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ACH 231 Lecture 08 (Submittals And Shop Drawings) Part 2
 

ACH 231 Lecture 08 (Submittals And Shop Drawings) Part 2

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    ACH 231 Lecture 08 (Submittals And Shop Drawings) Part 2 ACH 231 Lecture 08 (Submittals And Shop Drawings) Part 2 Presentation Transcript

    • Project Submittals what are submittals, shop drawings & mock-ups? review and approval process their role in the construction contract submittal management
    • Project Submittals PART 2: the role of submittals in the construction contract submittal management participant responsibilities
    • Do Submittals become apart of the Construction Contract?
      • NO, but the contract bounds the requirements of the submittal
      • The specifications will state exactly the requirements for product/equipment/ system submittal
        • That the submittal is obligatory
        • What is to be included in the submittal package
        • Number of copies
        • Review process
    • Requirements of the Submittal
      • Procedures for processing submittals are found in Div. 1
        • MasterFormat 2004: Section 01 33 00
        • MasterFormat 1995: Section 01300
      • Also found in the A201 General Conditions of the Contract for Construction
        • Requires the Contractor to prepare, review, and forward various submittals to the A/E
        • A201 clarifies the A/E’s role in using professional judgment to review, approve, or take other action on the submittals.
    • So, if they don’t become apart of the Construction Contract, why do we need them?
      • Take this scenario:
      • The project specification on an office building state that the fire extinguishers are to be color: purple, but the specs do not specifically call out that the fire extinguishers are the be submitted for review. The project manager believes that this could be an error. If the error is assumed and red extinguishers are ordered, the project manager may be wrong.
      • Conversely, if a custom color was ordered and the owner and architect are surprised during final inspection, the project turnover may be affected.
    • So, if they don’t become apart of the Construction Contract, why do we need them?
      • Take this scenario:
      • It is important that the PM be proactive in this situation. Even if the specs don’t call for a submittal on the fire extinguishers, the PM should still forward one.
      • It may have turned out that it was an error on the drawings and the A/E will appreciate that the PM was able to put forth a validity check on this matter.
      • POINT MADE: it is one more measure of protection to the contractor in regards to their contractual obligation to furnish the building.
    • So, if they don’t become apart of the Construction Contract, why do we need them?
      • Subs and Suppliers feelings on Submittals:
        • Generally, they accept that the contract states that they must supply a submittal
        • But, most fight the process since it is lengthy
        • It is in THEIR BEST INTEREST to participate fully
        • THE MORE DOCUMENTS THAT ARE RECEIVED BACK FROM THE OWNER OR A/E WITH THEIR APPROVAL SIGNATURES AND STAMPS ON THEM, THE LESS LIABLE THE SUBCONTRACTORS AND SUPPLIERS ARE IN THE QUALITY ASSURANCE OF THE PROJECT.
    • So, if they don’t become apart of the Construction Contract, why do we need them?
      • Submittals become apart of the quality assurance process to the project
      • They support the contract, but are not held liable to the contract.
      • They are NOT contract documents and can not be used by the Contractor or A/E to modify the contract. (but they are used this way!!)
        • The proper way to change elements of the contract documents is through a CONTRACT MODIFICATION. Not a submittal.
    • So, if they don’t become apart of the Construction Contract, why do we need them?
      • Submittals are NOT a request for substitution
        • There is a process for substitution requests BEFORE the product submittal is reviewed.
        • If submittal incorporates a substitution, this is grounds for a “REJECT” from the A/E
        • However, this is not always the case, as it is far easier to request pricing on a change or substitution request in a submittal, rather than the “paperwork” required elsewhere. Most A/E’s accept this as normal practice to save time and keep the project on schedule.
    • What happens when shop drawings are not reviewed as intended:
      • From Construction Project Management ; Gould & Joyce
      • On July 17, 1981, 113 people were killed and 186 injured when two suspended walkways collapsed in the Hyatt Regency Hotel in Kansas City. This was the most devastating structural collapse in U.S. history-an accident that could have been prevented if a better-coordinated engineering review had taken place in the shop drawings process.
    • Source: http://antoine.frostburg.edu/phys/invention/case_studies/disasters/kansas_city_walkway.html
    • What happens when shop drawings are not reviewed as intended:
      • From Construction Project Management; Gould & Joyce
      • The hotel’s design called for three walkways to span the atrium at the second, third and fourth floors. The original design specified six single forty-six foot rods to run from the ceiling through the fourth-floor box beams and on through the second-floor box beams. The box beams were made up of a pair of eight-inch channels with flanges welded toe to toe so that the weight of the platforms were carried on washers and nuts attached to the hanger rods. The third-floor was offset and supported independently on its own set of hanger rods.
    • What happens when shop drawings are not reviewed as intended:
      • From Construction Project Management; Gould & Joyce
      Source: http://en.wikipedia.org/wiki/Hyatt_Regency_walkway_collapse
    • What happens when shop drawings are not reviewed as intended:
      • From Construction Project Management; Gould & Joyce
      • During the course of construction, shop drawings were prepared by the steel fabricator suggesting that a set of two hanger rods replace the single hanger rod on the second and fourth-floor walkways. Thus, a rod would extend from the roof framing to the fourth floor, and a second rod would run from the fourth-floor walkway to the second-floor. This change transferred all of the second-floor load to the fourth-floor box beam, doubling the load transmitted through the floor-floor box beam to the upper hanger rod. This submittal was stamped by the architect, the structural engineer, and the contractor, indicating their review.
