What Are Submittals?

Transcription

1 Introduction Overview of the Submittal Process Comparison of AIA with ConsensusDOCS Architect and Contractor Obligations FAR Requirements State Licensing Requirements 1

2 What Are Submittals? Submittals definition under AIA: Shop Drawings Product Data: illustrations, brochures, performance charts Samples Catchall: AIA refers to Shop Drawings, Product Data, Samples and similar submittals 2

3 Are Submittals Contract Documents? AIA: No A : Shop Drawings, Product Data, Samples and similar submittals are not Contract Documents ConsensusDOCS: Yes ConsensusDOCS 200: The Contract Documents consist of approved submittals. 3

4 Are Submittals Contract Documents? Consequence of submittals as contract documents? No: under AIA and ConsensusDOCS, contractor is responsible for deviations in submittals from contract requirements Thus, an approved submittal does not relieve the contractor of responsibility for deviations from design, even if the submittal is a contract document 4

5 Are Submittals Contract Documents? Important to address contract status of shop drawings in contract: Louisiana case: discussion between contractor and supplier that pre-fab concrete slabs would contain pre-dilled plumbing holes, but no decision made. Supplier s shop drawings showed pre-fab concrete slabs with no plumbing holes; slabs furnished with no holes Contractor sued supplier for cost of drilling holes Court held that shop drawings were part of the contract, and supplier was proper in furnishing slabs w/o holes 5

6 Purpose of Submittals AIA: demonstrate for those portions of the Work for which submittals are required the way by which the Contractor proposes to conform to the information given and the design concept expressed in the Contract. Other purposes: Early identification of disputes Delegate design responsibilities to specialty subcontractors Facilitation of procurement 6

7 AIA: Submittal Schedule Contractor must promptly submit schedule for submittals If Contractor fails to submit a schedule, no extra time or costs due to Architect s delay in submittal review Architect must review in accordance with approved submittal schedule If no schedule, architect must review with reasonable promptness ConsensusDOCS: owner is responsible for review and approval of submittals with reasonable promptness to avoid causing delay 7

8 Contractor Review of Submittals AIA: contractor represents that by submitting a submittal, it has reviewed and approved submittals; verified (or will verify) materials, field measurements and field construction criteria; and checked and coordinated submittals with contract requirements ConsensusDOCS: contractor is responsible for the accuracy and conformity of its submittals More limited than AIA: no verification regarding field conditions and measurements 8

9 Contractor Responsible for Safety Procedures AIA: the Architect s review [of submittals] shall not constitute approval of safety precautions Oklahoma case: Design called for expansion joints and keeper angles for steel framework Workers erected framework but wind caused collapse before installation of expansion joints and keeper angles Worker sued architect for approving shop drawings without temporary connections Court, citing AIA contract of parties, noted that temporary connections were field construction criteria or means and method; therefore, contractor s responsibility 9

10 Contractor s Duty to Facilitate Submittal Approval Michigan case Supplier of electronic message boards proposed alternative design to reduce maintenance costs Supplier s shop drawings with alternative design were rejected Supplier argued that contractor breached implied duty of good faith by not facilitating owner s approval of alternative design Supplier argued that contractor had to facilitate communication between supplier and owner Court held that contractor s only duties were to transmit the shop drawings to owner and not undermine the owner s approval 10

11 Contractor s Review of Subcontractor Submittals Wisconsin case Supplier provided roof panels for post office project Panels provided according to approved shop drawings Panels did not fit, contractor did not pay and supplier brought suit against contractor Contractor argued that supplier had to verify field dimensions because P.O. incorporated terms requiring contractor to verify field dimensions Supplier successfully argued it was custom for contractor to verify field dimensions, particularly when supplier not located near project 11

12 Identification of Deviations in Submittals AIA and ConsensusDOCS: contractor not relieved of responsibility for deviations in submittals unless: Contractor notifies architect of deviation Deviation accepted by owner as change Under AIA, architect can accept minor deviations without approval from owner 12

13 AIA: Architect s Review of Submittals Architect s review: for the limited purpose of checking for conformance with information given and the design concept expressed in the contract documents Architect s review NOT conducted for the purpose of determining the accuracy and completeness of other details such as dimensions and quantities, or for substantiating instructions for installation or performance of equipment or systems Architect must approve or take other appropriate action E.g., reject; revise; no exceptions taken; reviewed 13

