Supervision, Project Management and Professional Conduct
AIA A201-2017 General Conditions (Arts. 3, 7, 9, 12, 14, 15) · NASCLA Contractor's Guide to Business, Law and Project Management (13th ed.) · OSHA 29 CFR 1926 (Subparts C and M) and 29 CFR 1910.1200 · OSHA 29 CFR 1904 (recording and reporting) · OSHA 3824, Resource for Development and Delivery of Training to Workers · NICET Code of Ethics · NFPA 72-2022 §10.5 and Ch. 7 · IBC-2021 Ch. 1 (Scope and Administration) · Outline tasks 3.4.1, 3.4.2
What NICET expects at Level III
Task 3.4 covers the work that is neither wiring nor programming: running the job (3.4.1) and leading people (3.4.2). A Level III technician supervises Level I and II technicians, deals with owners, general contractors, engineers, and AHJs, and answers for schedule, cost, quality, safety, and ethics. The study references for this area (the NASCLA Contractor's Guide, 13th ed.; OSHA 3824; the NICET Code of Ethics; and, for contract language, AIA A201-2017 and the OSHA rules) are not allowed in the test center, so these items reward vocabulary, a handful of numbers, and judgment that you already carry with you. Expect "what should the lead do first?" scenarios plus short story problems (markup and margin, retainage, float, earned value).
3.4.1 Supervise work activities
Scheduling
- Gantt (bar) chart: shows start, finish, and duration clearly but shows dependencies poorly. A CPM network shows dependencies and reveals the critical path.
- Forward pass: an activity's early start (ES) is the largest early finish of its predecessors, and EF = ES + duration. Backward pass: late finish (LF) is the smallest late start of its successors, and LS = LF − duration. Total float = LS − ES. The critical path is the longest path and has zero float; slipping a non-critical activity by more than its float lengthens the project.
- Lead time for equipment is the time from order to delivery. Work backward from the date the item is needed: submittal date = need date − delivery − purchase-order time − review time.
- Resource leveling moves work inside its float so demand fits available labor. Crashing adds resources to the critical path (more cost): take the lowest cost per day on critical activities first and re-check the network. Fast tracking overlaps activities planned in sequence (more risk).
Cost control
| Item | Formula or rule |
|---|---|
| Price from markup | Price = cost × (1 + markup) |
| Price from margin | Price = cost ÷ (1 − margin); a 25% markup equals a 20% margin |
| Retainage | The withheld percentage applies to cumulative work: net due = work to date × (1 − retainage) − previous payments |
| Overhead, then profit | Overhead is a markup on cost, profit a margin on price: price = cost × (1 + overhead) ÷ (1 − profit margin) |
| Earned value | CPI = EV ÷ AC; SPI = EV ÷ PV; CV = EV − AC; SV = EV − PV; EAC = BAC ÷ CPI if current cost performance continues |
| Contract types | Lump sum: the contractor carries cost risk. Cost-plus and time-and-material: the owner carries it unless a not-to-exceed amount caps it. Unit price: pay by measured quantity |
Trap: markup is based on cost and margin is based on price. They are never the same number, and a bid priced with the wrong one loses money.
