CCDC 24 is accompanied with model forms which are intended to be used in the project administration aspect of a project. These model forms are also offered in softcopy form, on your CD-Rom, for ease of use. See the directory “forms” on your CD-Rom for all the model forms. These forms are intended to assist and provide a format for development of clear and concise project specific documents that are used in conjunction with other CCDC contract document forms widely used in our industry today. These forms are sufficiently flexible to be used or modified to suit specific project or contract conditions. The words and terms used in the printed document and in these forms are designed to provide consistent and accurate meanings with other CCDC documents. Standard construction document CCDC 1996 a guide to model forms and support documents (for use with CCDC 2 - 1994) Canadian construction documents committee Standard Construction Document CCDC 24 – 1996 TABLE OF CONTENTS ________________ Page INTRODUCTION Page 1 CHANGE PROCESS 21 23 PREQUALIFICATION OF CONTRACTORS 2 Contractor's Qualification Statement Standard Form – Guideline – Checklist – CCDC 11 (See Appendix A) 2 Proposed Change Form – Guideline – Checklist – Model Form Change Order Form – Guideline – Checklist – Model Form 25 Change Directive Form – Guideline – Checklist – Model Form 27 Summary of Changes Form – Guideline – Checklist – Model Form 29 Combined Proposed Change and Change Order Form – Guideline – Checklist – Model Form 31 NOTIFICATION PROCESS 33 Notice Form – Guideline – Checklist – Model Form 33 WARRANTY NOTIFICATION 36 Warranty Notice Form – Guideline – Checklist – Model Form 36 Product Warranty Notice Form – Guideline – Checklist – Model Form 38 FINANCIAL INFORMATION REQUIRED OF THE OWNER 4 Project Financial Information Standard Form – Guideline – Checklist – CCDC 12 (See Appendix B) 4 PAYMENT PROCESS 7 Application For Payment Form – Guideline – Checklist – Model Form 8 Schedule of Values and Work Performed Form – Guideline – Checklist – Model Form 10 Certificate For Payment Form – Guideline – Checklist – Model Form 13 Statutory Declaration Standard Forms – Guideline – CCDC 9A, 9B, and 9C (See Appendix C) 17 Certificate of Substantial Performance – Guideline – Checklist 18 SUPPLEMENTAL INSTRUCTION PROCESS 19 Supplemental Instruction Form – Guideline – Checklist – Model Form 19 APPENDIX A CCDC 11 – Contractor's Qualification Statement B CCDC 12 – Project Financial Information C CCDC 9A, 9B, and 9C – Statutory Declaration Forms CCDC Copyright 1996 D Definitions In CCDC 2 – 1994 Standard Construction Document CCDC 24 – 1996 A GUIDE TO MODEL FORMS AND SUPPORT DOCUMENTS (for use with CCDC 2 – 1994) INTRODUCTION The CCDC Stipulated Price Contract Form, CCDC 2 – 1994 (CCDC 2), refers either expressly or by implication to a number of administrative processes and forms. The purpose of this Guide is to assist users of CCDC 2 in meeting the administrative requirements outlined in that standard Contract Form by providing examples of model forms for these processes. For each model form the Guide contains: • a brief explanation of each of the administrative processes involved, • a short narrative description to guide users of the form, • a list of items which should be included in the form, and • an example of a model form. Most of the administrative requirements contained in CCDC 2 are also common to both CCDC 3 – Cost Plus Contract Form and CCDC 4 – Unit Price Contract Form. The information in this Guide therefore also may be of assistance to users of CCDC 3 and CCDC 4. The model forms may require revision when used with CCDC 3 and CCDC 4 to ensure conformity with the specific administrative requirements of those standard Contract Forms. The Committee emphasizes that reference should be made to the actual Contract Form with respect to the appropriate administrative requirements to be applied. For information as to use of CCDC 2 – 1994, refer to CCDC 20 – 'A Guide to the Use of CCDC 2 – 1994'. With the exception of the Standard Forms CCDC 11 – `Contractor's Qualification Statement' (Appendix A), CCDC 12 – `Project Financial Information' (Appendix B), and CCDC 9A, 9B, and 9C – `Statutory Declaration Forms' (Appendix C), users may reproduce or reprint the Model Forms for this purpose. Users may consider colour-coding the Model Forms for ease of identification in contract administration. Many Owners, Consultants, and Contractors successfully use their own administrative forms for contract administration. The Committee encourages the use of forms which are compatible with CCDC documents and contain the same information as outlined in this guide. The content of existing forms should be reviewed to ensure that they contain the required information identified in the checklist. NOTE: This Guide refers to capitalized and italicized terms which are defined in the DEFINITIONS in CCDC 2 – 1994 and are reproduced in Appendix D. CCDC 24 – 1996 1 PREQUALIFICATION OF CONTRACTORS For a Project involving complex work or a tight schedule, the Owner may call for prequalification prior to bid call by requesting Contractors to submit their qualifications. This allows preselection of those Contractors who are best qualified for the Project. Contractor's Qualification Statement Standard Form Guideline Care should be taken when determining prequalification criteria to request information relevant to the preselection review. The Owner may choose to request additional qualifications to those specified in the Contractor's Qualification Statement in order to suit specific Project requirements. These additional qualifications can be inserted in the space provided or in additional pages if required. All the qualifications should be carefully investigated based on a predetermined set of criteria. The Contractor may indicate in the statement certified qualifications of the Contractor and the Contractor's employees. These include quality management, quality assurance programs, and construction safety programs or records. CCDC 11 – `Contractor's Qualification Statement', as shown in Appendix A, is the Standard Form for obtaining information on capacity, skill, and experience of contractors bidding on construction projects. Checklist The completed Contractor's Qualification Statement Standard Form includes: • A statement: – indicating that the document is intended to provide information on the capacity, skill, and experience of the Contractor – reminding the Contractor to supplement information requested with additional sheets if required • Project number • Title and location of the Project • Name, address, and contact numbers of the Consultant receiving the qualification statement • Name, address, and contact numbers of the Contractor submitting the qualification statement • Legal structure of the Contractor: – year established – joint venture or not – corporation, partnership, registered, sole proprietor, or other – names and titles of officers, partners, or principal • Financial references from a bank: – name, address, and contact numbers – name of contact person(s) 2 CCDC 24 - 1996 • Financial references from a bonding company: – name, address, and contact numbers – name of contact person(s) • A list of annual value of construction work for the past five years • A list of principal projects completed in the past five years. For each principal project include the following: – title and location – description – project value – completion date – name, contact person, and contact numbers of the owner – name, contact person, and contact numbers of the consultant • A list of similar or related projects completed. For each related project include the following: – title and location – description – project value – completion date – name, contact person, and contact numbers of the owner – name, contact person, and contact numbers of the consultant • A list of major construction projects underway as of the date of submission. For each project include the following: – title and location – description – project value – scheduled completion date – percent completed – name, contact person, and contact numbers of the owner – name, contact person, and contact numbers of the consultant • A list of key office personnel proposed for the Project attached with resumes of qualifications and experience (e.g. principal in charge, project manager, estimator, etc.) • A list of key site personnel proposed for the Project attached with resumes of qualifications and experience (e.g. project manager, supervisor, foreman, etc.) • Space for insertion of additional qualifications required by the Owner or certified qualifications (e.g. quality management, quality assurance programs, construction safety programs or records) indicated by the Contractor • Signature of the Contractor declaring that the information provided is true and correct to the best of the Contractor's knowledge • Date of the statement CCDC 24 – 1996 3 FINANCIAL INFORMATION REQUIRED OF THE OWNER Paragraph 5.1.1 of GC 5.1 – FINANCIAL INFORMATION REQUIRED OF THE OWNER entitles the Contractor, at the Contractor's discretion, to request the Owner to furnish reasonable evidence that financial arrangements have been made to fulfill the Owner's obligations under the Contract. Such request may be made prior to execution of the Agreement, and/or promptly from time to time thereafter. Paragraph 5.1.2 requires the Owner to notify the Contractor in writing of any material change in the financial arrangements during the performance of the Contract. GC 7.2 – CONTRACTOR'S RIGHT TO STOP THE WORK OR TERMINATE THE CONTRACT entitles the Contractor to stop the Work or to terminate the Contract where the Owner fails to comply with the requirements specified in GC 5.1. The Contractor, however, must give 5 days' written notice to the Owner, prior to taking any action, in order to allow the Owner an opportunity to remedy the default. Project Financial Information Standard Form Guideline In any contractual venture, each party has legitimate interest and responsibility in ascertaining whether the other party is fully capable of performing all of its contractual obligations. In the relationship between the Owner and the Contractor, the Owner may request financial statements and bank references from a Contractor, and may require bonding which guarantees fulfilment of both Project performance and payment obligations. The proven ability to pay is just as important as a proven ability to perform. A Contractor, therefore, has an equally valid interest in receiving assurances that an Owner has arranged sufficient funds to make payments in accordance with the terms of the Contract. Should financial commitment be required before signing the Contract, the Contractor has the option of signing the Contract but not commencing the Work until the Owner provides acceptable evidence of financial arrangements. Evidence of financial arrangements should be not only for the total amount payable by the Owner to the Contractor, but also for contingencies such as changes. If there is no financial arrangement in the Contract for contingencies, then as changes or extras arise, the Contractor may make a separate request for evidence of financial arrangements pertaining to the change. The Owner should establish a procedure for notifying the lender of changes. The Contractor may require the following types of information from the Owner: Owner Information – Identify the Owner and its legal structure, i.e. the ultimate responsibility for payment. 