The Architect's Role from Design to Construction Close-Out

steel tank construction supervision activity image from site construction

An architect’s role does not stop when the drawings are done. It runs from the first client meeting to the day the last payment is released. Yet most writing covers only one part of that path: design, or site work, or handover.

In this article I follow the whole path, from design to construction close-out. I use my own practice in the Gulf, where I have worked for more than 25 years. I compare it with the American standard procedure for architects. I also look at one real Western project record: the public inquiry into the Edinburgh schools.

The comparison shows where each system places its checks, who holds authority at each step, and where problems can slip through. My 12-step series covers the site work in detail. You can start with the introduction.

Who does the work

In my Gulf practice, the design team sits inside the consultancy. A department head and a lead architect meet the client first. The lead architect directs the design. Senior architects, architects and draughtsmen develop it. At the end of each stage, the lead architect writes a design report.

On site, a different team takes over. A resident engineer, who is a civil engineer, heads the supervision team. The assistant resident engineer is an architect and reports to him. The site architect and the inspector work under the assistant resident engineer. I describe these roles in Team building, The architect and Responsibilities.

The consultant is the multidisciplinary firm behind all of this. It covers architecture, civil, structure and MEP, so one firm carries the design from first sketch to tender. The consultant explains how clients choose such firms and how architects are chosen for supervision.

For the American side I use the standard owner-architect agreement. It divides the architect’s basic services into five phases: schematic design, design development, construction documents, procurement and construction.

The whole path in one table

Stage	Gulf practice	American procedure
Before design	Brief meeting with the client; team structure explained	Briefing sits outside the five basic phases
Concept design	Form sketches and zoning; client and authority approve	No separate phase; it belongs with the start of schematic design
Schematic design	Functional plans; structure and MEP start in parallel; client, then authority, approve	Schematic design; the owner approves in writing
Final and detail design	Constructable details; final approval brings the stamp and building permit	Design development, then construction documents
Tender	Invitation to approved contractors; stamped drawings, specifications and an unpriced bill of quantities; sealed bids	Procurement: the architect assists the owner with bids and award
Construction	Resident team with four activities; authority approvals at set steps	Construction administration of the contract
Handover	Authority inspections, then the building completion certificate	Substantial completion, then final completion
After handover	One-year maintenance period; 10 percent withheld	Warranty starts at substantial completion; retainage is released under the contract

Design: three stages in the Gulf, three phases in the United States

In the Gulf, every design stage goes into the authority’s online system. The authority approves the stages one by one. It checks each stage against the municipality rules and the parcel design guidelines. Where the two conflict, the municipality rules win.

Concept design

After the award, the department head and the lead architect meet the client. They learn the project context and explain the team structure. The program and brief are handed over or sent by email. Back in the office, the lead architect briefs the team and shares out the work.

The lead architect or a senior architect starts the concept. It has two parts: a sketch of the external form, and a zoning of the building functions. One architect turns the program into zones. He checks the municipality rules and the parcel guidelines. These cover built-up area, plot coverage, setbacks, the location of the substation and LV room, and the power tie point. He aims to meet the standard measures and, where possible, to go beyond them. A second architect builds the 3D model and the presentation. The lead architect checks the quality as the work moves.

When the compliance check is complete, the team prepares the submittal. The lead architect writes the stage report. The package goes online to the client. One architect opens a project file for the authority and uploads the drawings to the municipality website. The municipality replies in about two weeks, with an approval or comments. The team revises the design until the stage is approved.

The American standard form has no separate concept phase. Many architects treat concept design as a step before schematic design, or as its first part. The architect starts by reviewing the owner’s program and the codes that apply. The architect then tells the owner about any inconsistencies. The architect also helps the owner with the filings that the authorities need.

Schematic design

After the concept is approved, the lead architect meets the team and shares out the stage work. One architect turns the zoning plans into functional plans. He follows the client program and the lead architect’s sketches. Take a building with 25 two-bedroom flats, 20 one-bedroom flats and the rest studios. The architect fits that mix into the floors. He also plans services, vertical circulation, fire safety and egress, all to the standards in the agreement.

When the layout is final, the drawings go to the firm’s server. The structure and MEP teams then start their own schematic design. They work while the architects continue to develop the plans. The lead architect holds formal meetings to settle problems. When all agree, the team fixes the drawings and finalizes them. The presentation architect prepares the 3D views. The lead architect writes the stage report.

The drawings and report go to the client by email for approval. After that, the architect for authority approvals uploads them. At every step, the team keeps the authority rules in mind. Civil defense approval needs special care.