Contract documents and AIA A201-2017
| Topic | A201-2017 | Remember |
|---|---|---|
| Change Order | §7.2 | Written; records agreement on the change, the Contract Sum, and the Contract Time |
| Construction Change Directive | §7.3 | Directs a change before price and time are agreed; the Contractor proceeds promptly and states its position on the adjustment; if it disagrees, the Architect determines the adjustment (Claims: Art. 15) |
| Minor change | §7.4 | No change in sum or time |
| Concealed conditions | §3.7.4 | Notice before disturbing the condition and within 14 days (21 days in the 2007 edition) |
| Claims | §15.1.3.1 | Written notice within 21 days of the event or of recognizing the condition, whichever is later |
| Cost claims | §15.1.5 | Notice before proceeding with the Work (emergencies excepted) |
| Submittals | §3.12.6, §3.12.8 | No Work that requires a submittal until it is approved (§3.12.6); approval does not excuse deviations that were not called out (§3.12.8) |
| Stored materials | §9.3.2 | On-site storage is payable; off-site storage needs the Owner's advance approval, a written location, and title and insurance procedures |
| Stop work for nonpayment | §9.7 | Seven additional days' written notice to Owner and Architect |
| Substantial Completion | §9.8 | Owner can occupy or use the Work as intended; punch list at §9.8.2 |
| Correction period | §12.2.2.1, §12.2.5 | One year from Substantial Completion to correct nonconforming Work; special warranties are separate; the period does not limit the Contractor's other obligations (§12.2.5) |
| Termination | Art. 14 | Contractor: Work stopped 30 consecutive days through no fault of its own (§14.1.1), then seven days' written notice (§14.1.3). Owner for cause: seven days' notice (§14.2) |
An RFI is a written question answered in writing and kept in a log. It does not change price or time by itself: if the answer adds scope, ask for a change order or directive before you build it.
Business and legal topics (NASCLA style)
- Licensing: set by state and local law. Verify your subcontractors' licenses; unlicensed work can cost the right to enforce a contract or lien.
- Bonds: a bid bond backs the bid, a performance bond guarantees completion, and a payment bond guarantees that subcontractors and suppliers get paid. Liens cannot attach to public property, so payment bonds (the federal Miller Act and state "little Miller Acts") protect unpaid claimants on public jobs.
- Insurance: general liability (third-party injury and damage), workers' compensation (employees), builder's risk (the work itself), and professional liability (design errors, which general liability usually excludes).
- Liens and waivers: notice and filing deadlines vary by state. A conditional waiver is effective only when payment is received; an unconditional waiver is effective when signed.
- Bidding: competitive sealed bids go to the lowest responsive, responsible bidder. Acknowledge every addendum.
Quality, risk, and communication
- QA is the planned system that prevents defects; QC is inspection and testing that detects them. A hold point stops the next trade until the inspection is done and recorded. When QC finds a defect, correct it, find the cause, and check the extent of the condition.
- Risk responses: avoid, transfer, mitigate, accept. Insurance, bonds, and flow-down clauses transfer risk; a contingency accepts it.
- Confirm verbal directions in writing. Route requests from the AHJ through the contract chain, and remember that changes to approved documents must be resubmitted (IBC §107.4).
Jobsite safety supervision
| Topic | Rule |
|---|---|
| Competent person | 1926.32(f): identifies hazards and has authority to correct them; 1926.20(b)(2): regular inspections by competent persons |
| Fall protection | 6 ft trigger on construction (1926.501(b)(1)); training record with name, date, trainer or employer signature (1926.503(b)) |
| Hazard communication | 1910.1200: written program, accessible SDS, labels, training at initial assignment and when a new hazard is introduced |
| Recording | 300 Log, 300A Summary, 301 Report; enter within 7 calendar days (1904.29); post the 300A Feb. 1 to Apr. 30 (1904.32); keep 5 years (1904.33) |
| Reporting | Death within 8 h of learning of it; in-patient hospitalization, amputation, or loss of an eye within 24 h (1904.39), even for small employers |
| Multi-employer sites | CPL 02-00-124: creating, exposing, correcting, and controlling employers |
| Prime and subcontractor | 1926.16: a subcontractor assumes responsibility for its part of the work and the prime contractor keeps overall responsibility; a contract clause cannot remove either |
| Lockout/tagout | Construction: 1926.417. Electrical work in existing facilities: 1910.333(b)(2) (Subpart S); 1910.147 excludes electrical utilization installations |
3.4.2 Supervise team members
- Assign by competence: a Level I works under close supervision on routine, well-defined tasks; a Level II handles routine tasks with limited supervision; code interpretation and AHJ conflicts belong to the Level III. Delegate the task and the authority, but you stay accountable, and you sign only what you have verified.