4 CCDC 24 - 1996 Property Information – Identify whether the Owner holds legal title to the Project property. The Contractor should have the correct name of the property owner and the legal description of the property if a lien has to be filed. Project Financing Information – Acceptable evidence of financial arrangements might include a construction loan commitment that sets forth the conditions and requirements of the loan, a lender's `set aside' letter that represents the acknowledgement by the lender as to the amount available for construction draws, a credit report, a corporate resolution or governmental appropriation, or other equally positive documentation that the Owner has made provision for sufficient funds to fulfill the Owner's obligation under the Contract. CCDC 12 – 'Project Financial Information', as shown in Appendix B, provides a Standard Form for obtaining information, which in most cases should be sufficient for permitting the Contractor to ascertain the Owner's financial arrangement. Checklist The completed Project Financial Information Standard Form includes: • Title of the Project • Location of the Project Owner Information • Legal name • Address and contact numbers • Name of contact person(s) • Legal structure (corporation/partnership/individual/other) Property Information • The Owner's interest in the property (fee simple, lease, etc.) • Name of party holding legal title to the property (if other than the Owner) • Legal description of the property • Legal structure of title holder (corporation/partnership/individual/other) Project Financing Information If financed by construction loans: • Name, address, and contact numbers of the lender(s) • Name of contact person(s) • Type of loan(s) • Amount of loan(s) • Terms of loan(s) If financed by government funding (direct or government guaranteed): • Name, address, and contact numbers of the governmental agency • Name of contact person(s) • Type of funding (grant/loan/debenture issue) • Program under which funding provided • Amount of funding • Terms of grant or loan CCDC 24 – 1996 5 If other sources of funds: • Description (Owner's equity, syndication proceeds, etc) If bank references are provided: • Name, address, and contact numbers • Name of contact person(s) Support Information At least one of the following should be provided: • Construction loan agreement • Lender's 'set-aside' letter acknowledging amount of loan proceeds to be applied only to draw for the construction contract • A bank letter evidencing financial arrangements made to fulfill the Owner's obligations under the Contract • Owner's audited financial statement • Other evidence of the source of funding Information regarding comparable projects completed by the Owner or its related entities Signature of the Owner declaring that: – the information is true and correct to the best of the Owner's knowledge – the Contractor is entitled to rely upon the accuracy of such information – the Owner shall notify the Contractor in writing of any material change in the Owner's financial arrangements during the performance of the Contract 6 CCDC 24 - 1996 PAYMENT PROCESS ARTICLE A-5 – PAYMENT in CCDC 2 – 1994 states that the Owner shall make progress payments to the Contractor on account of the Contract Price when due in the amount certified by the Consultant. GC 5.2 – APPLICATIONS FOR PROGRESS PAYMENT provides that the Contractor may make applications for payment monthly to the Consultant. The requirements for applications are described in that General Condition. The Contractor submits to the Consultant the completed Application for Payment Form, along with the schedule of values and Work performed, and backup material required for certification. Paragraph 5.2.3 requires the Contractor to submit to the Consultant, prior to the first application for payment, a schedule of values for the various parts of the Work to facilitate evaluation of future applications for payments. In addition, paragraph 5.2.5 obligates the Contractor on each application to submit a statement based upon this schedule. The schedule of values is a breakdown of the Contract Price which assists the Consultant and Owner in the systematic review of the application and to complete the certificate required under paragraph 5.3.1 of GC 5.3 – PROGRESS PAYMENT. Paragraph 5.2.2 of GC 5.2 – APPLICATIONS FOR PROGRESS PAYMENT provides that the applications for progress payment shall be dated the last day of the agreed payment period, which does not have to be the last day of a calendar month. GC 5.5 – PAYMENT OF HOLDBACK UPON SUBSTANTIAL PERFORMANCE OF THE WORK describes how the Contractor may apply for the payment of holdback amount after the issuance of the Certificate of Substantial Performance of the Work. Paragraph 5.5.1 of GC 5.5 – PAYMENT OF HOLDBACK UPON SUBSTANTIAL PERFORMANCE OF THE WORK states that together with an application for payment for the release of holdback monies, the Contractor shall submit a sworn statement that all accounts for labour, subcontracts, Products, construction machinery and equipment, and other indebtedness which may have been incurred by the Contractor in the Substantial Performance of the Work and for which the Owner might in any way be held responsible have been paid in full, except for amounts properly retained as a holdback or as an identified amount in dispute. Although not required in CCDC 2 – 1994, some owners may request the Contractor to submit similar sworn statements for the second and subsequent applications for progress payment. CCDC 24 – 1996 7 Application For Payment Form Guideline The Contractor is required by the Contract to submit the application for progress payment to the Consultant. The supporting documentation format must conform to the agreed schedule of values. Documentation which adequately supports the claim allows the Consultant to compare the values of Work performed to the schedule of values, and will facilitate the issuance of the Certificate of Payment. The Consultant may require supplementary documentation or breakdowns to justify the Contractor's claim. The Contractor is advised to review the application for payment with the Consultant before submission to expedite the application process. Agreement on format, categories, support documentation, number of copies, and handling method, etc. will speed up the review process. Checklist The completed Application for Payment Form should include: • Application number (which should be sequential) • Date of the application • Time period covered by the application • Reference number(s) (Owner, Consultant, or Contractor's Project number or other reference) • Name and address of the Contractor • Contractor's registration number for Value Added Taxes such as the Goods and Services Tax and the Quebec Sales Tax • Name and address of the Consultant • Name and address of the Owner • Title and location of the Work and Contract number if applicable • Total value of Work performed and Products delivered to the Place of the Work at the end of the period covered by the application • Applicable statutory holdback rate • Total holdback amount • Holdback released • Holdback retained (Total holdback amount less holdback released) • Total amount claimed at the end of period covered by the application (Total value of Work performed and Products delivered to the Place of the Work less holdback retained at the end of the period covered) • Total certified amount from the previous certificate for payment, noting the previous certificate number and date of issuance • Total amount claimed current period (Total amount claimed at the end of period covered less total certified amount from the previous certificate for payment) • Value Added Taxes • Total amount payable current period including Value Added Taxes • Signature of the person submitting the application 8 CCDC 24 - 1996 APPLICATION FOR PAYMENT Contractor: ______________________________________ Application number: GST registration number: ___________________________ Date: Consultant: Period covered: from to Owner: Reference number(s): Work: Work: title and location Total value of Work performed and Products delivered to the Place of the Work at the end of period covered $ Total holdback at % Holdback released $ (2) $ (3) Holdback retained (2-3) Total amount claimed at the end of period covered (1-4) Total certified amount from previous certificate for payment (1) $ (4) $ (5) $ (6) $ (7) $ (8) $ (9) number and date Total amount claimed current period (5-6) Value Added Taxes at % Total amount payable current period including Value Added Taxes (7+8) Submitted by the Contractor name and title of person signing CCDC 24 – 1996 Signature 9 Schedule of Values and Work Performed Form Guideline The Schedule of Values & Work Performed Form serves the following two purposes: The Schedule of Values Form The Contractor is required to submit to the Consultant, at least 14 days before the first application for payment, a schedule of values for the parts of the Work. It breaks down the Work to quantifiable elements with a total equal to the Contract Price. The Contractor prepares the schedule of values by filling in the Description and Total Amount of each item. A cost breakdown for mobilization, supervision, major trades, Products delivered to the Place of the Work, mechanical and electrical works, as-built drawings, and maintenance work facilitates the Consultant's review of the application for payment. When the Consultant accepts the schedule of values, it is to be used as the basis for applications for payment. The Schedule of Values and Work Performed Form The Contractor is required to include a statement based on the schedule of values with each application for payment. This includes the original breakdown for parts of the Work and items such as Change Orders and Change Directives. The Contractor is required to provide the percentage of the value of the Work performed for each item of the Work. Checklist The completed Schedule of Values Form should include: • Name and address of the Contractor • Title and location of the Work and Contract number if applicable • A list of items and their numbers that form the Work • For each individual item include the following: – Description of item (section number) – Amount included in the Contract Price • Page numbering The completed Schedule of Values and Work Performed Form should