Schematic design is the first of the five American phases. The architect prepares drawings such as a site plan and preliminary plans, sections and elevations. They can include study models or sketches. The drawings also note early choices of major systems and materials. Structural, mechanical and electrical engineering belong to the architect’s basic services. The form expects the architect to give cost estimates and to design to the owner’s budget. The architect may not start the next phase until the owner approves the schematic documents in writing.

Final and detail design

The lead architect shares out the work again. The architects develop the plans to a constructable level of detail. That means railings, staircases, false ceilings, doors and windows, the building envelope, walls, furniture layouts, flooring and bathrooms. A detailing architect builds the details for all building parts. The plans carry section and elevation marks, detail locations and finishing materials. The lead architect coordinates with the other disciplines and handles any change. The presentation architect prepares the final 3D views. The lead architect writes the stage report.

Specifications and quantities grow alongside the drawings. Each discipline starts its general and particular specifications at schematic design and finishes them in this stage. The quantity surveyor finalizes the bill of quantities with every discipline. The contracts division starts the first draft of the contractor agreement. Every submittal carries the specifications and the bill of quantities.

The final set and report go to the client. When the client approves, the architect for authority approvals uploads the set for final approval and the building permit. The consultant then gets an email, pays the fees and downloads the approved drawings. Those stamped drawings are the construction drawings.

The American form spreads this work over two phases. In design development, the architect develops the approved schematic design, adjusts the cost estimate and asks for the owner’s approval. The architect may not start construction documents until the owner approves in writing. The construction documents phase begins when the owner gives written notice. In it, the architect prepares the drawings and specifications that set out the detailed requirements for construction. The architect also assists the owner with the filings that authorities require.

Tender and contract award

After the municipality approves, the firm builds a list of contractors already approved for this kind of job. It writes an invitation letter to each one and asks if the contractor wants to bid. When a contractor replies, he collects the full set. It holds the drawings approved and stamped by the municipality, the general and particular specifications stamped by the client, and a bill of quantities without prices.

Bidders submit their prices in closed envelopes. The client and the consultant open them together and check the prices. Every bidder has already passed the screening, so the client chooses the one to proceed. The consultant then prepares the contract between the client and the contractor.

The American procurement phase follows the owner’s approval of the construction documents. The architect helps the owner set up a list of prospective contractors and obtain bids or proposals. The architect checks that the bids respond to the requirements and helps determine the successful bid. The architect then assists with the award and prepares the construction contracts. The construction phase begins at award.

The main difference is timing. In my practice the screening comes before the bid. In the American form, the architect checks the bids after they arrive.

Construction: how the architect supervises

On site, my practice rests on four activities: monitor, control, review and inspect. My article on supervision activities describes them. Monitoring means daily and progress meetings, weekly reports and tracking submittals. Control means briefing the team, checking the contractor’s manpower and coordinating with civil and MEP work. Review means checking submittals, meeting minutes and updates to the contractor’s plan. Inspection means checking each architectural activity when the contractor completes it.

Three habits keep this system working.

First, approvals pass through levels. The site architect makes an initial review of a submittal. The assistant resident engineer gives the final approval for architectural items. Responsibilities sets out each role.

Second, instructions follow a chain. Day-to-day talk with the contractor’s team is direct. A formal instruction must be written, signed and sent through the assistant resident engineer or the resident engineer. The projects and Contractor and communication explain why this protects both sides.

Third, inspection is planned ahead. The assistant resident engineer marks the tasks that need supervision in the contractor’s schedule. The site architect and the inspector then plan their checks, including checks of the preparation work before a task starts. Schedules and meetings shows how the schedules pass down the team.

The authorities add their own gates. A contractor needs approval to start excavation, piling, raft slabs and upper slabs. Steel and shuttering are inspected after completion. The architect’s team prepares much of this paperwork. See Regulations, standards and quality for details. Before work starts, the site architect also reviews the contract, the drawings and the specifications. The project site covers that review.

Team size follows the project size and the fee. Why supervision explains why architects choose this career path.

The American phase is called construction administration. The architect administers the construction contract for the owner. Public owners spell out the tasks in their requests for proposals. One county library request expects site visit reports based on on-site observations. It also expects the architect to verify that the completed project matches the final plans and specifications, and to hand over record documents at the end. San Antonio Public Library posts monthly construction reports. They show bi-weekly progress meetings for the owner, architect and contractor, and the architects’ issue of substantial completion.

