2DEFINITIONS, p. 2


should be adequately described in the contracts between the parties,
including the responsibility for the owners project objectives. It is CHAPTER 3DOCUMENTS REFERENCED IN
important that the party controlling that process (usually the owner CONTRACT DOCUMENTS, p. 3
or the owners representative) makes certain that the responsibili-
ties of the parties are clear, coordinated, and consistent. Clarity
CHAPTER 4RESPONSIBILITIES OF OWNER, p. 3
and consistency in the responsibilities defined in the contracts will
reduce friction in the execution of a construction project, as well as 4.1Project responsibility and authority, p. 3
reduce the incidence of legal disputes. 4.2Definition of project, p. 4
This guide identifies and suggests allocation of responsibili- 4.3Funding for project, p. 4
ties to various parties involved in concrete construction in the 4.4Real estate, rights of way, permits, and insurance,
United States; however, the guidance presented may be applicable p. 4
to contractual relationships addressing concrete construction in 4.5Scope and objectives of project, p. 4
other parts of the world. This guide can also be useful in assessing 4.6Project management, p. 4
existing contractual documents to determine if they are adequate 4.7Design and construction team, p. 4
and balanced with respect to responsibilities associated with 4.8Quality assurance program, p. 4
concrete construction.
4.9Site safety, p. 4
In some cases, the responsibilities outlined carry the force of
4.10Environmental regulations, p. 4
law. In others, there are options that could be incorporated into a
particular contract. 4.11Payment, p. 4
4.12Project acceptance, p. 4
Keywords: concrete construction; contracts; owner; responsibility. 4.13Dispute resolution, p. 4
4.14Multiple prime contracts and construction manage-
CONTENTS ment, p. 4

CHAPTER 1INTRODUCTION AND SCOPE, p. 2 CHAPTER 5LICENSED DESIGN


1.1Introduction, p. 2 PROFESSIONAL, p. 5
1.2Scope, p. 2 5.1Professional services, p. 5
5.2Codes and regulations, p. 5
5.3Coordination, p. 5
ACI Committee Reports, Guides, and Commentaries are
intended for guidance in planning, designing, executing, and
5.4Design calculations, p. 5
inspecting construction. This document is intended for the use 5.5Contract documents, p. 5
of individuals who are competent to evaluate the significance 5.6Specifications, p. 5
and limitations of its content and recommendations and who 5.7Field observation, p. 5
will accept responsibility for the application of the material it
contains. The American Concrete Institute disclaims any and
all responsibility for the stated principles. The Institute shall
not be liable for any loss or damage arising therefrom. ACI 132R-14 was adopted and published December 2014.
Copyright 2014, American Concrete Institute.
Reference to this document shall not be made in contract
All rights reserved including rights of reproduction and use in any form or by any
documents. If items found in this document are desired by means, including the making of copies by any photo process, or by electronic or
the Architect/Engineer to be a part of the contract documents, mechanical device, printed, written, or oral, or recording for sound or visual reproduc-
they shall be restated in mandatory language for incorporation tion or for use in any knowledge or retrieval system or device, unless permission in
by the Architect/Engineer. writing is obtained from the copyright proprietors.

1
2 GUIDE FOR RESPONSIBILITY IN CONCRETE CONSTRUCTION (ACI 132R-14)