include: • Name and address of the Contractor • Title and location of the Work and Contract number if applicable • A list of items by number (parts of the Work), Change Orders, and Change Directives covered by the application • For each individual item include the following: – Item number (section number, Change Order number, or Change Directive number) – Description of item – Amount included in the Contract Price – Percentage of the value of the Work performed to end of period covered – Value of Work performed and Products delivered to the Place of the Work to end of period covered – Value of the Work previously performed and Products previously delivered to the Place of the Work 10 CCDC 24 - 1996 • • • • – Current value of the Work performed and Products delivered to the Place of the Work applied for – Balance to complete (Optional: The amount included in the Contract Price less the value of the Work previously performed and Products previously delivered to the Place of the Work) – Remarks may be used to show references and explanation of value claimed Application number Date of the application Time period covered by the application Page numbering CCDC 24 – 1996 11 12 12 CCDC 24- 1996 CCDC 24 1996 (Sub) Total Number Work: Contractor: Description Title and location Amount % Performed To Date Value Perviously Performed Value Period covered from Date: Application number: Current Period Value Balance to Complete Value to Page____ of_____ Remarks SCHEDULE OF VALUES AND WORK PERFORMED Certificate For Payment Form Guideline Paragraph 2.2.4 of GC 2.2 – ROLE OF THE CONSULTANT in CCDC 2 – 1994 states that the Consultant will review the Contractor's applications for payment, determine the amounts due, and issue a certificate for payment in the amount applied for or such other amount as the Consultant determines is properly due. Paragraph 5.3.1 of GC 5.3 – PROGRESS PAYMENT provides that if the Consultant amends the application, the Consultant is to notify the Contractor promptly in writing giving reasons for the amendment. The Certificate For Payment Form should provide the following distinct types of information for the benefit of the Owner and the Contractor: (1) the Consultant's certification in response to the Contractor's application for payment; (2) information as to the status of the Contract Price informing the parties to the Contract; (3) a payment summary informing the Owner of the amount payable to the Contractor for the period covered; and (4) optional: a place to record the Contractor's acknowledgement of the receipt of payment. The Contract Price may include a contingency allowance as described in GC 4.2 – CONTINGENCY ALLOWANCE. At the outset of the Project, this is an amount in the Contract to the benefit of the Owner, from which expenditures authorized by a Change Order may be deducted. As there are many variations of accounting for this process, the Contract Summary should be revised as necessary to document the adjustment of the contingency allowance and/or Contract amount. EXAMPLE: Contract Summary Original Contract Price Change Orders (numbers:______ ) $____________ (2) Current value of Change Directives included in the certified amount $ ___________ (3) Contingency Allowance $ ___________ (4) $___________ (1) Value of changes less contingency allowance (2+3-4) Value of Contract on the last day of the payment period (1+5) Value Added Taxes at _______% (5) (6) (7) Total amount payable for the construction of the Work including Value Added Taxes (6+7) (8) Alternatively, the Owner may add to the Contract amount by Change Order or Change Directive rather than expending the contingency allowance. CCDC 24 – 1996 13 The Consultant forwards the completed Certificate for Payment Form to the Owner, in the number of copies required by the Owner, together with the corresponding Application for Payment Form and the Schedule of Values and Work Performed Form as submitted or as modified as the case may be. It is recommended that copies of the completed Certificate for Payment Form be sent to the Contractor and that the Contractor acknowledges receipt of payment highlighting the date and amount by signing and returning copies of the certificate to the Consultant and the Owner for record purposes. Checklist The completed Certificate for Payment Form should include: • Certificate number • Reference number(s) (Owner, Consultant, or Contractor's Project number or other reference) • Name and address of the Consultant • Name and address of the Owner • Name and address of the Contractor • Title and location of the Work and Contract number if applicable • Statement by the Consultant to the Owner certifying the total value of Work performed and Products delivered to the Place of the Work as of the valuation date (exclusive of Value Added Taxes) • The signature (and in some jurisdictions the seal) of the Consultant • The date of issue • A Contract Summary showing: – Original Contract Price – Value of Change Orders issued – Current value of Change Directives included in the certified amount – The value of Contract on the last day of the payment period – Value Added Taxes – Total amount payable for the construction of the Work including Value Added Taxes • A Certification Summary showing: – The value of Work performed and Products delivered to the Place of the Work as of the valuation date – Applicable statutory holdback rate – Total holdback amount – Holdback released – Holdback retained (Total holdback amount less holdback released) – Amount (The value of Work performed and Products delivered to the Place of the Work less holdback retained as of the valuation date) – Amount from previous certificate for payment, noting the certificate number – Amount of Contract Price payable current period (The amount as of the valuation date less the amount from previous certificate for payment) – Value Added Taxes – Total amount payable current period including Value Added Taxes • Optional: a place to indicate the balance to certify (The value of Contract on the last date of the payment period less the value of Work performed and Products delivered to the Place of the Work as of the valuation date) 14 CCDC 24 -1996 • Optional: a place to indicate the Contractor's acknowledgement of receipt of payment EXAMPLE The Contractor acknowledges receipt of payment upon the______ day of _____________________ in the amount of $ ________________ CCDC 24 – 1996 15 CERTIFICATE FOR PAYMENT Consultant: ___________________________ Certificate number: ____________________ Owner: ___________________________ Reference number(s): __________________ Contractor: ___________________________ ____________________________________ Work: ___________________________ title and location This is to certify that the value of Work performed and Products delivered to the Place of the Work as of ___________________ is $ _________________(exclusive of Value Added Taxes). date Certified by the Consultant _________________________ name and title of person signing _______________________ _____________________ signature date of issue Contract Summary Original Contract Price Change Orders (numbers: ) Current value of Change Directives Included in the certified amount $ $ (2) $ (3) Value of Contract on the last day of the payment period (1+2+3) Value Added Taxes at % Total amount payable for the construction of the Work including Value Added Taxes (4+5) (1) $ $ Certification Summary Value of Work performed and Products delivered to the Place of the Work Total holdback at _____% $ ____________ (8) Holdback released $ ____________ (9) Holdback retained (8-9) Amount (value of Work performed and Products delivered to the Place of the Work (4) (5) $ (6) $ ________________ (7) $ _________________(10) $ _________________(11) Amount from previous certificate for payment (number: _________) $ _________________(12) Amount of Contract Price payable current period (11-12) $_________________ (13) Value Added Taxes at % $ _________________(14) (15) Total amount payable current period including Value Added Taxes $ less holdback retained) (7-10) (13+14) 16 CCDC 24 -1996 Statutory Declaration Standard Forms Guideline CCDC 9A – `Statutory Declaration' (Accompanies Contractor's application for release of holdback, security deposit, or both) is the Standard Form for sworn statements made by the Contractor as required in paragraph 5.5.1.2 of GC 5.5 – PAYMENT OF HOLDBACK UPON SUBSTANTIAL PERFORMANCE OF THE WORK when the Contractor applies for payment of the holdback amount after the issuance of the Certificate of Substantial Performance of the Work. CCDC 9B – `Statutory Declaration' (Accompanies the Contractor's or a Subcontractor's second and subsequent progress claims) is the Standard Form for sworn statements made by the Contractor or a Subcontractor when applying for the second and subsequent progress payments. The declaration confirms that all payment obligations incurred by the Contractor or a Subcontractor in performing the Work or subcontract work, up to the last payment application and for which the Owner might be held responsible, have been satisfied. CCDC 9C – `Statutory Declaration' (Accompanies a Subcontractor's application for release of holdback, security deposit, or both) is the Standard Form for sworn statements made by a Subcontractor when applying for release of holdback, subcontract security deposit, or both. The declaration confirms that all payment obligations incurred by the Subcontractor in performing the subcontract work, and for which the Contractor or the Owner might be held responsible, have been satisfied. These forms are shown in Appendix C. CCDC 24 – 1996 17 Certificate of Substantial Performance Guideline Substantial Performance of the Work is defined in the CCDC standard Contract Form to be '... as defined in the lien legislation applicable to the Place of the Work. If such legislation is not in force or does not contain such definition, Substantial Performance of the Work shall have been reached when the Work is ready for use or is being used for the purpose intended and is so certified by the Consultant'. The applicable lien legislation may prescribe the form to be used for the certification of substantial performance. In that event, the statutory prescribed form should be used. Checklist The completed certificate should include: • Name and address of the Contractor • Name and address of the Owner • Name and address of the Consultant • Title and location of the Work and Contract number if applicable • The Contract date • A statement that the Work of the Contract was substantially performed on a certain date • Description of the Work not yet performed at the date of Substantial Performance of the Work • Signature of the authorized person acting on behalf of the Consultant or Contractor as specified in the applicable lien legislation • Name and title of the person signing • Date of signing • The legal description of the property and any other