Shop Drawings and Other Construction Submittals

Shop Drawings and OtherConstruction SubmittalsEli Goldstein, AIA, PP, LEED, Managing PartnerTHE GOLDSTEIN PARTNERSHIP, ARCHITECTSMaplewood, NJegoldstein@goldstein-architects.com© 2011 The Goldstein PartnershipRobert C. Epstein, Esq.Greenberg Traurig, LLP200 Park Avenue | Florham Park, NJ | 07932973.360.7945 | epsteinr@gtlaw.comAIAThe Construction Specifications Institute is a RegisteredProvider with The American Institute of ArchitectsContinuing Education Systems. Credit earned on completionof this program will be reported to CES Records for AIAmembers. Certificates of Completion for non-AIA membersavailable on request.This program is registered with the AIA/CES for continuingprofessional education. As such, it does not include contentthat may be deemed or construed to be an approval orendorsement by the AIA of any material of construction orany method or manner of handling, using, distributing, ordealing in any material or product. Questions related tospecific materials, methods, and services will be addressedat the conclusion of this presentation.

CENThis program is a registered educational program with theConstruction Specifications Institute of Alexandria, VA. Thecontent within this program is not created or endorsed byCSI nor should the content be construed as an approval ofany product, building method, or service. Information on thespecific content can be addressed at the conclusion of thisprogram, by the Registered Provider.Credit earned for completing this program will automaticallybe submitted to the CSI CEN. Completion certificates can beobtained by contacting the Provider directly.This logo and statement identify Provider programsregistered with the CSI CEN and are limited to theeducational program content.What are Shop Drawings andWhy are they Used?Shop Drawings are drawings, diagrams, schedulesand other data specially prepared for the Work bythe Contractor or a Subcontractor, Subsubcontractor,manufacturer, supplier or distributorto illustrate some portion of the Work.(AIA Document A201-2007, General Conditions ofthe Contract for Construction, Section 3.12.1)4

How are Shop Drawings Reviewed?• Contractor ensures that the construction process isfeasible and safe• A/E ensures the final adequacy and safety of thestructure• AIA Document A201-2007, Section 4.2.7The Architect will review and approve or take otherappropriate action upon the Contractor’s submittalssuch as Shop Drawings, Product Data and Samples,but only for the limited purpose of checking forconformance with information given and the designconcept expressed in the Contract Documents5How are Shop Drawings Reviewed? (cont’d)•AIA Document A201-2007, Section 4.2.7The Architect’s review shall not constitute approval of safetyprecautions or, unless otherwise specifically stated by the Architect,of any construction means,methods, techniques, sequences orprocedures• AIA Document A201-2007, Section 3.12.6By submitting Shop Drawings, Product Data, Samples and similarsubmittals, the Contractor represents to the Owner and Architect thatthe Contractor has (1) reviewed and approved them, (2) determinedand verified materials, field measurements and field constructioncriteria related thereto, or will do so and (3) checked and coordinatedthe information contained within such submittals with therequirements of the Work and of the Contract Documents.

Interpretation of Shop DrawingsAIA Document A201-2007, Section 3.12.8The Work shall be in accordance with approved submittals exceptthat the Contractor shall not be relieved of responsibility fordeviations from requirements of the Contract Documents by theArchitect’s approval of Shop Drawings, Product Data, Samples orsimilar submittals unless the Contractor has specifically informedthe Architect in writing of such deviation at the time of submittaland (1) the Architect has given written approval to the specificdeviation as a minor change in the Work, or (2) a Change Orderor Construction Change Directive has been issued authorizing thedeviation. The Contractor shall not be relieved of responsibility forerrors or omissions in Shop Drawings, Product Data, Samples orsimilar submittals by the Architect’s approval thereof.Delays in the Shop Drawing ReviewProcessAIA Document A201-2007, Section 4.2.7The Architect’s action [on shop drawings] will betaken in accordance with the submittal scheduleapproved by the Architect or, in the absence of anapproved submittal schedule, with reasonablepromptness while allowing sufficient time in theArchitect’s professional judgment to permitadequate review.

