According to Hoyle: The Submittal Process, Product, material, or system performance calculations, Allow adequate review time in the owner-architect agreement and specifications, Require a valid submittal schedule from the contractor so you can plan your commitments, Review the submittal process in the pre-construction conference, Use a unique control number on each submittal, Have multiple reviewers use different color markers for tracking. COURTESY HKS ARCHITECTS. Meanwhile, the contractors are struggling with the prerequisites of subcontractor and vendor selection and product buy-out along with the contracts and purchase orders that follow; all the while trying to comply with the schedules that they submitted at the start of construction. As the work is installed, it becomes apparent that the architect’s a set of rules and procedures is established for submittals, and it is The best approach is to plan well and plan early. . Architect returns submittal to contractor. Inadequate submittal time in contract. Afterwards, should the submittal prove to be incomplete, incorrect, or result in missing or nonconforming work, they allege that it is the architect’s fault that the contractor did not fulfill its contractual responsibility to prepare the submittal appropriately. He is an ACEC voting delegate in the Engineers Joint Contract Documents Committee (EJCDC) and lives and works in the Buffalo NY rea. Architect’s Handbook of Professional Practice, 2004 Update. Contractor submits to architect. The Architect’s Role To understand fully what submittals are and what they do, we should first review the basics. The AIA A201-2007 General Conditions of the Contract for Construction is one of the most common documents in the construction industry. indicate dimensional corrections and specific detail configurations. vary, and these steps may not apply to all projects. You may wish to track the RFI in a log to document the delay caused by the contractor’s failure to submit, as well as insist that the tardy schedule be tracked in the contractor’s submittal log. A201 states: 3.12.5: “The Contractor shall review for compliance with the Contract Documents, approve and submit to the Architect Shop Drawings, Product Data, Samples and similar submittals required by the Contract Documents with reasonable promptness and in such sequence as to cause no delay in the Work … Submittals which are not marked as reviewed for compliance with the Contract Documents and approved by the Contractor may be returned by the Architect without action.”. better form of communication in this instance would be to provide a notation Submittal Subcontractor/supplier prepares submittal. Discussions should include document media, number of copies, review mark colors, control number format, and routing. these responsibilities if he or she started redesigning the project or AIA Document A201 -2007 General Conditions of the Contract for Construction •Used with AIA A101-2007 Standard Form of Agreement Between Owner and Contractor Where the Basis of Payment is a Stipulated Sum •Topics to be covered during the program •Payment, Compensation for Changes in the Work (including related site conditions), and and actions that may be used for processing submittals. Submittals represent that the contractor has selected and coordinated appropriate products, has reviewed the submittals, and has determined and confirmed the finite details and dimensions required to complete the work. Because shop drawings, product data, and samples are needed only to confirm the contractor understands and will comply with the contract’s requirements, as a rule of thumb, the information required via shop drawings, product data, and samples, may not need to be more voluminous than the requirements of the contract documents. information given; the architect, believing the dimensions are inaccurate, General Conditions of the Contract for Construction, (A201) states: the way by which the Contractor proposes to conform. . The following challenges may be encountered by the architect on a project during the submittal process. They tend to be numerous, complex, and time-driven. issued by the AIA, state that regardless of shop drawing and submittal approval, the contractor remains responsible to perform to the requirements of the plans and specifications. A201 section 3.10.2 and MASTERSPEC sections 1320 and 1330 require that the schedule be prepared and submitted to the architect. Many contract negotiation issues can be resolved with adequate client enlightenment. Contractor Reviews and Approves Submittals. . Issues such as how to manage multiple discipline reviewers, what to do when the submittal schedule is late or not provided, how to deal with forced substitutions that are more and more common in submittals, and what actions to take with submittals that are poorly prepared or inadequately reviewed by the contractor will be addressed. Terminology concerning submittals is not universal, and the terms “shop drawing” and “submittal” are not synonyms, Standard general conditions in widespread use in the United States establish several definesterms pertinent to this topic. Change Proposals, Change Orders, Claims, notices, Applications for Payment, and requests for interpretation or clarification are not Submittals.”. A wise subcontractor will have the manufacturer confirm in writing that the application of the product or system is appropriate. The checks and balances inherent in the submittal process contemplated by A201 are designed to promote successful projects. If the submittal requires review by a consultant, the submittal is routed to the consultant with an attached transmittal. The action is logged into the approved tracking system. FAIA, and Grant A. Simpson, FAIA. Grant A. Simpson, FAIA, manages project delivery for RTKL Associates. ”. . The architect is often pressured in contract negotiation to reduce the number of submittal review days with the assumption that it will in some way accelerate the project. Kevin O’Beirne’s LinkedIn page. They indicate the extent to which the contractor has organized, coordinated, and developed their work plan. to all participants. . The design professional’s responsibilities in reviewing submittals will be addressed in forthcoming posts on this blog. The submittal should be forwarded to the architect only time for review, the number of copies of submittals, contractor’s review stamp wording, and transmittal and tracking documents. out the rules for the game of whist in England in 1743, and forever coined Submittals may include Shop Drawings and Samples; schedules; product data; Owner-delegated designs; sustainable design information; information on special procedures; testing plans; results of tests and evaluations, source quality-control testing and inspections, and field or Site quality-control testing and inspections; warranties and certifications; Suppliers’ instructions and reports; records of delivery of spare parts and tools; operations and maintenance data; Project photographic documentation; record documents; and other such documents required by the Contract Documents.

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