5.8Tests and inspections, p. 5 13.4Reliability, p. 10


5.9Owners requirements, p. 5 13.5Standards, p. 10
5.10Submittals, p. 5 13.6Report, p. 10
5.11Formwork, shoring, reshoring, and temporary
structures, p. 6 CHAPTER 14MULTIPLE-PRIME CONTRACTOR,
5.12Projects with design delegated to contractor, p. 6 p. 10
14.1Duties and responsibilities, p. 10
CHAPTER 6GENERAL CONTRACTOR, p. 6 14.2Coordination and cooperation, p. 10
6.1Construction, p. 6
6.2Review contract documents, p. 6 CHAPTER 15REFERENCES, p. 10
6.3Subcontractors, p. 6 Authored documents, p. 10
6.4Payments, p. 6
6.5Communication with subcontractors, p. 7 CHAPTER 1INTRODUCTION AND SCOPE
6.6Preconstruction meeting, p. 7
6.7Project site maintenance, p. 7 1.1Introduction
6.8Qualified personnel, p. 7 The responsibilities of each party in a concrete construc-
6.9Quality control, p. 7 tion project, including the responsibility for the owners
project objectives such as (in no particular order) schedule,
CHAPTER 7DESIGN/BUILDER, p. 7 functionality, and sustainability, should be adequately
7.1Design and construction, p. 7 described in the contracts between the parties. It is important
7.2Qualified personnel, p. 7 that the party controlling that process (usually the owner or
an owners representative) makes certain that the responsi-
CHAPTER 8SUBCONTRACTOR, p. 7 bilities of the parties are clear, coordinated, and consistent.
8.1Construction, p. 7 Clarity and consistency in the responsibilities defined in the
8.2Review contract documents, p. 7 contracts will reduce disputes.
8.3Payments, p. 8
8.4Contracts, p. 8 1.2Scope
8.5Prescriptive and performance specifications, p. 8 This guide describes the responsibilities of various parties
8.6Safety, p. 8 involved in the design and construction of concrete struc-
tures in the United States. While the document is primarily
CHAPTER 9SPECIALTY ENGINEERS AND directed to projects in the United States, the guidance
SUBCONTRACTORS, p. 8 presented may be applicable to contractual relationships
9.1Retention of specialty engineer, p. 8 addressing concrete construction in other parts of the world.
9.2Specialty engineer, p. 8 This guide is not intended to supersede contracts between
9.3Specialty subcontractor, p. 8 the parties. If there are inconsistencies between the parties
contracts and responsibilities defined in this guide, then the
CHAPTER 10CONCRETE MATERIAL SUPPLIER, contracts between the parties govern the relationships and
p. 8 responsibilities. One use of this guide would be to evaluate
10.1Concrete mixtures, p. 8 the balance of the responsibilities associated with concrete
10.2Consistent criteria, p. 9 construction.
10.3Contract compliance, p. 9
CHAPTER 2DEFINITIONS
CHAPTER 11TESTING/INSPECTION AGENCY, p. ACI provides a comprehensive list of definitions through
9 an online resource, ACI Concrete Terminology, http://
11.1Contract requirements, p. 9 www.concrete.org/Tools/ConcreteTerminology.aspx. Defi-
11.2Qualifications, p. 9 nitions listed herein compliment that source.
11.3Preconstruction meeting, p. 9 agent construction managerperson or entity who
enters into a contract with the owner to manage a construction
CHAPTER 12CONSTRUCTION MANAGER, p. 9 project, and generally does not act as a general contractor.
12.1Construction manager, p. 9 concrete material supplierentity that produces
12.2Construction manager at risk, p. 9 concrete and delivers it to the project in a freshly mixed and
12.3Agent construction manager, p. 9 unhardened state.
construction manager at riskentity or person that
CHAPTER 13FAILURE ANALYSIS CONSULTANT, enters into a contract with the contractors who perform the
p. 10 work and functions as a general contractor.
13.1Independence, p. 10 design/builderperson or entity that undertakes a
13.2Coordination, p. 10 combination of both design and construction for either an
13.3Expertise, p. 10 entire project or a significant portion of a project.

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GUIDE FOR RESPONSIBILITY IN CONCRETE CONSTRUCTION (ACI 132R-14) 3

failure analysis consultantperson or entity that inves- are referenced in the project documents. Model codes incor-
tigates failures or alleged deficiencies associated with the porate by reference, or by direct incorporation within the
design or construction of the work; the quality of construction body of the model code, the requirements of ACI 318 for
materials, practices, or both; or all of the aforementioned. concrete construction. General statements in specifications
general contractorperson or entity identified as such or contracts requiring compliance with codes are not appro-
in the agreement and is referred to throughout the contract priate unless such responsibility is delegated to a specialty
documents as if singular in number. subcontractor.
prime contractorperson or entity that has a contract One example of this situation would be a statement in a
directly with the owner for a discrete portion of the work, but specification that states the foundation subcontractor shall
is not a general contractor; this definition is applicable only design and install the footings in accordance with ACI 318.
when there are more than one entity with such a contract. In this particular case, the foundation subcontractor does not
specialty engineerlicensed design professional retained have the experience or the instructions from the owner to
by a contractor to design a delegated portion of the project. adequately execute this contract provision.
specialty subcontractorperson or entitythat is, Specifications and standards are documents intended
contractorwhose scope of work includes the design and to provide clear criteria for defining materials, design and
construction of a portion of the project. construction practices, and inspection and test methods.
standard of careis that level of skill and competence These documents provide an unambiguous basis for deter-
ordinarily and contemporaneously demonstrated by profes- mining the acceptability of a material or a process. They
sionals of the same discipline practicing in the same locale also effectively establish a part of the standard of care and
and faced with the same or similar facts and circumstances. standard practice. Like codes, specifications and standards
subcontractorperson or entitythat is, contractor are developed under a consensus process, subject to public
whose scope of work includes construction but not design of review, and written in mandatory language. While they are
a contractually defined portion of the project. not directly legally adopted, they are often invoked by refer-
testing/inspection agencyentity retained to perform ence in the model codes. For example, ACI 318 adopts a
tests and inspections required by the contract documents, number of ASTM standard specifications, including ASTM
applicable laws and regulations, or both. C94/C94M, which outlines the requirements for ready
mixed concrete. Another important specification relating to
CHAPTER 3DOCUMENTS REFERENCED IN concrete construction is ACI 301. Specifications and stan-
CONTRACT DOCUMENTS dards typically impose a relationship between the owner
There are many types of construction-related documents and general contractor or between a contractor and concrete
available to those developing contract documents and material supplier. Because they are written in mandatory
constructing concrete projects. These could include codes, language, it is appropriate to incorporate specifications and
ordinances, specifications and standards, sustainable rating standards in project contract documents. Specifications and
systems, reports and guides, industry publications, technical standards should be adopted in their entirety with exceptions
papers, and journal articles. While all of these documents clearly denoted in the contract documents.
can be relied on in the process of the design and construction The remaining document types, committee reports and
of a project, only certain of these document types should guides, industry publications, technical papers, and journal
be incorporated into the project contract documents. Refer- articles all contain valuable information to assist in the design
ences to inappropriate external documents can lead to ambi- and construction of concrete construction projects. These
guities that result in conflicts. This guide discusses the types documents are sometimes developed under a consensus, but
of external documents that should and should not be refer- are not written in mandatory language. Other nonconsensus
enced in contract documents. documents (Kosmatka and Wilson 2011) are also helpful in
Model building codes, such as the International Building providing guidance in construction and design. While these
Code (International Code Council 2012a), International documents provide general guidance and good practice,
Green Construction Code (International Code Council they often present several means and methods of accom-
2012b), Building Construction and Safety Code (National plishing an end result. The means and methods presented are
Fire Protection Agency 2012), and the International Resi- typically general in nature and may not apply to a specific
dential Code (International Code Council 2012c) contain project. These document types should not be directly incor-
the requirements for design and quality of materials and porated into contract documents. If specific information in
construction for construction projects. The requirements these documents needs to be incorporated into the contract
in these documents are intended to protect the public and documents, it must be rewritten in mandatory language and
set a minimum standard of performance. Lower standards directly inserted in the contract documents.
are not permitted. These documents are developed under
a consensus process, subject to public review, written in CHAPTER 4RESPONSIBILITIES OF OWNER
mandatory language, and can be adopted as a law by a juris-
diction (a city, county, and state). They establish criteria 4.1Project responsibility and authority
with which owners must comply. Because they are legally As the final decision-making authority, consistent with
adopted, they apply to a project regardless of whether they governing local building codes and regulations, the owner