- Training (OSHA 3824): follow ADDIE (analysis, design, development, implementation, evaluation). Start with a needs assessment; write behavior-based objectives (audience, behavior, condition, standard). Adults want immediately useful content and active participation: at least two-thirds of the hours should be activity-based, about 25 or fewer per class, a second instructor above about 30, and discussion groups of 4 to 6. Evaluate three ways: reaction, learning, and impact.
- Feedback and conflict: be specific, timely, and private; describe behavior and effect, listen to both sides, and focus on facts and project goals.
- Onboarding: documented orientation on hazards, PPE, emergencies, and reporting, task training, and a mentor before independent work (1926.21(b)(2)).
NICET Code of Ethics
Certificants have due regard for public safety, health, and well-being (and, if overruled where safety is endangered, notify the employer, the client, and other appropriate authorities); take only assignments they are competent to perform; work efficiently, competently, and honestly; admit their errors and never distort facts; avoid conflicts of interest, or disclose them in writing when unavoidable; avoid bribery; keep their proficiency current; not misrepresent qualifications; and keep client information confidential unless consent is given or the law requires disclosure.
Recertification: NICET certification runs three years and is renewed by documenting 90 continuing professional development (CPD) points in that period (NICET Policy 30).
Finding it in your printed books
- NFPA 72-2022: index "Personnel qualifications" leads to §10.5 (installers qualified or supervised by qualified persons, §10.5.2); "Records" and "Record of completion" lead to Chapter 7 (§7.5.6, §7.7). Chapter 7 is tabbed with the documentation items in other packs.
- IBC-2021: index "Submittal documents", "Inspections", "Certificate of occupancy", and "Stop work order" lead to Chapter 1: §107 (amended documents, §107.4), §110, §111, and §115. Tab Chapter 1.
- The OSHA, NASCLA, A201, and NICET material is not in any book you can bring, so memorize the numbers in the tables above.
What to tab in your books
| Section | Why |
|---|---|
| OSHA 29 CFR 1926.32(f) | Competent person: identifies hazards AND has authority to correct them (study reference) |
| OSHA 1926.20(b)(2) / 1926.21(b)(2) | Regular inspections by competent persons; employer instructs workers in recognizing unsafe conditions |
| OSHA 1926.501(b)(1) / 1926.503(b) | Fall protection at 6 ft; training certification record (name, date, trainer or employer signature) |
| OSHA 29 CFR 1910.1200 (via 1926.59) | Hazard communication: SDS accessible, labels, training at initial assignment and for new hazards |
| OSHA 29 CFR 1904.7 / .29(b)(3) / .32 / .33 | Recordable criteria; enter cases within 7 calendar days; 300A posted Feb. 1 to Apr. 30; records kept 5 years |
| OSHA 29 CFR 1904.39 | Report death within 8 h; hospitalization, amputation, loss of an eye within 24 h |
| OSHA CPL 02-00-124 / 29 CFR 1926.16 | Multi-employer citation policy; a subcontractor assumes responsibility for its part of the work |
| OSHA 29 CFR 1910.333(b)(2) / 1926.417 | Lockout/tagout of electrical equipment: Subpart S in existing facilities, 1926.417 in construction |
| AIA A201-2017 §7.2 to §7.4 | Change Order, Construction Change Directive, minor change |
| AIA A201-2017 §3.7.4 / §15.1.3.1 | Concealed conditions 14 days; claims 21 days |
| AIA A201-2017 §9.7 / Art. 14 | Stop work after 7 additional days' notice; termination rights (30 consecutive days; 7 days) |
| AIA A201-2017 §9.3.2 / §9.8 | Stored materials need Owner approval and title protection; Substantial Completion |
| AIA A201-2017 §12.2.2.1 / §12.2.5 | One-year correction period; it is not a limit on the Contractor's other obligations |
| NASCLA Guide (13th ed.) | Scheduling, estimating, contract types, bonds, liens, insurance (study reference) |
| OSHA 3824 | ADDIE, needs assessment, two-thirds activity-based, class of about 25, three evaluation types (study reference) |
| NICET Code of Ethics | Public safety, competence, honesty, conflicts of interest, confidentiality (nicet.org) |
| NICET Policy 30 | Recertification: 90 CPD points in a three-year period |
| NFPA 72-2022 §10.5.2 | Installation personnel qualified or supervised by qualified persons |
| NFPA 72-2022 §7.5.6 / §7.7 | Record of completion; records and their storage |
| IBC-2021 §107.4 / §110 / §111 / §115 | Amended documents resubmitted; inspections; certificate of occupancy; stop work order |
Chapter vocabulary
- Critical path
- Longest chain of dependent activities; it sets the shortest possible project duration and has zero total float.
