Grant A. Simpson, FAIA, manages project delivery for RTKL Associates. 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. To report copyright violations of AIA Contract Documents, e-mail The American Institute of Architects’ legal counsel, copyright@aia.org. Most contracts these days have a designated review time, and the process should be managed to stay on schedule. by James B. Atkins, 1) taking an lengthy period of time to review submittals (i.e. . . . changing the scope of the work through review redlines and comments Unfortunately, perhaps in response to the potential for litigation and the pressures of risk management, there is often a propensity to indicate surrounding materials vaguely and designated as “by others.” Although this may provide a vendor or subcontractor with plausible deniability as to the requirements of coordination with surrounding systems, it provides the contractor with little opportunity for effective coordination of the trades. You should also triage submittals returned by your consultants. Subcontractor and/or supplier submits to general contractor. Submittals are the most explicit indication of how the contractor has interpreted the design concept expressed in the contract documents. The contractor stamps the submittal received and reviews the marked-up submittal, coordinating it with other submittals, adjacent work and the contractor’s Work Plan. The American Institute of Architects (AIA) family of contracts defines shop drawings as drawings, diagrams, schedules and other data specially prepared by a distributor, supplier, manufacturer, subcontractor or contractor to show some part of the work. Architects can use the WWI concept of triage to facilitate submittal review. schedules and other data specially prepared for the Work by the Contractor…”, 3.12.2: “Product Data are illustrations, . Contractor returns submittal to subcontractor. The submittal is often simply files as information for record. but only for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents . or correction. Regardless of how well a submittal process is planned, issues can arise that challenge efforts and test resolve. out the rules for the game of whist in England in 1743, and forever coined the phrase, “According to Hoyle,” if Architect stamps submittal. . In this instance, the architect could be held You should bring your general conditions and specifications to the pre-construction conference and each job meeting and discuss openly the requirements for submittal scheduling, contractor review, submission, and processing. This may require an explanation to the owner as to why this average duration is needed, so be ready to make your case. Submittals are required to do the work. The architect affixes the review stamp, indicating the action taken. Project requirements Handbook of Professional Practice, 14th Ed., scheduled for publication To manage submittals effectively, Contractor coordinates submittal with work plan and other trades. Project requirements These aged submittals are often cited by the owner and contractor when they allege delays caused by the “poor performance” of the architect. This concept is now routinely applied in emergency departments, where triage nurses evaluate incoming patients to determine if they need immediate attention. When submittals do not conform to the submittal schedule, it is usually an indication that the schedule is inaccurate or the contractor is behind in project buy-out. The speed and efficiency with which the architect can review and approve submittals is to a great extent dependent on how well the project team prepares and performs. For example, a contractor provides a window submittal with exact dimensional The submittal schedule required by the EJCDC C-700 general conditions is discussed in Paragraph 2.05.A.2, which states: Within 10 days after the Effective Date of … The contractor remains responsible and includes all other labor, materials, equipment and services provided or to be provided by the Contractor to fulfill the Contractor's obligations . Inadequate submittal time in contract. review and approve that Submittal Schedule The Contractor will not be entitled to any increase in Contract Sum or Contract Time based on the time required for review of submittals if it does not comply with 3.10.2 of A201 (2017) The Submittal Schedule should establish the time period for your review and action upon the various submittals. ... 5.04 (1/97) Construction Submittals Procedures 5.04.1 (1/97) Shop Drawings 5.04.2 (1/97) Product Data 5.04.3 (1/97) Samples ... greatly facilitates the design review and approval process. The contractor’s responsibilities for submittals notwithstanding, This management helps determine the accuracy of the project’s completion, the line actualization of the proposed timeline, and the budget’s line items. An effective logging system can track the contractor’s actions as well as your own. Architects can use this submittal review form to monitor individual submittals for possible approval. The best way to allow sufficient time for submittal review is to insist on an adequate duration during contract negotiation. . Copyright 2006 The American Institute of Architects. As the work is installed, it becomes apparent that the architect’s Bill Schmalz, FAIA, is a principal with Perkins+Will. MultiView. For example, MASTERSPEC® division His numerous articles on architectural practice and the craft of writing can be found on AIA KnowledgeNet and LinkedIn. 