1. Project MANAGEMENT
Shop Drawings
WORKSHOP 08.28.2008
Project MANAGEMENT
WORKSHOP
S HOP DRAWINGS
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2. Project MANAGEMENT
Shop Drawings
WORKSHOP 08.28.2008
Presentation Outline
• Shop Drawings 101
• A201 – 1997
• Section 013300
• Shop Drawing Example
• Do’s and Don’ts
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3. Project MANAGEMENT
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Shop Drawings 101
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4. Project MANAGEMENT
Shop Drawings
WORKSHOP 08.28.2008
What are “submittals” ?
A201
General Conditions of the Contract for
Construction
Paragraph 3.12.1
“… drawings, diagrams, schedules, and other data
specially prepared for the Work by the
Contractor, or a Subcontractor, Sub-
subcontractor, manufacturer, supplier or distributor
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5. Project MANAGEMENT
Shop Drawings
WORKSHOP 08.28.2008
Why are “shop drawings” created ?
A201
General Conditions of the Contract for
Construction
Paragraph 3.12.4
“… to demonstrate … the way by which the Contractor
proposes to conform to the information given and
the design concept expressed in the Contract
Documents.”
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6. Project MANAGEMENT
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WORKSHOP 08.28.2008
Why do architects review
submittals?
• to determine if the GC "understands" the CD’s
• correct GC’s “misunderstandings” of the CD’s
• NOT to determine GC “meets the requirements" of
the CD’s
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7. Project MANAGEMENT
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WORKSHOP 08.28.2008
Which submittals should the architect
request?
Professional Standard of Care
• Structural Stability
• Appearance
• Function
• Building Code Compliance
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8. Project MANAGEMENT
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WORKSHOP 08.28.2008
A201 - 1997
General Conditions of the Contract for
Construction
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9. Project MANAGEMENT
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Contractor's Role
A201-1997 : Subparagraph 3.1.3
• The Contractor shall not be relieved of obligations to perform
the Work in accordance to the Contract Documents either by
activities or duties of the Architect in the Architect's
administration of the Contract...
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10. Project MANAGEMENT
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WORKSHOP 08.28.2008
Contractor's Role
A201-1997 : Subparagraph 3.2.1
• ... before starting each portion of Work, the Contractor shall
carefully study and compare the various drawings ... not for
the purpose of discovering errors, omissions, or
inconsistencies in the Contract Documents ...
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11. Project MANAGEMENT
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WORKSHOP 08.28.2008
Contractor's Role
A201-1997 : Subparagraph 3.7.3
• It is not the Contractor's responsibility to ascertain that the
Contract Documents are in accordance with applicable laws,
statutes, ordinances, building codes, and rules and
regulations.
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12. Project MANAGEMENT
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Contractor's Role
A201-1997 : Subparagraph 3.3.1
• The Contractor shall be solely responsible for and have
control over means, methods, techniques, sequences and
procedures ...
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13. Project MANAGEMENT
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Contractor's Role
A201-1997 : Subparagraph 3.5.1
• The Contractor warrants to the Owner and Architect ... that
the Work will conform to the requirements of the Contract
Documents.
• Work not conforming to these requirements, including
substitutions not properly approved or authorized, may be
considered defective.
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14. Project MANAGEMENT
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Contractor's Role
A201-1997 : Subparagraph 3.10.2
• The Contractor shall prepare and keep current, for the
Architect's approval, a schedule of submittals ...
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15. Project MANAGEMENT
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Contractor's Role
A201-1997 : Subparagraph 3.10.3
• The Contractor shall perform the Work in general accordance
with the most recent schedules submitted to the Owner and
Architect.
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16. Project MANAGEMENT
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Contractor's Role
A201-1997 : Subparagraph 3.12.4
• Submittals not required by the Contract Documents may be
returned by the Architect without action.
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17. Project MANAGEMENT
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WORKSHOP 08.28.2008
Contractor's Role
A201-1997 : Subparagraph 3.12.5
• The Contractor shall review ... approve and submit to the
Architect Shop Drawings ... in such sequence as to cause no
delay in the Work...
• Submittals (shop drawings) ... not marked as reviewed ... and
approved by the Contractor may be returned by the
Architect without action.