information or statement that may be required by the lien legislation applicable to the Place of the Work • Professional seal if required by the legislation applicable to the Place of the Work 18 CCDC 24 -1996 SUPPLEMENTAL INSTRUCTION PROCESS Paragraph 2.2.9 of GC 2.2 – ROLE OF THE CONSULTANT describes the circumstances in which Supplemental Instructions are used. Supplemental Instructions are issued to record clarifications or interpretations in the Contract Documents or to give direction on a problem which evolves during the course of the Work. They may not be used if the instruction affects the Contract Price or Contract Time. Changes to the Contract Price and Contract Time are dealt with by Change Orders or Change Directives as provided in GC 6.2 – CHANGE ORDER and GC 6.3 – CHANGE DIRECTIVE. Supplemental Instruction Form Guideline The Supplemental Instruction is to be issued by the Consultant to the Contractor and a copy is sent to the Owner and other consultants. If the Contractor is of the opinion that the instruction affects the Contract Price or Contract Time, the Contractor must notify the Consultant in writing. Checklist The completed Supplemental Instruction Form should include: • Instruction number • Date of the instruction • Reference number(s) (Owner, Consultant, or Contractor's Project number or other reference) • Name and address of the Consultant • Name and address of the Contractor • Name and address of the Owner • Title and location of the Work and Contract number if applicable • A statement: – referring to paragraph 2.2.9 of GC 2.2 – ROLE OF THE CONSULTANT in CCDC 2 – 1994 which authorizes the issuance of the Supplemental Instruction – indicating that if the Contractor proceeds to work in accordance with this Supplemental Instruction, the Contractor acknowledges that there will be no change in the Contract Price and Contract Time – requiring the Contractor to promptly notify the Consultant if the Contractor believes that this Supplemental Instruction affects the Contract Price and Contract Time • Description of the Supplemental Instruction and list of attached specifications and drawings, if any • Signature of the Consultant issuing the Supplemental Instruction • Distribution list (Contractor, Consultant, Owner, other consultants, and file) CCDC 24 – 1996 19 SUPPLEMENTAL INSTRUCTION Consultant: __________________________________ Instruction number: ______________ Contractor: __________________________________ Date: _________________________ Owner: __________________________________ Reference number(s): ____________ Work: __________________________________ ______________________________ title and location The following instruction is issued to the Contractor in accordance with Paragraph 2.2.9 of GC 2.2 – ROLE OF THE CONSULTANT in CCDC 2 – 1994. Proceeding with work in accordance with these instructions indicates the Contractor's acknowledgment that there will be no change in the Contract Price and Contract Time. If the Contractor believes that this instruction affects the Contract Price or Contract Time, the Contractor shall promptly notify the Consultant. Description: Issued by the Consultant ______________________________ name and title of person signing _____________________________ signature distributed to: 20 CCDC 24 -1996 CHANGE PROCESS GC 6.1 – CHANGES in CCDC 2 – 1994 allows the Owner, through the Consultant, to make changes in the Work by Change Order or Change Directive. The following forms will facilitate this process in accordance with CCDC 2 – 1994. It is extremely important to identify properly and document changes in the Work with respect to both the Contract Price and Contract Time in all the forms mentioned below. Proposed Change Form This Form is a request to the Contractor to indicate the changes in the Contract Price and Contract Time as a result of proposed changes in the Work. If the Owner does not accept the Contractor's proposal for changes in the Contract Price and Contract Time, the Owner may issue a Change Directive if the proposed changes are within the general scope of the Contract Documents. Proposed changes in the Work must be identified, properly documented, and administered in accordance with the Contract Documents and should be tracked and cross-referenced with Change Orders. Change Order Form This Form is signed by the Owner and the Contractor recording their agreement upon a change in the Work, the amount or method of any adjustment in the Contract Price and the extent of any adjustment in the Contract Time. The specific additions, deletions, or other revisions to the Work must be accurately identified. This Form is also used to record agreement for: (1) an expenditure under a contingency allowance; (2) the adjustment to the Contract Price against the difference between the actual expenditure and the contingency allowance; and (3) the adjustment to the Contract Price against the difference between the actual cost and each cash allowance. Change Directive Form This Form is a signed instruction issued by the Owner directing a change in the Work within the general scope of the Contract Documents. It is issued to require the Contractor to proceed with a change in the Work prior to the Owner and the Contractor agreeing upon the adjustment in Contract Price and Contract Time. The specific additions, deletions, or other revisions to the Work must be accurately identified. After the Change Directive is issued, the parties may continue to negotiate and subsequently agree on the adjustment to the Contract Price and Contract Time, recording such agreement by a Change Order. CCDC 24 – 1996 21 Summary of changes This Form is intended for summarizing proposed and recorded changes to the Contract Price and Contract Time for the information of the Owner, Contractor, and Consultant. It reflects the status of the changes in the Work. Combined Proposed Change and Change Order Form This combined Form includes: (1) a request from the Owner to the Contractor to indicate the changes to the Contract Price and Contract Time as a result of proposed changes in the Work; (2) a reply outlining the Contractor's proposal for changes in the Contract Price and Contract Time; and (3) an agreement signed by the Owner and the Contractor for a change in the Work, the amount of any adjustment in the Contract Price and the extent of any adjustment in the Contract Time. This Form will be very useful for small or clearly delineated changes required by the Owner or for substitutions proposed by the Contractor. Support documentation can be attached and referenced in the form. 22 CCDC 24 -1996 Proposed Change Form Guideline Proposed changes need to be presented to the Contractor in a timely manner and in sufficient copies for distribution. It is important for the Consultant to provide a clear and complete description of the proposed changes. Sufficient time should be allowed for the Contractor to estimate the changes to the Contract Price and Contract Time for the proposed change in the Work. The Proposed Change Form should be sent by the Consultant to the Contractor and copied to the Owner and other consultants. Checklist The completed Proposed Change Form should include: • Proposed change number • Issue date of the proposed change • Reference number(s) (Owner, Consultant, or Contractor's Project number or other reference) • Name and address of the Consultant • Name and address of the Contractor • Name and address of the Owner • Title and location of the Work and Contract number if applicable • A statement: – referring to paragraph 6.2.1 of GC 6.2 in CCDC 2 – 1994 which authorizes a request for proposed change – requiring within a certain number of days a quotation from the Contractor concerning adjustments to the Contract Price and Contract Time – indicating that the Contractor shall not proceed with the proposed change unless a Change Order or Change Directive authorizing a change in the Work is issued • Description of the proposed change, including where appropriate, the reason for and the origin of the proposed change • Signature of the Consultant preparing the proposed change • Distribution list (Owner, Contractor, Consultant, other consultants, and file) CCDC 24 – 1996 23 PROPOSED CHANGE Consultant: __________________________________ Proposed change number: _________ Contractor: __________________________________ Date: _________________________ Owner: __________________________________ Reference number(s): ____________ Work: __________________________________ ______________________________ title and location Pursuant to paragraph 6.2.1 of GC 6.2 – CHANGE ORDER in CCDC 2 – 1994, indicate within _______days of the above date the changes to the Contract Price and Contract Time for the following proposed change in the Work. Do not proceed with the change without a Change Order or Change Directive authorizing a change in the Work. Description: Prepared by the Consultant _____________________________ ______________________________ name and title of person signing name and title of person signing signature signature distributed to: 24 CCDC 24 -1996 Change Order Form Guideline When the monetary consideration of a Change Order is to be applied against a contingency allowance, the Contract Price shall be: (1) unchanged, if the expenditures authorized against a contingency allowance are less than the amount stated in the Contract Documents; or (2) adjusted by such difference, if the expenditures authorized against a contingency allowance exceed the amount stated in the Contract Documents. Should the Contract Price not include a contingency allowance, delete or strike out the line and record the changes in Contract Price. The Consultant prepares and signs three copies of the Change Order for the Owner to sign. The Owner signs these copies and returns them to the Consultant, who then sends them to the Contractor. After signing, the Contractor returns two copies to the Consultant, who then transmits one copy to the Owner. Checklist The completed Change Order Form should include: • Change Order number • Date of the Change Order • Reference number(s) (Owner, Consultant, or Contractor's Project number or other reference) • Name and address of the Consultant • Name and address of the Owner • Name and address of the Contractor • Title and location of the Work and Contract number if applicable • A statement referring to paragraph 6.2.2 of GC 6.2 – CHANGE ORDER in CCDC 2 – 1994 which describes a Change Order as an amendment to the Contract stating the agreement between the Owner and the Contractor upon a change in the Work and the adjustments in the Contract Price and Contract Time • Description of the change to be made in the Contract by the Change Order, including reference to specifications, drawings, or other supporting data (reference to proposed change or Change Directive) to clarify the scope of the change • Contingency allowance adjustment, if applicable • Contract Price adjustment • Contract Time adjustment • Signature of the Consultant recommending the change in the Contract • Signature of the Owner approving the change in the Contract • Signature of the Contractor approving the change in the Contract CCDC 24 – 1996 25 CHANGE ORDER Consultant: _____________________________ Change Order number: _________________ Owner: _____________________________ Date: _______________________________ Contractor: _____________________________ Reference number(s): __________________ Work: _____________________________ ____________________________________ title and location Pursuant to paragraph 6.2.2 of GC 6.2 – CHANGE ORDER in CCDC 2 – 1994, the following is an amendment to the Contract stating the agreement between the Owner and the Contractor upon a change in the Work and the adjustments in the Contract Price and Contract Time. Description: The contingency allowance is increased/decreased by the sum of $ __________________ The Contract Price is increased/decreased by the sum of $ ___________________ The Contract Time is increased/decreased by Working Days Recommended by the Consultant name and title of person signing signature date Approved by the Owner __________________________ name and title of person signing ____________________ signature ________________________ date Approved by the Contractor __________________________ name and title of person signing 26 ____________________ signature ________________________ date CCDC 24 -1996 Change Directive Form Guideline It is recommended that the Consultant prepare three copies of Change Directive for the Owner to sign. These copies are then sent to the Contractor for acknowledgement. The Contractor is to retain a copy and return the other two signed copies to the Consultant. The Consultant, in turn, sends a copy signed by all parties to the Owner. Checklist The completed Change Directive Form should include: • Change Directive number • Date of the Change Directive • Reference number(s) (Owner, Consultant, or Contractor's Project number or other reference) • Name and address of the Consultant • Name and address of the Owner • Name and address of the Contractor • Title and location of the Work and Contract number if necessary • A statement: – referring to GC 6.3 – CHANGE DIRECTIVE in CCDC 2 – 1994 which authorizes the Owner to direct changes in the Contract – indicating that the adjustment to Contract Price will be established according to the provisions of paragraphs 6.3.2, 6.3.3, and 6.3.4 and the adjustment to Contract Time will be established according to the provisions of paragraph 6.3.6 • Description of the change to be made in the Contract by the Change Directive, including reference to specifications, drawings, or other supporting data to clarify the scope of the change • Signature of the Consultant preparing the Change Directive • Signature of the Owner issuing the Change Directive • Signature of the Contractor acknowledging the receipt of the Change Directive CCDC 24 – 1996 27 CHANGE DIRECTIVE Consultant: _________________________________ Change Directive number: _________ Owner: _________________________________ Date: _________________________ Contractor: _________________________________ Reference number(s): ____________ Work: _________________________________ ______________________________ title and location As provided in GC 6.3 – CHANGE DIRECTIVE in CCDC 2 – 1994, the Owner directs the Contractor to make the following changes in the Contract. The adjustment to Contract Price will be established according to the provisions of paragraphs 6.3.2, 6.3.3, and 6.3.4 of GC 6.3 and adjustment to Contract Time will be established according to the provisions of paragraph 6.3.6 of GC 6.3. Description: Prepared by the Consultant name and title of person signing signature date signature date signature date Issued by the Owner name and title of person signing Acknowledged by the Contractor name and title of person signing 28 CCDC 24 -1996 Summary of Changes Form Guideline The Consultant, as the administrator of the Contract, should maintain this form and review the status at the regular (monthly) application for payment meetings to incorporate the updated information in the Schedule of Values and Work Performed. This form or this type of information should be updated and distributed regularly upon the issuance of a Proposed Change, Change Directive, or Change Order. Checklist The completed Summary of Changes Form should include: • Name and address of the Consultant • Name and address of the Contractor • Name and address of the Owner • Title and location of the Work and Contract number if applicable • Updated number of the current version of the summary • Date of the updated summary • Reference number(s) (Owner, Consultant, or Contractor's Project number or other reference) • A list of Proposed Changes, Change Directives, and the numbered references • For each individual Proposed Change or Change Directive include the following: – Reference number – Description of the Proposed Change or Change Directive – Contractor's proposal for a change in Contract Price – Contractor's proposal for a change in Contract Time – Change Order number if applicable – Date of the Change Order if applicable – Agreed value of Change Order if applicable – Changes in Contract Time as recorded in the Change Order if applicable CCDC 24 – 1996 29 30 CCDC 24- 1996 Description Change Order Number Date of Change Order Reference Proposed Change or Change Directive Contract Price Increase (Decrease) Contract Time Increase (Decrease) Value of Change Order Contract Time Reference number(s): Owner: Contractor’s Proposal for A Change in Date: Contractor: Work: Summary number : Consultant: Remarks SUMMARY OF CHANGES Combined Proposed Change and Change Order Form Guideline This combined Form is designed for proposed changes that can be easily defined. It may be used to record an agreement for: (1) an expenditure under a contingency allowance; (2) the adjustment to the Contract Price against the difference between the actual expenditure and the contingency allowance; (3) the adjustment to the Contract Price against the difference between the actual cost and each cash allowance; and (4) the Contractor's proposed substitutions. This Form can also satisfy the specific administrative requirements of some Owners who need a proposed change from the Contractor before processing a Change Order. Checklist The completed Combined Proposed Change and Change Order Form should include: • Proposed change and Change Order number • Issue date of the proposed change • Reference number(s) (Owner, Consultant, or Contractor's Project number or other reference) • Name and address of the Consultant • Name and address of the Contractor • Name and address of the Owner • Title and location of the Work and Contract number if applicable • A statement: – referring to paragraph 6.2.1 of GC 6.2 in CCDC 2 – 1994 which authorizes a request for proposed change – requiring within a certain number of days a quotation from the Contractor concerning adjustments to the Contract Price and Contract Time – indicating that the Contractor shall not proceed with the proposed change until this form has been signed by the Owner • Description of the proposed change, including where appropriate, the reason for and the origin of the proposed change • Signature of the Consultant preparing the proposed change • The Contractor's proposed adjustment in the contingency allowance, if applicable • The Contractor's proposed adjustment in the Contract Price • The Contractor's proposed adjustment in the Contract Time • Signature of the Contractor proposing the adjustment • Signature of the Consultant recommending the change in the Contract • Signature of the Owner approving the change in the Contract • Signature of the Contractor approving the change in the Contract CCDC 24 – 1996 31 COMBINED PROPOSED CHANGE AND CHANGE ORDER Consultant: Contractor: ___________________________________ Proposed change and Change Order number: _____________________ ___________________________________ Date: _______________________ Owner: ___________________________________ Reference number(s): __________ Work: ___________________________________ title and location Pursuant to paragraph 6.2.1 of GC 6.2 – CHANGE ORDER in CCDC 2 – 1994, indicate within days of the above-noted date the changes to the Contract Price and Contract Time for the following proposed change in the Work. Do not proceed with the changes until this form has been signed by the Owner. Description: Prepared by the Consultant _____________________________ ___________________________ name and title of person signing signature Contractor's Proposal The contingency allowance is increased/decreased by the sum of $ ________________ The Contract Price is increased/decreased by the sum of $ _______________ The Contract Time is increased/decreased by ______ Working Days Proposed by the Contractor _____________________________ ____________________________ name and title of person signing signature __________________ date Recommended by the Consultant _____________________________ ____________________________ name and title of person signing signature __________________ date Approved by the Owner _____________________________ ____________________________ name and title of person signing signature __________________ date Approved by the Contractor _____________________________ ____________________________ name and title of person signing 32 signature __________________ date CCDC 24 – 1996 NOTIFICATION PROCESS CCDC 2 requires the parties to give notice under certain circumstances. The Notice Form will facilitate this process. It assists the parties in giving notice in accordance with the Contract Documents and serves to record same. Notice Form Guideline The parties should read carefully and refer in the Notice Form to the pertinent provision that requires notification. Consultation with legal counsel may be necessary to ensure full compliance with the Contract Documents. The Notice Form should be used whenever notice is given under CCDC 2 including but not limited to the following provisions of the Contract: • Paragraph 2.2.7 of GC 2.2 – ROLE OF THE CONSULTANT Written Notice of claims, disputes, and other matters in questions • Paragraph 2.3.2 of GC 2.3 – REVIEW AND INSPECTION OF THE WORK Notice of tests, inspection, or approvals • Paragraph 3.2.3.4 of GC 3.2 – CONSTRUCTION BY OWNER OR OTHER CONTRACTORS Report of affected work • Paragraph 3.4.1 of GC 3.4 – DOCUMENT REVIEW Report of error in the Contract Documents • Paragraph 3.11.6 of GC 3.11 – SHOP DRAWINGS Written Notice of revisions to the resubmission of shop drawings • Paragraph 5.1.2 of GC 5.1 – FINANCING INFORMATION REQUIRED OF THE OWNER Written Notice of material change in the Owner's financial arrangements • Paragraph 5.3.1 of GC 5.3 – PROGRESS PAYMENT Written Notice of amendment to the application for progress payment • Paragraph 6.4.1 