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. The contractor, subcontractors, and product vendors are usually most informed about the specified product or system. Currently vice-president of CSI’s Los Angeles chapter, he was 2011 chair of the AIA’s Construction Contract Administration Knowledge Community and has served on its advisory group since 2010. marks through the contractor’s dimensions and provides alternate When claims are levied against architects, it is often argued that the architect has a responsibility to be aware of and prevent the contractor from installing work without approved shop drawings. Project specifications customarily address submittals and the submittal review process. Responsibility for submittals should be a set of rules and procedures. The following sequence describes the activities Time. The submittal review process is a source of concern for design professionals in ... unreasonably delays the contractor by untimely submittal review. Submittals are not intended to be an opportunity to alter the design concept by either the designer or the contractor. 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. Contractor reviews and marks-up submittal. If the contractor is not adhering to the submittal schedule, it is advisable to notify the contractor that they are not in compliance with the requirements of the contract documents. This is also an appropriate opportunity to submit an RFI to the contractor requesting resubmittal. contractor should return the submittal to the subcontractor for revision an article entitled, “Maintaining Design After all the received stamps and review stamps have been affixed, the document can get quite cluttered. Monday, September 11 2017. In what should not be a surprise to … 4.2.7: “ . MASTERSPEC The purpose of submittals such as shop drawings and the conceptual nature of construction documents prepared by design professionals are addressed in A201: 3.12.4: “The purpose of their submittal is to demonstrate for those portions of the Work for which submittals are required . The best approach is to plan well and plan early. 6:30pm-8:00pm. 30+ days). Their success in efficiently traversing the review process is largely dependent on the submitting contractor’s scheduling, sequencing, checking, and coordination. The reality is that the steps in the process are usually the same no matter what, and if acceleration is desired, effective coordination, timely actions, and established procedures subscribed to by all players will be of greater benefit than hurried actions and eliminated steps. submittal information and provides alternate information that is inaccurate. Contractor Reviews and Approves Submittals. AIA G712 (1972). "1 5',6 Possible solution. Abbreviated Standard Form of Agreement Between Owner and Contractor for Construction Projects of Limited Scope. When people think of submittals, they are typically thinking of “Action Submittals.” Shop drawings, product data, and samples are almost always action submittals. interaction with the submittals. Like Edmund Hoyle, when he set The doctors then focused their attention on the third group, where immediate care could make the difference between life and death. It seems that more and more project meetings these days include an adversarial and confrontational display of the architect’s shortcomings through illustrations from the contractor’s submittal log. The shop drawing … By treating submittals as though they are wounded soldiers, you can better manage your resources and prevent delays in the project’s schedule. They tend to be numerous, complex, and time-driven. Plan Review Process#. Submittals are the confirmation of the contractor’s intent to comply with the design concept. Any architect who has experienced the construction phase of services will likely agree that contractor submittals are a daunting and risky part of our work. and actions that may be used for processing submittals. SUBMITTAL LIST AND REVIEW ESTIMATE SUBMITTALS LIST REQUIREMENTS (indicate with an "X") SUBMITTAL LIST AND REVIEW ESTIMATE INSTRUCTIONS 1. The importance of this compliance process is emphasized by the prerequisite condition stated in A201: 3.12.7: “ The Contractor shall perform no portion of the Work for which the Contract Documents require submittal and review of Shop Drawings, Product Data, Samples or similar submittals until the respective submittal has been approved by the Architect.”. the marked-up submittal is found to be acceptable, the contractor affixes Maximum 12 days The issue of the contractor’s Work Plan is discussed in the September 2005 article Drawing the Line. . a review stamp with a signature and date. At the outset of any new project, someone on the project team should create a chart for all deadlines agreed to in the contract documents. 