Minimizing ExposureSHOP DRAWING REVIEW STAMPReview and approval of the within drawing are only for conformancewith the general design concept of the Project as generallyexpressed in the Contract Documents. Review and approval of thewithin drawing are not conducted for the purpose of determining theaccuracy and completeness of details, like dimensions or quantities,or for substantiating instructions for the installation or performanceof equipment or systems, all of which remain the responsibility of theContractor as required by the Contract Documents. The DesignProfessional's review and approval shall not constitute approval ofany construction means, methods, techniques, sequences, or anysafety precautions or procedures. The Design Professional'sapproval of a specific item shall not indicate approval of anyassembly of which the item is a component.Changes in the WorkAIA Document A201-2007:Section 7.2.1A Change Order is a written instrument prepared by theArchitect and signed by the Owner, Contractor andArchitect stating their agreement upon all of thefollowing:1.The change in the Work;2.The amount of the adjustment, if any, in the Contract Sum;and3.The extent of the adjustment, if any, in the Contract Time

Changes in the Work (cont’d)• Section 7.3.1• A Construction Change Directive is a written orderprepared by the Architect and signed by the Ownerand Architect, directing a change in the Work prior toagreement on adjustment, if any, in the ContractSum or Contract Time, or both. The Owner may byConstruction Change Directive, without invalidatingthe Contract, order changes in the Work within thegeneral scope of the Contract consisting of additions,deletions or other revisions, the Contract Sum andContract Time being adjusted accordingly.Changes in the Work (cont’d)• Section 7.3.2• A Construction Change Directive shall be used in theabsence of total agreement on the terms of a Change.• Section 7.3.5• Upon receipt of a Construction Change Directive, theContractor shall promptly proceed with the change inthe Work involved and advise the Architect of theContractors agreement or disagreement with themethod, if any, provided in the Construction Directivefor determining the proposed adjustment in theContract Sum or Contract Time.

Requests For Information• AIA Document A201-2007 Section 4.2.11• The Architect will interpret and decide mattersconcerning performance under, and requirements of,the Contract Documents on written request of eitherthe Owner or Contractor. The Architect’s responseto such requests will be made in writing within anytime limits agreed upon or otherwise with reasonablepromptness.Questions & Answers

Responsibilities of Design Professional• Review submittals in a timely manner• Identify which specified submittals, if any, are missing• Confirm general conformance with the ContractDocuments• Flag aspects which are not in conformance• Mark submittals with appropriate “actions”• Qualify any comments made based on incompleteinformation• Issue notices in the event that any field work is not inconformance with approved submittals or wasperformed in the absence of approved submittalsResponsibilities of Contractor• Submit shop drawings (and resubmittals) in a timelymanner• Maintain an up-to-date submittal log• Certify conformance with the Contract Documents• Coordinate the work of the subcontractors and suppliers• Take the actions marked on the submittals by the A/E• Submit complete and coordinated shop drawings• Perform only that work which has been approved

Categories of Shop Drawing Information• Procedural Information– Project Name & Number– Contact Info for Contractor, Fabricator, and Detailer– Contact Info for Contractor’s Engineer (if applicable)– Date, drawing number and version number of each drawing– Total number of sheets in ultimate set of shop drawings• Substantive Information– Shop standards– Components and assemblies– Quantities and dimensions– Quality and finish indications– Cross-references to relevant details– Indications of areas where add’l info is required from A/ECritical Contents of Shop Drawings• Coherent• Complete– with respect to scope and quantities– with respect to engineering (if required)• Conforming– with the Contract Documents– with applicable Codes and Standards• Coordinated– with other trades– between shop and field operations– with other submittals• Configured– to allow for moisture and temperature effects– to allow for variations among materials

Critical Contents of Shop Drawings• Connected– within the trade– to the work of other trades• Constructable– within the trade– with the work of other trades• Consistent– with the Construction Documents (drawings and specs)– with trade jurisdictions– with the contractor/subcontractor/supplier contracts– with the proposed construction sequence• Cross-referenced– between pieces and assemblies– between the piece drawings and the actual piecesA/E Shop Drawing Review Actions• Actions which permit fabrication to proceed:– “Approved” or “Authorized” or “No Exceptions Taken”– “Approved as Noted” or “Authorized as Noted”– “Revise & Resubmit for Record Only”• Actions which prohibit the start of fabrication:– Revise & Resubmit– Rejected– Incomplete• Other potential actions:– Not reviewed (indicates lack of jurisdiction or responsibility)

Questions & Answers