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18. Project MANAGEMENT
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Contractor's Role
A201-1997 : Subparagraph 3.12.6
• By approving and submitting shop drawings ... the Contractor
represents that the Contractor has ... checked and
coordinated the information contained within such submittals
with the Work and requirements of the Contract Documents.
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19. Project MANAGEMENT
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Contractor's Role
A201-1997 : Subparagraph 3.12.8
• The Contractor shall not be relieved of responsibility for
errors or omissions in the Shop Drawings ... by the Architect's
approval thereof.
• ... the Contractor shall not be relieved of responsibility for
deviations from ... the Contract Documents by the Architect's
approval of Shop Drawings ... unless the Contractor has
specifically informed the Architect in writing of such deviation
at the time of submittal …
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20. Project MANAGEMENT
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Contractor's Role
A201-1997 : Subparagraph 3.12.9
• The Contractor shall direct specific attention ... to revisions
other than those requested by the Architect on previous
submittals.
• In the absence of such written notice, the Architect's approval
of a resubmission shall not apply to such revisions.
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21. Project MANAGEMENT
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Contractor's Role
A201-1997 : Subparagraph 3.12.10
• The Contractor shall cause such services or certifications to
be provided by a properly licensed design
professional, whose signature and seal shall appear on all ...
submittals prepared by such professional.
• Shop Drawings ... designed or certified by such professional
... shall bear such professional's written approval ...
• The Architect will review ... only for the limited purpose of
checking for conformance with information given and the
design concept expressed.
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22. Project MANAGEMENT
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Architect's Role
A201-1997 : Subparagraph 4.2.7
• The Architect will review and approve or take appropriate action upon...
Shop Drawings... for the limited purpose of checking for conformance with
information given and the design concept expressed.
• Review... is not conducted for the purpose of determining the accuracy
and completeness of other details such as dimensions and quantities...
• The Architect's review shall not constitute approval of safety precautions
or... any construction means, methods, ...
• The Architect's approval of a specific item shall not indicate approval of
an assembly of which the item is a component.
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23. Project MANAGEMENT
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Architect's Role
B151-1997 : Subparagraph 2.6.2
• The Architect shall provide administration of the Contract for
Construction as set forth ... in AIA Document A201, General
Conditions.
• Modifications made to the General Condition ... shall be
enforceable ... to the extent that they are consistent with this
Agreement or approved in writing by the Architect.
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24. Project MANAGEMENT
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013300 : Submittal
Procedures
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013300 : Submittal Procedures
Part I : General Part II : Products
• 1.1 Related Documents • 2.1 Action Submittals
• 1.2 Summary • 2.2 Info Submittals
• 1.3 Definitions • 2.3 Delegated Design
• 1.4 Submittal
Procedures
Part III : Execution
• 1.5 GC’s Use of Cad
• 3.1 Contractor's Review
Files
• 3.2 Architect's Action
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013300 : Related Sections
"Payment Procedures" "Closeout Procedures“
Applications for Payment & Schedule of Values. warranties
"Project Record Documents“
"Project Management and Coordination"
Record Drawings, Record Specifications, &
meeting and conference minutes and for Record Product Data
submitting Coordination Drawings
"Operation and Maintenance Data“
"Construction Progress Documentation"
operation & maintenance manuals
GC's Construction & Submittals Schedule
"Demonstration and Training“
videotapes of demonstration of
"Photographic Documentation"
equipment & training of Owner's
construction photographs & videotapes personnel
"Quality Requirements“ Divisions 02 through 49 Sections
test & inspection reports and mockup req’t specific requirements for submittals in those
Sections.
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013300 : Submittal Procedures
General
• CAD drawings of the CD’s will or will not be provided for preparing
submittals (?)
GC’s use of CAD Drawings
• Architect
– makes no representation on compatibility
– reserves right to remove all indications of ownership
– makes no warranties
• Data used without any liability to architect
• Differences may exist with latest site conditions
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28. Project MANAGEMENT
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013300 : Submittal Procedures
Coordination
• Coordinate submittals requiring sequential activity
• Architect reserves the right to withhold action on a submittal requiring
coordination with other submittals until related submittals are received
Processing Time
• Allow enough time for Initial Review (X days) & Resubmittal Review (X
days)
• X = 5 days? 10 days? 15 days?