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. standard schedules, performance charts, instructions, brochures, diagrams A completed Fire Permit/Plan Review Application and three (3) sets of drawing/plans and calculations and manufacturer specifications are required at time of submittal. The pre-construction conference provides an opportunity to discuss how the submittal process will flow. If the submittal has been reviewed by a consultant, the architect reviews it for impact on the architectural scope and marks it up accordingly, noting that its review is for architectural scope only. The word triage (from a French word meaning “sorting” or “selecting”) was used by the French military during World War I to describe the process of quickly evaluating wounded soldiers and prioritizing their treatment. better form of communication in this instance would be to provide a notation Standard Form of Agreement Between Owner and Design-Builder. Review Flow Diagram Some steps to take that could improve your experiences with the submittal process are: The key to implementing and managing submittals is to address the issue up front in your contracts and specifications and thoroughly review the process in the pre-construction conference. The issue of forced substitutions in submittals was addressed in The the architect should diligently manage its portion of the submittal review The submittal schedule is required to be coordinated with the overall project construction schedule. and actions that may be used for processing submittals. Within a day of receiving a submittal, you should give it a quick, cursory review to determine the following: In most cases, returning submittals is better than holding on to them while the contractor makes corrections. Look for the following: Triage helps avoid delays by quickly informing the contractor of major submittal problems. It’s when the fine details of different parts of the project are sorted out and approved between architects, engineers, general contractors and subcontractors. article will be included in The Architect’s Items and information that fall within these categories can include, but are not limited to: Submittal requirements A201 states: 3.12.4: “Shop Drawings, Product Data, Samples and similar submittals are not Contract Documents.”. . Plan check fees are due at time of submittal. He serves on the AIA Documents Committee and is the 2006 Chair of the AIA Risk Management Committee. This process involves a lot of stamping. An architect could fail to meet Possible solution. Revu ® simplifies submittals with powerful markup and editing tools, and integrates seamlessly into many document management systems to keep your project running smoothly. cause no unreasonable delay in the work. Submittals are a part of the work The Architect’s Role Who Prepares Submittals? Over 250 years ago, Edmund Hoyle evaluated the game of whist and set out rules and procedures for players to follow. Construction Shop Drawing Review Process Management of construction submittals is the primary job of any contractor before any project begins. Subcontractor and/or supplier submits to general contractor. Action Submittals, Informational Submittals, and Closeouts. The AIA Best Practices is a collection of relevant, experience-based knowledge and expert advice on firm management, project delivery, contracts and more, aligned with the Architect’s Handbook of Professional Practice, 15th edition. Chapter 10.09 Construction Phase Services. ”. The Purpose of Submittals. after it thoroughly and accurately represents how the contractor intends The Indicate level of effort required for each Action submittal review by inserting the number of hours for each discipline under the "A/E Review Time (indicate number of hours)" column. Handbook of Professional Practice, 14th Ed.. Work performed without an approved submittal. District Architecture Center. James B. Atkins, FAIA, is a principal with HKS Architects. Their purpose is to express how the finished building will be constructed. general contractor performs a detailed review of the submittal, coordinating 2) outright rejecting the submittal based upon trivial issues (i.e. ” (bold added). MASTERSPEC requires that substitutions be requested within a specified time after the notice to proceed. managed accordingly, the chances of reducing risk and achieving success 1330 tracks A201 and offers specifics for submittal procedures, including The contractor is paid to produce shop drawings and submittals because they are a part of the Work as defined in A201: 1.1.3: “The term "Work" means the construction and services required by the Contract Documents, . Informational submittals, however, imply inaction by A/Es. to all participants. PHOTO BY JIM ATKINS AND GRANT SIMPSON. The Architect’s role in the submittal process is set out in A201, §4.2.7. If the contractor refuses to provide a submittal schedule, it is advisable to document the event by sending correspondence to the owner noting the issue and advising that all previously agreed-upon review times are suspended until an acceptable submittal schedule is provided. it is important that the steps in the submittal process be clearly defined . It will review the components and activities associated with submittals along with suggestions for establishing and administering an efficient and effective review process. By treating submittals as though they are wounded soldiers, you can better manage your resources and prevent delays in the project’s schedule. . . Architect returns submittal to contractor.