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4 GUIDE FOR RESPONSIBILITY IN CONCRETE CONSTRUCTION (ACI 132R-14)

has ultimate responsibility for the entire project. Directly or that the appropriate decision-making authority between the
indirectly, all parties in the process report to the owner. design and the inspection and testing agency is established.
The owner is responsible for determining the amount of
4.2Definition of project field observations that the licensed design professional will
The owner is responsible for project definition, which provide, and the owner is responsible for paying an adequate
includes establishing the scope and objectives of the project. fee to allow for such field observations.
These include the overall budget and project schedule.
Further, the owner is responsible for clearly communicating 4.9Site safety
project requirements to the licensed design professional The owner is responsible for ensuring that the contract
developing the contract documents for the project. Should documents clearly assign responsibility for establishing
the project scope and objectives be changed, the owner safety measures to adequately protect the safety of personnel
should be prepared to accept the consequences of these involved on the project.
changes including, but not limited to, the project costs and
schedule. 4.10Environmental regulations
The owner needs to assign responsibility for review of and
4.3Funding for project compliance with environmental regulations, including the
Before entering into any stage of the project, the owner identification of all environmental issues impacting the site.
has a responsibility to ensure that the required funding, The owner has a responsibility to provide the funding and
including a reasonable contingency reserve, is available on fees to ensure that construction activities comply with envi-
a timely basis. ronmental regulations, or clearly delegate that responsibility.

4.4Real estate, rights of way, permits, and 4.11Payment


insurance The owner has a responsibility to make payments to all
The owner has a responsibility to provide the project site, parties in a timely manner upon completion of defined deliv-
all rights of way and easements for site access and utilities, erables in accordance with the contract documents.
all required construction-related permits, and insurance,
unless otherwise delegated in the contract documents. 4.12Project acceptance
The owner has a responsibility to ensure that criteria
4.5Scope and objectives of project for acceptance of the completed project are defined in the
The owner should establish the scope and objectives of contract documents. Required repairs, payments, and other
the project as set forth in the contract documents, including contingencies for noncompliance with project contract
establishment of the quality level expected of the construc- requirements should be established and enforced before
tion, performance standards, and any sustainability standards acceptance of the work. Periods of warranties for different
required by the owner beyond the minimum requirements aspects of the work should be established in the contract
in legally established codes and regulations. The owner is documents.
responsible for establishing a clear allocation of responsi-
bilities for achieving the scope and objectives of the project. 4.13Dispute resolution
The owner establishes consistent dispute resolution proce-
4.6Project management dures in the contracts among parties with whom the owner
It is the owners responsibility to establish the overall has contracted.
project management structure and to communicate clearly
management and decision-making authority. 4.14Multiple prime contracts and construction
management
4.7Design and construction team If the owner elects to construct the project using multiple
The owner has a responsibility to establish and to follow prime contractors (refer to Chapter 14), then the owner should
a fair and ethical procedure for selection of key members of assign responsibility for the following tasks. The following
the design and construction team, such as the licensed design tasks could be assigned to a construction manager, to one of
professionals, managers, general contractor, and construc- the multiple prime contractors, or to the owner itself.
tion managers. a) The overall project schedule, and updating and revising
schedules during performance of the work
4.8Quality assurance program b) The overall project budget, and updating and revising
The owner has a responsibility to retain an inspection and the budget during performance of the work
testing agency that can meet the requirements of the contract c) The overall coordination of the work between the
documents and applicable laws. The owner has a responsi- multiple prime contractors
bility to establish and fund, or assign the responsibility to d) The overall site safety program
establish and fund, an acceptable quality assurance program e) The assignment of the scope of work to the various
for the project. The owner has a responsibility to ensure multiple prime contractors so that all of the work is properly
assigned to a multiple prime contractor