Deviations
• Highlight deviations from CD’s on submittals
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29. Project MANAGEMENT
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013300 : Submittal Procedures
Identification
• Permanent label or title block
• Submittal numbering
• Specification Section number + decimal point + sequential
number
• 061000.01
• Resubmittals : alphabetic suffix after decimal point
• 061000.01.A
Transmittals
• Architect will “return submittals without review” received
from sources30other than the GC

30. Project MANAGEMENT
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013300 : Submittal Procedures
Number of Copies
(1) electronic copy, in PDF format
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013300 : Execution
Contractor’s Review
• Check for compliance with the Contract Documents
• Note corrections & field dimensions
• Submittals are NOT a way to suggest substitutions
• … Mark with Approval Stamp before submitting to Architect
– project name + location + specification section title & number
– name of reviewer + date of GC’s approval
– statement certifying submittal has been reviewed, checked, &
complies with CD’s
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32. Project MANAGEMENT
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013300 : Execution
Architect’s Action
• Architect will not review submittals w/o GC’s Approval
Stamp
• Partial submittals are not acceptable & will be returned w/o
review
• Submittals not req’d by CD’s … not reviewed and be
discarded
• Do NOT rethink, refine, or revise design
• Do NOT clarify design (e.g. change scope)
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33. Project MANAGEMENT
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013300 : Execution
Architect’s Action Stamp
AIA 201
• 4.2.7 : The Architect will review and “approve”…
• 3.12.7 : The GC shall perform no portion of the Work for
which... Shop Drawings (are required)... until the... submittal
has been “approved” by the Architect.
AIA B151
• 2.6.11 : The Architect will review and “approve”…
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013300 : Execution
EUA’s Action Stamp
Architect’s review is for the
limited purpose of checking for
general conformity with the
design concept expressed in
the CD’s
The term “approved” is not
allowed by most insurance
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companies.

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Submittal Example
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Submittal Review Process
What are the steps prior to submittals ?
1. Contractor : Submittal Schedule : submitted & approved by the
Architect ?
2. Reviewer : read the A201 and 013300 Submittal Procedures
What are the steps in reviewing submittals ?
3. Contractor : stamped & reviewed submittal ?
4. Reviewer : read the specific Spec Section
5. Compare what is submitted to what is req’d.
6. Review & redline, sign & stamp, and transmit
7. Track submittal info with Newforma & Info Exchange
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37. Project MANAGEMENT
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1. Contractor : Submittal Schedule
Submitted & Approved by the Architect ?
A201 - 1997
• Submittal Schedule : recognizes that submittals affect the progress of the
project
Contractor’s Standpoint
• No excuse for overlooking critical submittal items
Architect Standpoint
• No excuse for not providing enough staff to review submittals
• Has the right to approve or disapprove GC’s planned schedule of
submittals.
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38. Project MANAGEMENT
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1. Contractor : Submittal Schedule
Submitted & Approved by the Architect ?
A201 - 2007
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39. Project MANAGEMENT
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2. Reviewer :
read the A201 and 013300 Submittal Procedures
Read the whole +40 page A201 General Conditions ?
NO
Search terms : “Submittals” and “Shop Drawings”
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40. Project MANAGEMENT
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What about projects without an
A201 ?
B141 & B151 references the A201 (in absentia)
(B141 & B151 : Standard Agreement between Owner & Architect)
Paragraph 1.1.5
When the services under this Agreement include contract administration
services, the General Conditions of the Contract for Construction shall be the
A201 …
(This document assumes that AIA Document A201 will be used.)
Paragraph 1.3.7.2
Terms in this Agreement shall have the same meaning as those in the A201
…
(By this cross-reference, the parties agree to adopt the terminology found in A201)
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41. Project MANAGEMENT
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3. Contractor : stamped & reviewed
submittal?
NO?