14 Architect s Review of Submittals Architect s Responsibility: Duncan: walkway at Kansas City, Missouri Hyatt collapsed, killing 114 Cause: walkway connections that did not even meet code Engineer did not perform calculations on subcontractor s shop drawings for connections Engineer argued reasonable/customary reliance on connection design by specialty subcontractor Court held Missouri law required the engineer to take responsibility for entire engineering project, unless specific disclaimer Custom or industry practice could not overcome the statute 14

15 Architect s Review of Submittals Architect s Responsibility: South Dakota case: patent error Specifications called for stair case landing pan with 10-gauge steel Shop drawings called for 14-gauge steel landing pan; no notation of deviation from specs Architect s stamp furnished as noted Contractor furnished 14-gauge landing pan, which collapsed during installation, injuring 2 Court upheld verdict against architect for negligent review of shop drawings Architect s stamp did not alter result: shall not serve to relieve the contractor of contractual responsibility for any error or deviation from contract documents 15

16 Architect s Review of Submittals Architect s Responsibility: Note change in AIA since South Dakota case: Architect s review not conducted for the purpose of determining accuracy and completeness of other details such as dimensions and quantities. Texas case: contrary result to South Dakota case Specs for refurbishment of underground well required walls sufficient for depth of burial Approved shop drawings showed no increase in wall width; wall began to collapse after work completed Court held contractor was responsible for appropriate thickness; noted contract and stamp did not relieve contractor of responsibility for deviations Also D.C. McClain v. Arlington County; Johnson Fire Protection v. C.E. Maguire: architect/engineer not responsible for deviations in shop drawings 16

17 No Exceptions Taken No indication that vague actions ( no exceptions taken ; reviewed ; accepted as noted ) are different from approval. Cases usually refer to architect s/engineer s contract obligations regarding submittals no cases found where stamp disclaimer dispositive stamp disclaimers prudent for architect/engineer, particularly so that suppliers and subcontractors aware of limitations of review 17

18 Consultant s Review of Shop Drawings Typically architect is responsible to owner for consultants review of shop drawings Architect may have indemnity agreements with consultants for scope of their review Even when consultants review, architect has responsibility to review submittals for architectural issues 18

19 Architect s Review for Submittals Architect s Responsibility for Delay: Alabama case: architect negligent as a matter of law for severe procrastination and inconsistencies in review of generator submittal For over a year, architect required resubmittals for changing reasons (incorrect manufacturer, product did not meet specs, not standard product). Court stated: the Architect s actions represent a pattern of procrastination which, in view of the interdependence of effort so vital on a construction project, falls below the standard of care required in this situation for professional architects. 19

20 Federal Acquisition Regulations The FAR mirrors standard-form documents in many respects Contractor s approval of shop drawings: Shop drawings submitted to the Contracting Officer without evidence of the Contractor's approval may be returned for resubmission. Approval by the Contracting Officer does not relieve the contractor from complying with the contract: Approval by the Contracting Officer shall not relieve the Contractor from responsibility for any errors or omissions in such drawings, nor from responsibility for complying with the requirements of this contract, except with respect to variations described and approved in accordance below. The Contractor must identify any variations in the shop drawings: If shop drawings show variations from the contract requirements, the Contractor shall describe such variations in writing, separate from the drawings, at the time of submission. If the Contracting Officer approves any such variation, the Contracting Officer shall issue an appropriate contract modification, except that, if the variation is minor or does not involve a change in price or in time of performance, a modification need not be issued. 20

21 State Licensing Requirements The Duncan court noted that custom did not trump Missouri law At the time of Duncan, Missouri law provided: by affixing his seal to any project documents, the engineer shall be responsible for the whole engineering project unless he shall attach a statement over his signature [noting the documents he is responsible for and disclaiming responsibility for all other documents.] Current Missouri law: architect s/engineer s seal shall be the legal equivalent of the licensee's signature whenever and wherever used, and the owner of the seal shall be responsible for the architectural, engineering, surveying, or landscape architectural documents. 21

22 Questions? Any Questions? If any questions arise, please contact me: Gerald I. Katz, Esquire Katz & Stone, LLP 8230 Leesburg Pike Vienna, Virginia (703)