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GUIDE FOR RESPONSIBILITY IN CONCRETE CONSTRUCTION (ACI 132R-14) 5

f) Project close-out, including collection and delivery of The licensed design professional is responsible for accom-
warranties to the owner and collection and delivery of opera- modating individual material, product, and element toler-
tions and maintenance manuals to the owner ances at their interface with concrete construction to ensure
g) Conducting project meetings tolerance compatibility.
h) Enforcement of contract terms and conditions of the
contract documents on behalf of the owner and overall 5.6Specifications
management of the construction project The licensed design professional has a responsibility to
i) Review of the drawings and specifications for construc- specify the types of materials required or permitted for the
tability and coordination before construction project that are consistent with the design intent and the
standard of care. The licensed design professional specifies
CHAPTER 5LICENSED DESIGN PROFESSIONAL project details that impact the installation procedures neces-
sary for the proper completion of the work. The licensed
5.1Professional services design professional is not responsible for specifying the
Licensed design professionals have a responsibility to contractors means, methods, techniques, sequences, or
perform all contractually required professional services, procedures, as those are the responsibility of the contractor,
including designing the work in accordance with the stan- unless they are key to the design so as to meet the owners
dard of care applicable to the location of the project. final criteria. If the licensed design professional does specify
Licensed design professionals have the duty to perform their means and methods, techniques, sequence, and procedures,
services in a manner consistent with the standard of care of then the responsibility for the outcome shifts from the
their profession. contractor to the licensed design professional.
The licensed design professional has a responsibility to
5.2Codes and regulations specify the exposure conditions, concrete properties, and any
Licensed design professionals have a responsibility to aspects of the constituent materials, placement, and curing
design the project in accordance with requirements of the plans that will materially affect the work. These can be speci-
governing codes, the standard of care, and the owners fied by a prescriptive method or by establishing performance
requirements if they exceed the requirements of governing criteria. The responsibility of the licensed design profes-
codes. sional in a combined performance and prescriptive specifi-
cation is to specify criteria that are consistent, compatible,
5.3Coordination and possible to perform. The licensed design professional
A lead licensed design professional has a responsibility has a responsibility to request and review submittals from
to coordinate its services, including the effect of tolerances the general contractor, construction manager, or appropriate
on other work, with that of other subconsultant licensed prime contractor to verify contract compliance.
design professionals. If the owner directly contracts with
other licensed design professionals, however, then the 5.7Field observation
owner needs to designate which licensed design professional The licensed design professional has a responsibility to
is responsible to coordinate the services of the multiple provide field observation if required contractually or by
licensed design professionals. applicable codes, regulations, or local laws.

5.4Design calculations 5.8Tests and inspections


The licensed design professional has a responsibility to The licensed design professional has a responsibility to
prepare design calculations as appropriate and consistent perform or delegate the performance of all inspections,
with the standard of care. The licensed design professional tests, and reviews of construction on-site if required by the
has a responsibility to issue or publish those calculations, if contract or by applicable codes, regulations, or laws.
required by the contract documents, applicable codes, regu- The licensed design professional should have authority
lations, or laws. over inspections, observations, and reviews of construction
as defined in the contract between the owner and the licensed
5.5Contract documents design professional and applicable law.
Contract documents prepared by licensed design profes-
sionals should include, at a minimum, plans and specifica- 5.9Owners requirements
tions. Contract documents should adequately describe the The licensed design professional should endeavor to fully
finished project and the final performance criteria of both understand the owners requirements and incorporate them
the components of the project and the completed project. into the plans and specifications.
According to Section 107.2.1 of the IBC, Contract docu-
ments need to be of sufficient clarity to indicate the location, 5.10Submittals
nature, and extent of the work proposed and show in detail The licensed design professional should identify submit-
that it will conform to the provisions of relevant codes and tals in the contract documents, and review them for general
laws, ordinances, rules, and regulations, as determined by compliance with contract requirements to the extent defined
the building official. (International Code Council 2012a). by the contract between the owner and the licensed design

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6 GUIDE FOR RESPONSIBILITY IN CONCRETE CONSTRUCTION (ACI 132R-14)