• Return it stamped “Rejected” - explain WHY
LOOSE TIGHT
MORE LESS
CLAIMS CLAIMS
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42. Project MANAGEMENT
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WORKSHOP 08.28.2008
4. Read the specific Spec
Section
Focus on 1.4 Submittals
• Reference related info : other spec sections, standards &
tests
Quality Standard :
• … comply with AWI's "Architectural Woodwork Quality Standards" for
grades of interior architectural woodwork indicated for
construction, finishes, installation, and other requirements
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43. Project MANAGEMENT
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WORKSHOP 08.28.2008
5. Compare what is submitted to what
is req’d
NO?
• Return it stamped “Revise & Resubmit”
• Note : “Partial submittals are not allowed.”
Submittal Review Sequence Policy
• Do not review any submittal until GC submits ALL required info
WHY?
• Reviewer won’t have to withdraw “approval” of a partially “approved” item
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44. Project MANAGEMENT
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5. Compare what is submitted to what
is req’d
Section 064023 - Interior Architectural
Woodwork
1.4 SUBMITTALS
• Product Data
• Shop Drawings
• Samples for Initial Selection
• Samples for Verification
• LEED Submittals
• Product Certificates
• Woodwork Quality Standard Compliance Certificates
• Qualification Data
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45. Project MANAGEMENT
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WORKSHOP 08.28.2008
5. Compare what is submitted to what
is req’d
Section 064023 - Interior Architectural Woodwork
1.4 SUBMITTALS
C. Shop Drawings:
Show location of each item, dimensioned plans and elevations, large-
scale details, attachment devices, and other components.
1. Show details full size.
2. Show locations and sizes of furring, blocking, and hanging strips, including
concealed blocking and reinforcement specified in other Sections.
3. Show locations and sizes of cutouts and holes for [plumbing fixtures] [faucets]
[soap dispensers] [and other items] installed in architectural woodwork.
4. Show veneer leaves with dimensions, grain direction, exposed face, and
identification numbers indicating the flitch and sequence within the flitch for
each leaf.
5. Apply WI-certified compliance label to first page of Shop Drawings.
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50. Project MANAGEMENT
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Show locations and sizes of furring, blocking, and hanging strips, including
concealed blocking and reinforcement specified in other Sections.
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6. Review & redline, sign & stamp, and
transmit
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7. Track submittals with Newforma
Use Newforma’s Project Submittals Activity Center :
Submittal Tasks Resubmittal Tasks
•
Log an Incoming Submittal • View original submittal’s detail &
• Create a Submittal Log Report history
• Submittal Utilities : Import
Spreadsheet Send email about Submittal
• Go to Info Exchange Activity Center • To the Recipients
• To all Reviewers
Selected Submittal Tasks • To all Participants
• Create a Submittal Form Report
• Delete the Submittal Info Exchange Transfer Tasks
• Forward for Review
• View transfer history
• Identify an Action Item
• Add or remove recipients
• Modify Submittal Dialog box
• Change access level
• Record a Reviewer’s Response
• Expiration & reminder settings
• Respond to Submittal Sender
• Remove content (expire)
• Repost content
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Submittal Workflow thru
InfoExchange
Info Exchange Newforma Project Center
CONTRACTOR sends Submittal to
ARCH via Info Exchange
ARCH logs in Submittal
ARCH forwards to CONSULTANT
CONSULTANT reviews & returns
Submittal to ARCH via Info Exchange
ARCH logs in Submittal & records
CONSULTANT’S response
ARCH stamps/sign Submittal &
returns it to the CONTRACTOR
CONTRACTOR receives Submittal &
forwards to SUBCONTRACTOR
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56. Project MANAGEMENT
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Do's and Don'ts
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57. Project MANAGEMENT
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Do's and Don'ts
Question : True or False ?
• To save time, it's okay to pick colors/textures from printed
charts.
Answer : False
• Insist on actual material samples
• Review them in similar lighting conditions to the proposed project
• Be careful of wood grain direction/patterns and veneer quality in millwork
• Request mock-ups whenever possible
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58. Project MANAGEMENT
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Do's and Don'ts
Question : True or False ?
Always refer to EUA issued CD's when reviewing and verifying
quantities.
Answer : False
• Stay away from verifying quantities.
• If you see an apparent error that is beyond your scope of
review, point it out to the GC, but do NOT attempt to correct
it.
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59. Project MANAGEMENT
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Do's and Don'ts
Question : True or False ?
In the essence of time, submittal reviews may be used to
make changes to the contract documents.