of GC 6.4 – CONCEALED OR UNKNOWN CONDITIONS Written Notice of materially different concealed or unknown conditions • Paragraph 6.5.4 of GC 6.5 – DELAYS Written Notice of claim • Part 7 DEFAULT NOTICE Default Notice (because of the importance of this General Condition, the Owner and the Contractor should consult their legal and financial advisors on all matters before any action is taken under Part 7) • Paragraph 8.2.1.2 of GC 8.2 – NEGOTIATION, MEDIATION, AND ARBITRATION Written Notice requesting the appointment of Project Mediator • Paragraph 8.2.2 of GC 8.2 – NEGOTIATION, MEDIATION, AND ARBITRATION Written Notice of dispute against the Consultant's finding and reply of the responding party • Paragraph 8.2.5 of GC 8.2 – NEGOTIATION, MEDIATION, AND ARBITRATION Written Notice terminating the Mediation • Paragraph 8.2.6 of GC 8.2 – NEGOTIATION, MEDIATION, AND ARBITRATION Written Notice requesting the dispute be finally resolved by Arbitration CCDC 24 – 1996 33 • Paragraph 8.2.8 of GC 8.2 – NEGOTIATION, MEDIATION, AND ARBITRATION Written Notice requiring the dispute to be arbitrated immediately • Paragraph 9.2.2 of GC 9.2 – DAMAGES AND MUTUAL RESPONSIBILITY Claim in writing for damage related to the other party • Paragraph 9.2.3 of GC 9.2 – DAMAGES AND MUTUAL RESPONSIBILITY Notification requiring the Contractor to defend a claim by another contractor • GC 11.1 – INSURANCE Written Notice of cancellation, change, or amendment restricting coverage • GC 12.3 – WARRANTY Written Notice of observed defects and deficiencies that occur during the warranty period Checklist The completed Notice Form should include: • Name of the party that issues the notice (Owner, Contractor, or Consultant) • Name of the party to whom the notice is addressed (Owner, Contractor, or Consultant) • Address of the addressee (Owner, Contractor, or Consultant) • Title and location of the Work and Contract number if applicable • A statement referring to Article A-6 of the Agreement – RECEIPT OF AND ADDRESSES FOR NOTICES and to the particular General Conditions of the Contract between the Owner and the Contractor which authorize or reference the notice. • Signature of the party issuing the notice (strike out as appropriate) • Name and title of the person signing • Date of signing • Distribution list (Contractor, Owner, Consultant, other consultants, and file) 34 CCDC 24 – 1996 NOTICE From: _________________________________ Owner / Contractor / Consultant * To: _________________________________ Owner / Contractor / Consultant * Address: ___________________________ Work: _________________________________ title and location Pursuant to Article A-6 of the Agreement – RECEIPT OF AND ADDRESSES FOR NOTICES and General Conditions _____________________ of the Contract dated _____________________ between ________________________________________________________________________ and ____________________________________________________________________________ notice is hereby given that: (Particulars) Issued by the Contractor / Owner / Consultant * name and title of person signing signature date distributed to: * strike out as appropriate CCDC 24 – 1996 35 WARRANTY NOTIFICATION Paragraph 12.3.3 of GC 12.3 – WARRANTY states that, except for the provisions of paragraph 12.3.6 and subject to paragraph 12.3.2, the Contractor shall correct, at the Contractor's expense, defects or deficiencies in the Work which appear prior to and during the warranty periods specified in the Contract Documents. Paragraph 12.3.4 requires the Owner to give written notice, through the Consultant, to the Contractor of any observed defect or deficiency which occurs during the defined warranty period in the Contract. Paragraph 12.3.6 specifies that Product warranties be issued by the manufacturer to the benefit of the Owner. During the warranty period, the Owner should give written notice to the manufacturer of any observed defect or deficiency in an item warranted under a Product warranty. Warranty Notice Form Guideline Sufficient time should be allowed for the Contractor to commence the remedy of defects. The identification and numbering of warranty items will allow proper tracking. Before the end of the warranty period, the warranted items should be reviewed in the warranty inspection. Checklist The completed Warranty Notice Form should include: • Warranty notice number • Name of the Owner / Consultant (strike out as appropriate) • Name of the Contractor • Address of the Contractor • Title and location of the Work and Contract number if applicable • A statement: – referring to paragraph 12.3.4 of GC 12.3 in CCDC 2 – 1994 which requires the Owner to give written notice of observed defects and deficiencies that occur during the warranty period – requiring the Contractor to commence the correction of defects within certain number of days – requesting the Contractor to notify the Owner and Consultant upon completion of correction of defects • Description of the observed defect or deficiency • Signature of the Consultant / Owner issuing the notice (strike out as appropriate) • Date of signing • Distribution list (Contractor, Owner, Consultant, other consultants, and file) 36 CCDC 24 – 1996 WARRANTY NOTICE From: __________________________________ Notice number: ______________________ To: Address: Owner / Consultant * Contractor Work: title and location Pursuant to paragraph 12.3.4 of GC 12.3 – WARRANTY of the Contract dated _______________ between ________________________________________________________________________ and ____________________________________________________________________________ notice is hereby given of an observed defect or deficiency in the Work as outlined below. Commence correction of the said defect or deficiency within ______days, and notify the Owner and Consultant upon completion. Description: Issued by the Owner / Consultant * name and title of person signing signature date distributed to: * strike out as appropriate CCDC 24 – 1996 37 Product Warranty Notice Form Guideline Sufficient time should be allowed for the manufacturer to reply to the Owner. The identification and numbering of warranty items will allow proper tracking. Before the end of the warranty period, the warranted items should be reviewed in the warranty inspection. The Owner is advised to show the manufacturer GC 12 – WARRANTY of CCDC 2 and the Product warranty obtained from the manufacturer to expedite the process. Checklist The completed Product Warranty Notice Form should include: • Product warranty notice number • Name of the Owner / Consultant (strike out as appropriate) • Name of the manufacturer • Address of the manufacturer • Title and location of the Work and Contract number if applicable • A statement: – referring to the manufacturer's Product warranty – notifying the manufacturer of an observed defect or deficiency in the Product – requesting the manufacturer to respond within a certain number of days • Description of the observed defect or deficiency • Signature of the Consultant / Owner issuing the notice (strike out as appropriate) • Date of signing • Distribution list (Contractor, Owner, Consultant, other consultants, and file) 38 CCDC 24 – 1996 PRODUCT WARRANTY NOTICE From: Notice number: Owner / Consultant * To: Address: Contractor Work: title and location Pursuant to your Product warranty dated ________________ notice is hereby given of an observed defect or deficiency in the Product as described below. Please respond within _________days. Description: Issued by the Owner / Consultant * name and title of person signing signature date distributed to: * strike out as appropriate CCDC 24 – 1996 39 CCDC 24 - 1996 Appendix A Standard Construction Document - CCDC 11 - 1996 Copyright CCDC 1996 CONTRACTOR'S QUALIFICATION STATEMENT This document is intended to provide information on the capacity, skill, and experience of the Contractor. Applicant may supplement information requested with additional sheets if required. Project Number: __________________ Project Title and Location:__________________________________________________________________________ _________________________________________________________________________________________________ 1. Submitted to: Firm Name: ________________________________________________________________________________ Address: __________________________________________________________________________________ Phone: ______________________ Fax: __________________________ E-mail:_________________________ 2. Submitted by: Firm Name: ________________________________________________________________________________ Address: __________________________________________________________________________________ Phone: ______________________ Fax: __________________________ E-mail:_________________________ 3. Legal Structure of Contractor: Year Established: _______ Joint Venture: _________ Corporation ____, Partnership ____, Registered ____, Sole Proprietor ____, Other _______________________ Names and Titles of Officers, Partners, Principal: __________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 4. Financial References a. Bank Name: __________________________________________________________________________ Location: ____________________________________________________________________________ Contact Person(s): _____________________________________________________________________ Phone: _____________________ Fax: ________________________ E-mail: ______________________ b. Bonding Company: ____________________________________________________________________ Location: ____________________________________________________________________________ Contact Person(s): _____________________________________________________________________ Phone: _____________________ Fax: ________________________ E-mail: ______________________ CCDC 11 – 1996 File 00130 1 5. Annual value of construction work for the past five years: Year Value Year Value Year Value ______ $__________ _______ $__________ _______ $_________________ ______ $__________ _______ $__________ 6. Principal projects completed in the past five years. Listed in Appendix A. 7. Similar or related projects completed. Listed in Appendix B. 8. Major construction projects underway this date. Listed in Appendix C. 9. Key office personnel proposed for the project, attach resume of qualifications and experience: (e.g. Principal in Charge, Project Manager, Estimator, etc.) 10. Name Title / Position ______________________________________ _______________________________________________ ______________________________________ _______________________________________________ ______________________________________ _______________________________________________ Key site personnel proposed for the project, attach resume of qualifications and experience: (e.g. Project manager, Superintendent, Foreman, etc) Name Title / Position ______________________________________ _______________________________________________ ______________________________________ _______________________________________________ ______________________________________ _______________________________________________ I declare that the information provided is true and correct to the best of my knowledge. _______________________________________________________ name and title of contact person 2 _________________________________ date CCDC 24 – 1996 Principal projects completed in the past five years. APPENDIX A Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Owner: _______________________________ Date Completed: ___________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Owner: _______________________________ Date Completed: ___________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Owner: _______________________________ Date Completed: ___________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Owner: _______________________________ Date Completed: ___________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ CCDC 11 – 1996 File 00130 Fax: ___________________ Page__of__ Similar or related projects completed. APPENDIX B Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Owner: _______________________________ Date Completed: ___________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Owner: _______________________________ Date Completed: ___________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Owner: _______________________________ Date Completed: ___________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Owner: _______________________________ Date Completed: ___________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ 2 Fax: ___________________ CCDC 24 – 1996 Major construction projects underway as of the date of submission. APPENDIX C Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Scheduled Completion Date: _____________ Percent Completed: _____% Owner: __________________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Scheduled Completion Date: _____________ Percent Completed: _____% Owner: __________________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Scheduled Completion Date: _____________ Percent Completed: _____% Owner: __________________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Project Title and Location: __________________________________________________________________ ________________________________________________________________________________________ Description: ___________________________ Project Value: $____________________________________ Scheduled Completion Date: _____________ Percent Completed: _____% Owner: __________________________________________________________________________________ Refer to: ______________________________ Phone: _________________ Fax: ___________________ Consultant: _______________________________________________________________________________ Refer to: ______________________________ Phone: _________________ CCDC 11 – 1996 File 00130 Fax: ___________________ Page__of__ CCDC 24 - 1996 Appendix B Standard Construction Document- CCDC 12 - 1994 PROJECT FINANCIAL INFORMATION Project: ________________________________________________________________________________ Located At: _____________________________________________________________________________ OWNER INFORMATION Owner Legal Name: _____________________________________________________________________________ Address: ________________________________________________________________________________ City _______________________ Province _______________________ Postal Code ____________ Phone: (____)_____-__________________ Fax No: (____)_____-______________________________ Contact Person(s): _____________________________________________________________________ Legal structure of Owner (Corporation/Partnership/Individual/Other, please state): ________________________________________________________________________________________ Date of incorporation/establishment: _________________, Jurisdiction (Federal/Provincial): ___________ Representative(s) authorized to bind the Owner Name(s): ________________________________________________________________________________ ________________________________________________________________________________________ PROPERTY INFORMATION Owner's interest in property (fee simple, lease, etc.): _____________________________________________ ________________________________________________________________________________________ Name of party holding legal title to property on which project is to be constructed (if other than Owner): ________________________________________________________________________________________ Legal description of property (add separate sheet if more space required): ________________________________________________________________________________________ Legal structure of title holder (Corporation/Partnership/Individual/Other, please state): ________________________________________________________________________________________ PROJECT FINANCING INFORMATION (complete applicable sections) Construction Loans Lender(s) Name: __________________________________________________________________________________ Address: ________________________________________________________________________________ City ____________________ Province ____________________ Phone No: (____)_____-___________________ Postal Code ____________ Fax: (____)____-____________________________ Contact Person(s): ________________________________________________________________________ Type of loan(s): __________________________________________________________________________ Amount of loan(s): ________________________________________________________________________ Terms of loan(s): _________________________________________________________________________ Government Funding (Direct or Government Guaranteed) Governmental agency Name:___________________________________________________________________________________ Address: _________________________________________________________________________________ City __________________________ Province ____________________ Postal Code ___________ Phone: (____)_____-_____________________ Fax: (_____)_____-__________________________ Contact Person(s): __________________________________________________________________ Type of funding (Grant/Loan/Debenture Issue): __________________________________________________ If a grant, name of Grantee: __________________________________________________________________ Program under which funding provided: ________________________________________________________ Amount of funding: ________________________________________________________________________ Term of grant or loan: ______________________________________________________________________ Other sources of funds (Owner's equity, syndication proceeds, etc.) ___________________________________________________________________________________________ _____________________________________________________________________________________ Bank References Name: ___________________________________________________________________________________ Address: _________________________________________________________________________________ City ___________________________ Province ____________________ Postal code ___________ Phone: (____)_____-__________________ Fax: (_____)_____-_________________________________ Contact Person(s): ______________________________________________________________________ SUPPORT INFORMATION Indicate and provide one of the following: Construction Loan Agreement. Lender's "Set-Aside" Letter acknowledging amount of loan proceeds to be applied only to draw for the construction contract. A bank letter evidencing financial arrangements made to fulfill the Owner's obligations under the Contract. Owner's Audited Financial Statement. Other evidence of the source of funding. Provide information regarding comparable projects completed by the Owner or its related entities. I hereby declare that the information provided is true and correct to the best of my knowledge and I understand that the Contractor is entitled to rely upon the accuracy of such information. I shall notify the Contractor in writing of any material change in my financial arrangements during the performance of the Contract. ________________________________________________________________________________________ name of owner ________________________________________________________________________________________ signature ________________________________________________________________________________________ print name and title of person signing CCDC 12 – 1994 File 00340 CCDC Copyright 1994 CCDC 24 - 1996 Appendix C CCDC Document 9A Statutory Declaration TO BE MADE BY THE CONTRACTOR WHEN APPLYING FOR RELEASE OF HOLDBACK, SECURITY DEPOSIT OR BOTH UPON SUBSTANTIAL/TOTAL PERFORMANCE IN THE MATTER OF THE CONTRACT between ……………………………………………….. …………………………………..…, Owner and ….…………………………………………………. ……………………………………….…., Contractor for... …………………………………………………… ………………………………………………………… (insert title of the Work and the Project) I, ………………………..………………………….. of the ………… ..of …….………………………………. In the Province of ……………………………………………………….DO SOLEMNLY DECLARE: THAT I am ………………………………………. (See Note 1) of ……………………………………………. …………………………………………………………….……, the Contractor named in the Contract abovementioned, and as such have personal knowledge of the facts hereunder declared, and that all accounts for labour, subcontracts, products, construction machinery and equipment and other indebtedness which may have been incurred by the Contractor in the Performance of the Work (See Note 2) and for which the Owner might in any way be held responsible have been paid in full except holdback monies properly retained. AND I MAKE THIS SOLEMN DECLARATION conscientiously believing I to be true and knowing it is of the same force and effect as if made under oath. DÉCLARÉD before me at the………………………... ……………………….. of……………………………. In the ………………………………………………… of …………………………………. this……………... day of ……………………………. 19 …….………… Signed …………………………… ………………………………………………………… A Commissioner for Oaths, Notary Public, Justice of the Peace. NOTE 1: The Declaration must be made by the President, a Vice President, the Secretary, the Treasurer, or a Director of an incorporated company except that another individual may make the Declaration provided that two copies of the by-law issued under the Corporation seal authorizing such individual to execute documents accompanies the first Declaration on each Contract. For a partnership the Declaration must be made by one the partners and for a sole proprietorship the sole proprietor himself must make the Declaration. The position of declarant and the name of the Contractor must be clearly noted. NOTE 2: Other indebtedness shall mean only such debts incurred by the Contractor to persons in privity of contract with him, debts arising out of statutory requirements, and in the case of the Contractor's workers any debt arising out of collective bargaining agreements, legislation applying to worker's compensation, unemployment insurance, and minimum wage standards where applicable. CCDC 9A – 1982 File 00825 CCDC Document 9B Statutory Declaration TO BE MADE BY THE CONTRACTOR OR SUBCONTRACTOR TO ACCOMPANY THE SECOND AND SUBSEQUENT PROGRESS CLAIMS IN THE MATTER OF THE CONTRACT/SUBCONTRACT between……… …………………………………………………... ………………………………..