professional. The licensed design professional has a respon- subcontractors to perform portions of or all of the construc-
sibility to review requests for alternatives proposed by tion work as prescribed by the licensing authorities where
contractors, and respond where such is required. The extent the work is located. The general contractor is the person or
of the submittal requirement and review should be defined entity entrusted with overall planning, coordination, and
in the contract between the owner and the licensed design control of a project from inception to completion aimed at
professional. meeting a clients requirements to produce a functionally
and financially viable project, completed on time, within
5.11Formwork, shoring, reshoring, and authorized cost, and to the required quality standards.
temporary structures
The licensed design professional is not responsible for the 6.1Construction
design of formwork, shoring, reshoring, and other tempo- The general contractor has the responsibility to construct
rary structures or supports used during construction, unless the project in accordance with the contract documents and
assigned to the licensed design professional in their contract with the appropriate standard of care for general contractors
with the owner. in the geographical area of the work.
General contractors have no direct responsibility for engi-
5.12Projects with design delegated to contractor neering design requirements in building codes. General
Project contract documents may contain terms delegating contractors conform to code design requirements by building
a portion of the work to be designed and sealed by a licensed in accordance with the contract documents. General contrac-
design professional provided by the contractor (oftentimes tors have a right to assume that contract documents reflect
for a specialty subcontractor); that particular licensed design all applicable code and other owner-imposed requirements.
professional is referenced herein as a specialty engineer. If the contract documents require professional design
The division of responsibility between the licensed design services of systems or materials of the project by the
professional and the specialty engineer is usually established contractor, then that work should be designed by a specialty
as follows: engineer retained by the general contractor or specialty
a) The owners licensed design professional specifies the subcontractor. Refer to Chapter 9 for a description of the
performance and design criteria that the delegated work responsibilities of the specialty engineer, which apply
must satisfy. whether the specialty engineer works for the general
b) The specialty engineer is responsible for the design of contractor or for a specialty subcontractor.
its delegated work. Their signature and seal should appear The general contractor, or its designee, is responsible for
on all drawings, calculations, specifications, shop drawings, the design of all temporary structures associated with the
and other submittals prepared by the specialty engineer. project. This typically includes concrete formwork, false-
c) The owners licensed design professional reviews the work, shoring, reshoring, and support of adjacent structures
specialty engineers submittals for conformance with the that are impacted by construction operations.
specified performance and design criteria, and for integra-
tion of that delegated portion of the design concepts into the 6.2Review contract documents
project as a whole. The general contractor has a responsibility to review the
i. Any discrepancies noted during the review by the contract documents before construction and notify the owner
owners licensed design professional should be communi- or the owners designated representative in writing of any
cated to the contractor. errors, discrepancies, tolerance, or compatibility issues in
ii. Review of the specialty engineers submittals by the the contract documents identified at that time or throughout
owners licensed design professional does not normally the course of the project.
include a comprehensive review of the specialty engineers
work and should not be considered a validation of the 6.3Subcontractors
specialty engineers design. The general contractor has a responsibility to establish
Concrete elements for which the design might be dele- and to enter into contracts with subcontractors that do not
gated to a specialty engineer include, but are not limited to: conflict with the contract document requirements between
a) Precast/prestressed structural framing systems the general contractor and the owner. Contracts and purchase
b) Post-tensioning systems for cast-in-place structural orders between the general contractor and the subcontractors
framing should be consistent with the primary contract documents
c) Precast architectural cladding between the general contractor and the owner. The general
d) Tilt-up concrete wall panels contractor has the responsibility to ensure that no conflicts or
deviations result from these subcontracts.
CHAPTER 6GENERAL CONTRACTOR
The general contractor needs to perform the work in accor- 6.4Payments
dance with the contract documents. The general contractor The general contractor has a responsibility to make
is responsible for the day-to-day oversight of the construc- payments to subcontractors and suppliers required by the
tion site and management of vendors and trades. The general applicable contract.
contractor may self-perform some of the work or may use

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GUIDE FOR RESPONSIBILITY IN CONCRETE CONSTRUCTION (ACI 132R-14) 7

6.5Communication with subcontractors documents. In some instances, contract documents may


The general contractor has a responsibility to communi- specify a minimum level of quality control, including inspec-
cate in writing all project contract requirements relevant to tion and testing, that the general contractor has a responsi-
the subcontractors and to establish responsibility for each of bility to provide.
those items. If the general contractor identifies or becomes
aware of errors and items in the project documents that are CHAPTER 7DESIGN/BUILDER
inconsistent, incompatible, or impossible to perform from
the subcontractors, they have a responsibility to communi- 7.1Design and construction
cate such items in writing to the licensed design professional. The design/builder has a responsibility to execute both
The general contractor may suggest amendments to contract the design and construction requirements of the project,
documents to resolve these items and indicate the cost and including the coordination of the design with the construc-
schedule implications of such, if any. If a prescriptive speci- tion. The entity that undertakes a contract under this form
fication is used, communicate all requirements to the appro- may be a constructor, a licensed design professional, a
priate subcontractor, concrete material suppliers, or both. If developer, or other organization or entity.
a performance-based specification is used, determine who All design work needs to be done by licensed design
will be responsible for developing mixture designs or other professionals authorized to work in the location of the
criteria that will achieve the specified performance criteria. project. This is applicable whether design is done in house
If a combination of prescriptive and performance criteria by the design/builder or contracted to third parties by the
are specified, the licensed design professional is ultimately design/builder.
responsible for the specification. The general contractor, Inspection and testing for quality assurance and for confor-
however, should communicate with the owner and licensed mance to the completed plans and specifications should be
design professional immediately in writing if it becomes within the owners scope of responsibility to eliminate any
known to the general contractor that the combined prescrip- appearance of conflict of interest.
tive and performance criteria are inconsistent, incompatible,
or impossible to perform. 7.2Qualified personnel
The design/build contractor has a responsibility to comply
6.6Preconstruction meeting with the personnel qualification requirements stated in the
The general contractor should schedule preconstruc- contract documents for personnel involved in constructing
tion meetings with all parties involved to establish lines the project. The design/build contractor may delegate the
of communication and define and allocate responsibilities requirements for personnel qualifications to a subcontractor
(ASCC/NRMCA 2000). or concrete material supplier; however, the design/build
contractor is ultimately responsible for compliance with the
6.7Project site maintenance requirements of the contract documents.
The general contractor has a responsibility to maintain
the project site in compliance with local regulations and to CHAPTER 8SUBCONTRACTOR
ensure compliance with the contracts. The general contractor
has a responsibility to develop, maintain, and administer a 8.1Construction
site safety program for the work. The general contractor has Subcontractors have a responsibility to perform their
a responsibility to ensure that all staging and performance of scope of work in accordance with the contract documents
work by subcontractors are coordinated so as to reduce inter- and with the appropriate standard of care for subcontractors
ference among each entitys work and to ensure compliance in the geographical area of the work.
with the contract documents. The general contractor has a Subcontractors have no direct responsibility for engi-
responsibility to provide the necessary resources and access neering design requirements in building codes unless such
for inspection and quality assurance. design responsibility and scope are required by contract
documents (refer to Chapter 9). Subcontractors conform to
6.8Qualified personnel code design requirements by building in accordance with the
The general contractor has a responsibility to comply contract documents. Subcontractors have a right to assume
with the personnel qualification requirements stated in the that contract documents conform to applicable codes and
contract documents for personnel involved in constructing other requirements.
the project. The general contractor may delegate the require-
ments for personnel qualifications to a subcontractor or 8.2Review contract documents
concrete material supplier. The general contractor, however, Subcontractors should provide written notification of
has a responsibility to remain ultimately responsible for errors or discrepancies in the contract documents identified
compliance with the requirements of the contract documents. during the course of the project to the party with whom they
have a contract.
6.9Quality control
The general contractor should establish a quality control
program consistent with the requirements of the contract