Answer : False
• Submittal are not contract documents.
• Don't make changes by using the submittals.
• Any change of scope should be issued separately by
addendum or CB.
• Any changes should be accomplished by Change Order
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60. Project MANAGEMENT
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Do's and Don'ts
Question : True or False ?
The GC may use submittals as a means for substitutions.
Answer : False
• Do not be pressured into accepting substitutions in the submittal review
process.
• Instruct the GC to use the substitution process outlined in the General
Conditions.
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61. Project MANAGEMENT
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Do's and Don'ts
Question :
What can you do if the GC refuses to provide a submittal
schedule?
Answer :
• 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.
• You may also elect to an RFI requesting such from the GC
and tracking the delay in the RFI log.
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62. Project MANAGEMENT
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WORKSHOP 08.28.2008
Do's and Don'ts
Question :
What can you do when the GC is not adhering to the submittal
schedule?
Answer :
• Document notification to the GC that they are not in
compliance with the requirements of the contract documents.
• Advise owner in writing that, until the GC adheres to the
accepted submittal schedule, you cannot comply with your
previously agreed-upon review time, and additional costs
may be incurred as a result.
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63. Project MANAGEMENT
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Do's and Don'ts
Question : True or False ?
Only revise dimensions that are clearly wrong, don't try to fix
them all.
Answer : False
• Don't revise dimensions.
• If you see a dimension that is wrong, circle it and suggest the correct
dimension be reviewed & verified.
• If there are any other dimensions related to the wrong dimension, make a
general statement that associated dimensions be reviewed.
• If you revise (1) dimension, GC may assume you'll review & revise ALL
dimensions.
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64. Project MANAGEMENT
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Do's and Don'ts
Question : True or False ?
If we receive submittals before CD's have been completed and
bid, we should indicate such in our approval.
Answer : False
• Return the submittals.
• Respond that we can't process them until the design
is complete.
• Not doing so could be putting ourselves under unnecessary
risk.
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65. Project MANAGEMENT
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Do's and Don'ts
Question : True or False ?
It's okay to review & stamp submittals for design-build systems
as long as we're the Architect of Record.
Answer : False
• Do not extend our responsibility (liability) beyond that what your
contracted for.
• If you do, be ready to share the blame once something goes wrong.
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66. Project MANAGEMENT
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Do's and Don'ts
Question : True or False ?
Only accept submittals from a GC that are NOT approved &
stamped unless you can trust him.
Answer : False
• Do not accept unstamped submittals from a GC no matter your
relationship.
• It may appear that the architect's is taking on the GC's responsibility.
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67. Project MANAGEMENT
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Do's and Don'ts
Question : True or False ?
It's okay to review/stamp submittals issued directly from the
Subcontractor only if the GC and Owner are okay with it.
Answer : False
• This would not allow the GC to review, approve and stamp
the submittals prior to issuing them to the architect.
• It may appear that the architect's is taking on the GC's
responsibility.
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68. Project MANAGEMENT
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Do's and Don'ts
Question : True or False ?
We should ignore submittals that we did not request as long as
they're approved/stamped by the GC.
Answer : False
• Return "not requested/not reviewed".
• To accept or take affirmative action on them would merely
create the duty to review them.
• To take affirmative action on them would not only increase
the architect’s uncompensated workload but would likely be
construed as 'approval' in the eyes of the law.
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69. Project MANAGEMENT
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Do's and Don'ts
Question : True or False ?
We do not need to review/stamp technical submittals that are
reviewed/stamped by our engineering consultants.
Answer : False
• Architect : prime responsibility to the owner for processing
submittals
• Architect : review & stamp the submittals only after the
consultant has reviewed and stamped them.
• It is doubtful that we can avoid responsibility to the owner by
not stamping the drawings.
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70. Project MANAGEMENT
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Do's and Don'ts
Question :
What if requested submittals were not submitted by the GC and
therefore not reviewed by the Architect?
Answer :
• Architects : verify all specified submittals are actually received from the
GC.
• Good Idea : prepare a checklist of all specified submittals at the beginning
of the construction period so that each may be checked off as received.
• The GC should then be reminded to submit any missing submittals.
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Questions?
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