…Owner/Contractor and..………….……………………………………………………. ……………….…………………….…., Contractor/Subcontractor for …..……………………..……………………………………… ………………………………..…………………………………… (Insert title of the Work and the Project) I, …………………………………….. of the ………… of …………………………………………………… In the Province of……………………………………….DO SOLEMNLY DECLARE: THAT I am ………………………………………. (See Note 1) of ……………………………………………. …………………………………………………………….……, the Contractor/Subcontractor named in the Contract/Subcontract abovementioned, and as such have personal knowledge of the facts hereunder declared, and that all accounts for labour, subcontracts, products, construction machinery, and equipment and other indebtedness which may have been incurred by the Contractor/Subcontractor in the Performance of the Work (See Note 2) and for which the Owner might in any way be held responsible have been paid in full under the said Contract/subcontract up to ………….. 19 …….., as set forth in Progress Claim No. ……., relating to Payment Certificate No. ……., except for (i) holdback monies properly retained, (ii) payments deferred by agreement, (iii) accounts withheld by reason of legitimate dispute. AND I MAKE THIS SOLEMN DECLARATION conscientiously believing it to be true and knowing it is of the same force and effect as if made under oath. DECLARED before me at the…………………...…… ……………………….. of……………………………. In the…. ……………………………………………… of …………………………………. This.……………. day of ……………………………….. 19 ……………. Signed …………………………….. ………………………………………………………… A Commissioner for Oaths, Notary Public, Justice of the Peace. NOTE 1: The Declaration must be made by the President, A Vice President, the Secretary, the Treasurer, or a Director of an incorporated company except that another individual may make the Declaration provided that two copies of the by-law issued under the Corporation seal authorizing such individual to execute documents accompanies the first. Declaration on each Contract/Subcontract. For a partnership the Declaration must be made by one of the partners and for a sole proprietorship the sole proprietor himself must make the Declaration. The position of the declarant and the name of the Contractor/subcontractor must be clearly noted. NOTE 2: Other indebtedness shall mean only such debts incurred by the Contractor/Subcontractor to persons in privity of contract with him, debts arising out of statutory requirements, and in the case of the Contractor's/Subcontractor's workers any debt arising out of collective bargaining agreements, legislation applying to worker's compensation, unemployment insurance, and minimum wage standards where applicable. 2 CCDC 24 – 1996 CCDC Document 9C Statutory Declaration TO BE MADE BY THE SUBCONTRACTOR WHEN APPLYING FOR RELEASE OF HOLDBACK, SECURITY DEPOSIT OR BOTH UPON USBSTANTIAL/TOTAL PERFORMANCE IN THE MATTER OF THE SUBCONTRACT between………. ……………………………………….. ……………………………………………, Contractor and..………….…………………………………………. ……………….………………………..…., Subcontractor UNDER THE CONTRACT between…….. …….…………………………………… …………………………..…………, Owner AND THE SAID CONTRACTOR for.. ……………………………………………………. …………………………………………………………. (insert title of the Work and the Project) I,…….. ………………………….. of the . ………… of ……………………………………………………...… In the Province of …………………………………..DO SOLEMNLY DECLARE: THAT I am …………………………………… (See Note 1) of ……………………………………………….. …………………………………………………… the Subcontractor named in the Subcontract abovementioned, and as such have personal knowledge of the facts hereunder declared, and that all accounts for labour, subcontracts, products, construction machinery and equipment and other indebtedness which may have been incurred by the Subcontractor in the Performance of the Work (See Note 2) and for which the Contractor or the Owner might in any way be held responsible have been paid in full except for holdback monies properly retained, and that the final amount of the Subcontract including all adjustments is $……………… AND I MAKE THIS SOLEMN DECLARATION conscientiously believing it to be true and knowing it is of the same force and effect as if made under oath. DÉCLARÉD before me at the……………………… ……………………….. of……………………….…. In the …………………………………………….… of ………………………………….this……………. day of ……………………………. 19 ……….….… Signed …………………………….. ………………………………………………………… A Commissioner for Oaths, Notary Public, Justice of the Peace. NOTE 1: The Declaration must be made by the President, a Vice President, the Secretary, the Treasurer, or a Director of an incorporated company except that another individual may make the Declaration provided that two copies of the by-law issued under the Corporation seal authorizing such individual to execute documents accompanies the first Declaration on each Subcontract. For a partnership the Declaration must be made by one of the partners and for a sole proprietorship the sole proprietor himself must make the Declaration. The position of the declarant and the name of the Subcontractor must be clearly note. NOTE 2: Other indebtedness shall mean only such debts incurred by the Subcontractor to persons in privity of contract with him, debts arising out of statutory requirements, and in the case of the Subcontractor's workers any debt arising out of collective bargaining agreements, legislation applying to worker's compensation, unemployment insurance, and minimum wage standards where applicable. CCDC 9A – 1982 File 00825 Standard Construction Document CCDC 24 – 1994 APPENDIX D DEFINITIONS IN CCDC 2 – 1994 1. Contract The Contract is the undertaking by the parties to perform their respective duties, responsibilities, and obligations as prescribed in the Contract Documents and represents the entire agreement between the parties. 2. Contract Documents The Contract Documents consist of those documents listed in Article A-3 of the Agreement – CONTRACT DOCUMENTS and amendments agreed upon between the parties. 3. Owner The Owner is the person or entity identified as such in the Agreement. The term Owner means the Owner or the Owner's authorized agent or representative as designated to the Contractor in writing, but does not include the Consultant. 4. Contractor The Contractor is the person or entity identified as such in the Agreement. The term Contractor means the Contractor or the Contractor's authorized representative as designated to the Owner in writing. 5. Subcontractor A Subcontractor is a person or entity having a direct contract with the Contractor to perform a part or parts of the Work, or to supply Products worked to a special design for the Work. 6. Supplier A Supplier is a person or entity having a direct contract with the Contractor to supply Products not worked to a special design for the Work. 7. Consultant The Consultant is the person or entity identified as such in the Agreement. The Consultant is the Architect, the Engineer, or entity licensed to practice in the province or territory of the Place of the Work. The term Consultant means the Consultant or the Consultant's authorized representative. 8. Project The Project means the total construction contemplated of which the Work may be the whole or a part. 9. Work The Work means the total construction and related services required by the Contract Documents. 10. Place of the Work The Place of the Work is the designated site or location of the Work identified in Article A-1 of the Agreement – THE WORK. 11. Product Product or Products means material, machinery, equipment, and fixtures forming the Work, but does not include machinery and equipment used to prepare, fabricate, convey, or erect the Work, which are referred to as construction machinery and equipment. 12. Provide Provide means to supply and install. 13. Contract Price The Contract Price is the amount stipulated in Article A-4 of the Agreement – CONTRACT PRICE. 14. Contract Time The Contract Time is the time stipulated in paragraph 1.3 of Article A-1 of the Agreement –THE WORK from commencement of the Work to Substantial Performance of the Work. 15. Working Day Working Day means a day other than a Saturday, Sunday, or a holiday which is observed by the construction industry in the area of the Place of the Work. 16. Supplemental Instruction A Supplemental Instruction is an instruction, not involving adjustment in the Contract Price or Contract Time, in the form of specifications, drawings, schedules, samples, models or written instructions, consistent with the intent of the Contract Documents. It is to be issued by the Consultant to supplement the Contract Documents as required for the performance of the Work. 17. Change Order A Change Order is a written amendment to the Contract prepared by the Consultant and signed by the Owner and the Contractor stating their agreement upon: – a change in the Work; – the method of adjustment or the amount of the adjustment in the Contract Price, if any; and – the extent of the adjustment in the Contract Time, if any. 18. Change Directive A Change Directive is a written instruction prepared by the Consultant and signed by the Owner directing a change in the Work within the general scope of the Contract Documents. 19. Substantial Performance of the Work Substantial Performance of the Work is as defined in the lien legislation applicable to the Place of the Work. If such legislation is not in force or does not contain such definition, Substantial Performance of the Work shall have been reached when the Work is ready for use or is being used for the purpose intended and is so certified by the Consultant. 20. Value Added Taxes Value Added Taxes means such sum as shall be levied upon the Contract Price by the Federal or any Provincial Government and is computed as a percentage of the Contract Price and includes the Goods and Services Tax, the Quebec Sales Tax and any similar tax, the payment or collection of which is by the legislation imposing such tax an obligation of the Contractor. Canadian construction documents committee The Canadian Construction Documents Committee is a joint committee composed of owner representation and representatives appointed by: The Association of Consulting Engineers of Canada The Canadian Construction Association The Canadian Council of Professional Engineers The Committee of Canadian Architectural Councils Construction Specifications Canada Committee policy and procedures are directed and approved by the constituent associations. Enquiries should be directed to: The Secretary Canadian Construction Documents Committee 75 Albert Street, suite 400 Ottawa, Ontario, Canada K1P 5E7
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