Handover and close-out

In the Gulf, handover is driven by the authorities. The consultant applies online and pays a fee. The municipality sets an inspection date. The consultant, contractor, subcontractors, authority and client attend. The authority’s architecture team checks the whole building against the approved drawings. It looks at layouts, stairs and railings, lift dimensions, facades, parking and landscape. Civil defense then tests the fire alarm and firefighting systems. The water, electricity and telecom authorities follow.

When all of them approve, the consultant uploads the approvals, the as-built drawings, earlier no-objection certificates and client letters. After the final fees, the authority issues the approval and the building completion certificate. My article on project handover describes each step.

The contract then adds a maintenance period. The contractor must maintain the building for one year after completion, by law and by contract. The client withholds 10 percent of the contract value. If nothing goes wrong, the contractor receives it after the year. If defects appear, the owner can hire someone to fix them and deduct the cost from the 10 percent. Or the contractor can fix them and then receive it.

At the end of the year, the consultant side inspects. Each discipline attends for its own topic: architecture, civil, structure, MEP and others. They complete one form. The consultant then issues the letter that releases the 10 percent. In the projects I have worked on, no defects were documented after close-out. That is my experience, not a rule.

The American procedure has two milestones. Substantial completion is the point where the work is complete enough for the owner to occupy and use the building for its intended purpose. The architect prepares the certificate, and the architect, owner and contractor sign it. It usually starts the warranty periods. Final completion comes when the contractor has finished all the work, including the corrective items from substantial completion. The team normally checks this through a final inspection.

Public owners then accept the work formally. In the examples listed by one Washington municipal advisory service, a council or an authorized officer accepts the project. Some resolutions also authorize the release of retainage. State manuals, such as the Illinois manual, list the architect’s closeout package, including record drawings and final payment.

A real Western case: the Edinburgh schools

A public record shows what happens when supervision is weak. On 29 January 2016, about nine tons of masonry fell from a gable wall at Oxgangs Primary School in Edinburgh. No one was hurt. The inquiry said that was a matter of timing and luck. Later surveys found similar defects in the external walls of 16 other schools built under the same public-private partnership contract. All 17 schools closed, and 8,371 pupils moved to other places.

Professor John Cole, an architect, led the inquiry. He found that the main cause was poor construction of the wall. The wall ties did not reach the required depth in the outer brick layer. Three things were wrong: the laying of the bricks and ties, the direct supervision of that work, and the quality assurance of the contractors. He concluded that the people responsible either did not inspect the work properly or inspected it and failed to act.

He also found that the client had relied too much on others. The council had no properly resourced and independent scrutiny of the building work. The independent certifier did not provide it either. Certifiers visit less often and for shorter times than a clerk of works, and they do not look at quality in the same detail. Cole argued that clients should add independent inspection, especially by clerks of works. He also noted that architects and engineers were present on site less often. Some witnesses linked this to the wish to cut fees.

Other findings matter to any practicing architect. On the first phase of schools, the architects had no direct contract with the builders. Formal communication to the builders ran through the joint venture’s managers. As-installed drawings were not kept as the contract required, so repairs took longer. Building control inspectors did not normally check wall ties. Some schools were occupied before their completion certificates, and two never received them. The defects period for the four phase 2 schools had not ended, so the main contractor still had to fix the defects at Oxgangs. That shows the defects period at work.

What the comparison shows

Five points stand out.

Checks must happen before work is closed up. Cole noted that expert visual inspections of finished walls found no sign of the defects. My resident team inspects preparation work and each completed activity, which is one way to catch such problems in time.
Independence matters. Cole argued that clients cannot hand away the duty of independent scrutiny. In my practice the consultant’s resident team plays that role for the client.
Approvals work as gates. In the Gulf the authority approves every design stage and many construction steps. At Edinburgh, building control had limited time for site inspection. A gate only helps if the reviewer has time and detail.
Records protect everyone. Edinburgh lost time because as-installed drawings were missing. In my practice the as-built drawings are part of the handover package.
Fees shape inspection. Cole heard that fee cuts reduce inspection. In the Gulf, too, team size follows the fee. Each system needs a way to protect inspection when budgets are tight.

A note on sources. Public records rarely include an architect’s site reports or submittal logs. For the Western side I used the standard form, the requirements that public owners publish, and the Edinburgh inquiry. For the Gulf side I used my own documented practice.

Sources and further reading

External sources:

The full 12-step series:

The Architect’s Role from Design to Construction Close-Out: Gulf Practice vs the American Procedure