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8 GUIDE FOR RESPONSIBILITY IN CONCRETE CONSTRUCTION (ACI 132R-14)

8.3Payments c) Design the work in accordance with the standard of care


Subcontractors have a responsibility to make agreed-upon for the design of similar works in that geographic area.
payments to sub-subcontractors and suppliers in accordance d) Prepare calculations, plans, and specifications for the
with the contract documents. delegated work that conform to all applicable building code
requirements, laws, and ordinances and with the specifica-
8.4Contracts tions prepared by the owners licensed design professional.
Subcontractors should enter into contracts with sub- e) In cases where the specialty engineer exercises profes-
subcontractors or concrete material suppliers that conform sional judgment and takes exception to the specified criteria
to the contract document requirements between the general or reference standards, these exceptions should be fully
contractor and the subcontractor. disclosed in writing. Final authority and responsibility
for decisions concerning structural design criteria usually
8.5Prescriptive and performance specifications belong to the owners licensed design professional.
For performance specifications, subcontractors have a f) Prepare submittals in accordance with the contract
responsibility to provide concrete, construction, or both, documents.
to achieve the specified performance criteria including all g) Evaluate reported deviations from design or tolerances
necessary design, if required. and assist in the correction of the deviations with design of
If a combination of prescriptive and performance criteria remedial measures for review and approval of the owners
is specified, the licensed design professional is responsible licensed design professional.
for the resulting outcome. The subcontractor should commu- h) Perform all contractually required inspections, obser-
nicate with the general contractor immediately in writing vations, and reviews of placing and shop drawings; review
if the combined prescriptive and performance criteria are the program for construction quality assurance, including
inconsistent, incompatible, or impossible to perform. inspections and testing, pertinent to the delegated portion
of the work and provide statement to client and owners
8.6Safety licensed design professional with approval or recommenda-
Subcontractors have a responsibility to comply with the tions for improvement.
projects safety and environmental program and, if required,
develop, maintain, and administer a site safety program or 9.3Specialty subcontractor
provide resources for environmental compliance in accor- In addition to the responsibilities of subcontractors
dance with local regulations and the contract documents. described in Chapter 8, additional responsibilities of
specialty subcontractors are as follows:
CHAPTER 9SPECIALTY ENGINEERS AND a) Review the delegated work for obvious errors or differ-
SUBCONTRACTORS ences from generally accepted standard practices.
b) Construct the work in accordance with the plans and
9.1Retention of specialty engineer specifications prepared by the specialty engineer and in
The party that retains a specialty engineer, whether it is accordance with the standard of care for the work.
the general contractor or a specialty subcontractor, should
confirm that the licensed design professional (specialty engi- CHAPTER 10CONCRETE MATERIAL SUPPLIER
neer) has demonstrated expertise, experience, or both, in the
delegated work to be designed. The specialty engineer needs 10.1Concrete mixtures
to be licensed to practice in the state where the project is The concrete material supplier has a responsibility to
located. develop concrete mixtures to comply with project specifica-
tions and the following.
9.2Specialty engineer 10.1.1 Use ingredient materials that comply with project
Examples of work for which a specialty engineer might be specifications.
responsible include the design and construction of precast 10.1.2 Develop or establish concrete mixtures to comply
concrete elements or the design and construction of a cast- with project specifications and placement requirements
in-place post-tensioned floor system. of the applicable general contractor, subcontractor, and
In addition to the responsibilities of the licensed design specialty subcontractor by trial or production batch evalua-
professional described in 5.12, additional responsibilities of tion. When the concrete material suppliers contract contains
specialty engineers are described as follows: only prescriptive requirements for the concrete mixture
a) Review the contract documents to determine the design composition, the concrete material supplier has a responsi-
criteria, intent, and applicable codes and standards. bility to develop mixtures in accordance with the standard of
b) Notify the licensed design professional, acting as struc- care for a concrete material supplier, but is not responsible
tural engineer of record, if the specialty structural engineer for performance characteristics intended or resulting from
discovers or perceives errors, omissions, ambiguities, or the prescriptive requirements.
potential conflicts in the contract documents, and request 10.1.3 When the concrete material suppliers contract
clarification. assigns a combination of prescriptive and performance
provisions on the concrete mixture, the concrete material