- Total float
- Time an activity can slip without delaying the project finish (LS − ES).
- Free float
- Time an activity can slip without delaying the early start of any successor.
- Lead time
- Time from placing an order to delivery of the item; in scheduling software it can also mean an overlap between linked activities.
- Resource leveling
- Shifting work, usually within float, so that resource demand does not exceed availability; it can extend the finish date.
- Crashing
- Adding resources to critical-path activities to shorten the schedule, at added cost; take the lowest cost per day first and re-check the network.
- Fast tracking
- Overlapping activities that were planned in sequence to shorten the schedule; it raises rework risk.
- Markup
- Percentage added to cost to obtain the price: price = cost × (1 + markup).
- Gross margin
- Profit as a percentage of the selling price: price = cost ÷ (1 − margin).
- Retainage
- Percentage of each progress payment withheld until completion to secure performance.
- Change Order
- Written instrument signed by Owner, Contractor, and Architect recording agreement on a change in the Work and any adjustment in Contract Sum and Time (A201-2017 §7.2).
- Construction Change Directive (CCD)
- Written order that directs a change in the Work before the adjustment in price or time is agreed (A201-2017 §7.3).
- Request for Information (RFI)
- Written request from the contractor to clarify the contract documents, answered in writing and logged.
- Substantial Completion
- Stage at which the Work is sufficiently complete in accordance with the Contract Documents that the Owner can occupy or use it for its intended purpose (A201-2017 §9.8.1).
- Claim
- Demand by Owner or Contractor for an adjustment of terms, payment of money, or extension of time; notice within 21 days (A201-2017 §15.1.3.1).
- Bid bond
- Surety guarantee that the bidder will sign the contract and furnish required bonds if awarded.
- Performance and payment bonds
- Surety guarantees that the contractor will complete the contract and that subcontractors and suppliers will be paid.
- Mechanic's lien
- Statutory claim against real property by those who furnished unpaid labor or material; notices and deadlines vary by state.
- Lien waiver
- Document releasing lien rights; a conditional waiver takes effect only when payment is received.
- Quality assurance / quality control
- QA is the planned system that prevents defects; QC is the inspection and testing that detects them.
- Competent person
- OSHA: one who can identify existing and predictable hazards and who is authorized to take prompt corrective measures (1926.32(f)).
- Recordable case
- Work-related injury or illness meeting the OSHA 1904 criteria, such as medical treatment beyond first aid, days away, or restricted work.
- Earned value (EV)
- Budgeted value of the work actually performed; CPI = EV ÷ AC and SPI = EV ÷ PV.
- ADDIE
- Instructional design model: Analysis, Design, Development, Implementation, Evaluation.
- Conflict of interest
- Situation in which a personal interest could influence, or appear to influence, professional judgment; disclose it in writing when it cannot be avoided.
38 practice questions cover this chapter, each with an explanation and the code section. Get lifetime access or try the free practice exam.
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