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GUIDE FOR RESPONSIBILITY IN CONCRETE CONSTRUCTION (ACI 132R-14) 9

supplier is responsible for furnishing material to the more CHAPTER 11TESTING/INSPECTION AGENCY
restrictive criteria but is not responsible for any assumed or
undefined performance characteristic that was intended to be 11.1Contract requirements
achieved by a prescriptive limit. Comply with the contractual requirements for testing and
10.1.4 When the concrete material suppliers contract inspection.
assigns performance criteria to the concrete mixture, these
criteria need to be clearly defined. It is the responsibility of 11.2Qualifications
the concrete material supplier to demonstrate compliance Comply with applicable qualification and licensing
with the criteria set forth in the concrete material suppliers requirements. At a minimum, agencies performing accep-
contract. In such cases, the concrete material supplier should tance tests on concrete should comply with ASTM C1077
have the right to retain confidentiality of the mixture compo- and agencies performing acceptance inspections of concrete
sition. The material supplier may require the entry into should comply with ASTM E329. Where applicable certi-
a confidentiality agreement with other parties if there is a fications exist, the inspectors or technicians should be so
requirement to review the actual constituents. certified.
10.1.5 Collect and develop documentation of ingredient
materials certifications, concrete mixture proportions, and 11.3Preconstruction meeting
quality tests to be provided to the licensed design profes- Request and participate in preconstruction meetings to
sional or purchaser of concrete as required by the submittal establish or address the following:
requirements of the concrete material suppliers contract. a) Site safety requirements affecting the testing/inspection
agencys work
10.2Consistent criteria b) Responsibilities for scheduling of agency performing
The concrete material supplier should evaluate prescrip- plant or project site inspection and testing
tive, performance, and combined requirements in its contract c) Project site access and requirements
and communicate with the purchaser and installer of the d) Requirements and responsibilities for project site
concrete in writing if the required criteria are inconsistent, sampling
incompatible, or impossible to perform. e) Requirements and responsibilities for sample storage
The concrete material supplier has the responsibility to and security
communicate in writing to the party with which they have f) Communication protocol for inspection and testing
a contract of potential errors, omissions, and conflicts nonconformances
in contract documents (including the proposed concrete g) Report distribution and transmission method
mixture) if they have such knowledge consistent with the h) Requirements, authority, and responsibilities for accep-
standard of care in the local area of operation, or relative to tance or rejection of fresh concrete on site
constructability or service conditions of the structure.
CHAPTER 12CONSTRUCTION MANAGER
10.3Contract compliance
The concrete material supplier has a responsibility to 12.1Construction manager
produce and supply concrete in accordance with the require- The duties and responsibilities of the construction
ments of its contract and ensure the following: manager will be defined in the contract between the
a) Maintain production facilities, including concrete plants construction manager and owner. In general terms, construc-
and concrete mixing trucks, in conformance with applicable tion managers may be either construction managers at risk,
standards, such as ASTM C94/C94M or AASHTO M 157. or agent construction managers.
b) Manage materials and production practices that facili-
tate quality and maintain batch-to-batch uniformity. 12.2Construction manager at risk
c) Supply concrete in conformance with the concrete mate- The duties and responsibilities of the construction manager
rial suppliers contract and standard practice in the local area at risk are the same as those under responsibilities of the
of the work. Conform to the requirements of ASTM C94/ general contractor (refer to Chapter 6).
C94M for production and delivery of ready mixed concrete
or the requirements in contract documents that are more 12.3Agent construction manager
restrictive. The duties and responsibilities of an agent construction
d) Maintain batch records and documentation of quality manager will vary and depend on the definitions in the
tests of concrete mixtures furnished to the project. contract. In general, those duties and responsibilities should
The concrete material supplier has no responsibility for include the following:
engineering design or for ensuring that the requirements a) Assume or assign responsibility for budgeting and cost
of concrete ordered comply with code requirements. The control on the project
concrete material supplier cannot generally bear responsi- b) Assume or assign responsibility for scheduling of the
bility for performance criteria not required by the concrete project
material suppliers contract.

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10 GUIDE FOR RESPONSIBILITY IN CONCRETE CONSTRUCTION (ACI 132R-14)

c) Assist the owner in the assignment and development of CHAPTER 14MULTIPLE-PRIME CONTRACTOR
appropriate construction contracts to assign responsibilities
normally assigned by the general contractor 14.1Duties and responsibilities
d) Review the contract documents and notify the owner The owner may elect to construct a project using multiple
or the owners representative of any errors or discrepancies prime contractors as opposed to a general contractor. In that
identified during the course of the project instance, each of the multiple prime contractors will have
e) Assist the owner in providing timely payments to the a direct contract with the owner. The duties and responsi-
contractors as project goals are met consistent with the bilities of a multiple prime contractor are those contained
applicable contracts in the contract between the owner and that multiple prime
f) Assume or assign responsibility for an overall on-site contractor. Those duties and responsibilities are usually
safety program for the work and the construction site assigned by reference to specific specification sections, typi-
g) Assume or assign responsibility for developing and cally in Construction Specifications Institute (2014) format.
implementing quality assurance and quality control programs For example, a multiple prime contractor would be assigned
the responsibilities covered by Section 03300 of Construc-
CHAPTER 13FAILURE ANALYSIS CONSULTANT tion Specifications Institute (2014), including the appro-
priate drawing references. The contract documents would
13.1Independence typically incorporate general conditions, along with the
The failure analysis consultant acts objectively and inde- concrete specification, Section 03300 in Construction Speci-
pendently of the client to ensure that the data, report, or both, fications Institute (2014) format, and the relevant drawings.
are not biased. Failure analysis consultants are not advocates
and should endeavor to avoid conflict of interests as required 14.2Coordination and cooperation
by their profession. A multiple prime contractor is responsible for performing
its scope of work and for cooperating and coordinating its
13.2Coordination work with those of other multiple prime contractors.
The failure analysis consultant coordinates and communi-
cates closely with the client (or clients agent), maintaining CHAPTER 15REFERENCES
confidentiality. Committee documents are listed first by document number
and year of publication followed by authored documents
13.3Expertise listed alphabetically.
The failure analysis consultant demonstrates specialized
expertise and experience in the assignment area. This could American Association of State and Highway Transporta-
include design, construction, or materials issues. tion Officials
AASHTO M 157-11Standard Specification for Ready-
13.4Reliability Mixed Concrete
The failure analysis consultant ensures that the techniques
used during an investigation are reliable and generally American Concrete Institute
accepted by the relevant scientific, engineering, or construc- ACI 301-10Specifications for Structural Concrete
tion community. ACI 318-11Building Code Requirements for Structural
Concrete and Commentary
13.5Standards
The failure analysis consultant considers all relevant ASTM International
standards and codes during the investigation and collects ASTM C94/C94M-13Standard Specification for
all relevant information and data to minimize assumptions. Ready-Mixed Concrete
They also evaluate all plausible explanations of causes and ASTM C1077-13Standard Practice for Agencies Testing
effects and develop objective and unbiased opinions based Concrete and Concrete Aggregates for Use in Construction
on the available evidence. and Criteria for Testing Agency Evaluation
ASTM E329-13Standard Specification for Agencies
13.6Report Engaged in Construction Inspection, Special Inspection, or
The failure analysis consultant provides a written report if Special Inspection
requested by the client. They have a responsibility to report
all of the data and other information collected during the Authored documents
investigation to the client (or clients agent) if requested. ASCC/NRMCA, 2000, Checklist for the Concrete Pre-
This could include site observations, photographs, field Construction Conference, ASCC, St. Louis, MO, 18 pp.
notes, calculations, reference documents, and any other Construction Specifications Institute, 2014, Master-
materials used in the investigation. Format 2012, CSI, Alexandria, VA, http://www.csinet.org/
numbersandtitles (accessed Nov. 26, 2014).
International Code Council, 2012a, International
Building Code, ICC, Washington, DC, 722 pp.

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GUIDE FOR RESPONSIBILITY IN CONCRETE CONSTRUCTION (ACI 132R-14) 11

International Code Council, 2012b, International Green Kosmatka, S. H., and Wilson, M. L., 2011, Design and
Construction Code, ICC, Washington, DC, 110 pp. Control of Concrete Mixtures, fifteenth edition, Portland
International Code Council, 2012c, International Resi- Cement Association, Washington, DC, 444 pp.
dential Code, ICC, Washington, DC, 904 pp. National Fire Protection Agency, 2012, Building
Construction and Safety Code NFPA 5000, NFPA, Quincy,
MA, 625 pp.

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As ACI begins its second century of advancing concrete knowledge, its original chartered purpose
remains to provide a comradeship in finding the best ways to do concrete work of all kinds and in
spreading knowledge. In keeping with this purpose, ACI supports the following activities:

Technical committees that produce consensus reports, guides, specifications, and codes.

Spring and fall conventions to facilitate the work of its committees.

Educational seminars that disseminate reliable information on concrete.

Certification programs for personnel employed within the concrete industry.

Student programs such as scholarships, internships, and competitions.

Sponsoring and co-sponsoring international conferences and symposia.

Formal coordination with several international concrete related societies.

Periodicals: the ACI Structural Journal, Materials Journal, and Concrete International.

Benefits of membership include a subscription to Concrete International and to an ACI Journal. ACI
members receive discounts of up to 40% on all ACI products and services, including documents, seminars
and convention registration fees.

As a member of ACI, you join thousands of practitioners and professionals worldwide who share
a commitment to maintain the highest industry standards for concrete technology, construction,
and practices. In addition, ACI chapters provide opportunities for interaction of professionals and
practitioners at a local level.

American Concrete Institute


38800 Country Club Drive
Farmington Hills, MI 48331
Phone: +1.248.848.3700
Fax: +1.248.848.3701
www.concrete.org
38800 Country Club Drive
Farmington Hills, MI 48331 USA
+1.248.848.3700
www.concrete.org

The American Concrete Institute (ACI) is a leading authority and resource


worldwide for the development and distribution of consensus-based
standards and technical resources, educational programs, and certifications
for individuals and organizations involved in concrete design, construction,
and materials, who share a commitment to pursuing the best use of concrete.

Individuals interested in the activities of ACI are encouraged to explore the


ACI website for membership opportunities, committee activities, and a wide
variety of concrete resources. As a volunteer member-driven organization,
ACI invites partnerships and welcomes all concrete professionals who wish to
be part of a respected, connected, social group that provides an opportunity
for professional growth, networking and enjoyment.

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