      • From Construction Project Management; Gould & Joyce
      Source: http://en.wikipedia.org/wiki/Hyatt_Regency_walkway_collapse
    • Original detail As built detail Source: http://antoine.frostburg.edu/phys/invention/case_studies/disasters/kansas_city_walkway.html
    • Source: http://antoine.frostburg.edu/phys/invention/case_studies/disasters/kansas_city_walkway.html
    • What happens when shop drawings are not reviewed as intended:
      • From Construction Project Management; Gould & Joyce
      • The collapse occurred when the washer and the nut on the upper hanger rod pulled through the fourth-floor box beam, sending both platforms to the lobby floor, with the fourth-floor platform landing on top of the second-floor platform. Even though a government investigation found that the original design was inadequate, investigators believed that if the change had not been made, the collapse would not have occurred. The judge held the structural engineering consultants liable for the accident, even though the engineers argued that the steel fabricators should be held responsible.
    • What happens when shop drawings are not reviewed as intended:
      • From Construction Project Management; Gould & Joyce
      • The judge based his ruling on the fact that engineers, as licensed professionals, are responsible for assuring the structural safety of a building’s design. He also stated that an engineer should not be allowed to abdicate his or her responsibility to another party, such as the steel fabricator. Further, the purpose of the shop drawing process is to provide the opportunity for the engineering firm to verify the structural integrity of the design details.
    • What happens when shop drawings are not reviewed as intended:
      • From Construction Project Management; Gould & Joyce
      • This building failure illustrates the importance of good communication among the project participants since any engineer or architect who took the time to review the impact of change could have seen the possibility of a structural problem. Unfortunately, it appears that each reviewer stamped the submittal but assumed that someone else would complete the review.
      References: “ Hyatt Hearing Traces Design Chain.” Engineering News Record , July 26, 1984 “ Hyatt Ruling Rocks Engineers.” Engineering News Record , November 28, 1985 U.S. Department of Commerce, National Bureau of Standards. Investigation of the Kansas City Hyatt Regency Walkway Collapse. Washington, D.C.: U.S. Government Printing Office, 1982
    • Submittal Management
      • Three types of Submittals
      • Pre-Construction
      • Construction
      • Post-Construction (Closeout)
    • Submittal Management
      • Pre-Construction Submittals include:
        • Certificates of Insurance/Workman’s compensation coverage
        • Payment and Performance Bonds
        • Proposed Subcontractor and product lists (if not submitted at time of bid)
        • Preliminary construction progress schedule
        • Proposed use of the site and site logistics
          • Includes delivery gates, storage and staging areas, job-site trailer placement, signage
        • Control plans for Erosion, Pollution and Traffic
    • Submittal Management
      • Construction Submittals include:
        • Shop drawings
        • Coordination drawings
        • Product data
        • Samples
        • Quality Assurance/Quality Control documents
          • Design data, test reports, certificates, Manu. Instructions, Manu. field reports
        • Informational submittals
        • Construction photographs
    • Submittal Management
      • Closeout Submittals include:
        • Written notices of substantial and final completion
        • Final application for payment
        • Record documents
        • O & M Manuals
        • Spare parts, maintenance materials
        • Certificates of Payment
        • Release of Liens and waiver of debts/claims
        • Consent to surety to final payment
        • Special warranties
    • Submittal Management
      • The need for documentation of all submittals is critical to the project schedule.
        • Hold-up of approved submittals can be detrimental to the ordering, fabrication and installation of the material and equipment
        • This can PLAGUE any construction schedule
        • In many cases, the review and approval process is built into the schedule’s critical path (CPM schedule)
        • The improper submission of submittal documentation could also result in hold-up of final payment
    • Submittal Management
      • Critical to document receivership and forwarding of submittal package to respective parties
        • To keep organized with the schedule
        • To be used for delay claim to Owner when A/E does not return submittals in an adequate amount of time
        • The A201 does not specifically state a time period in which the A/E should review the submittal package. However, it states that “the architect’s action will be taken with such reasonable promptness as to cause no delay in the work or in the activities of the owner, contractor or other contractors, while allowing the sufficient time to permit adequate review.”
    • Submittal Management
      • Contractors and A/E’s use transmittals to “move” the submittal packages through the various parties.
      • This is necessary to identify key elements of the package
        • And show at what point the submittal is reviewed
      • Aids in filing and retrieving info
    • Submittal Management
      • Included on transmittal forms:
        • Project name, project number
        • Date of submission
        • Description of item submitted
        • Specification section number reference
        • Number of copies
        • Any special action required
        • Action boxes
    •  
    •  
    •  
    • Submittal Management
      • With the influx and outflow of so many submittal packages, documentation in logs in critical for knowing which have action taken and action pending
        • Contractors use a “Submittal Log”
        • Most cases, A/E uses the same log
      • Submittals are assigned consecutive numbers for identification and tracking
    •  
    •  
    • Participant Responsibilities Each member of the construction team has responsibility in the submittal process
      • Subcontractors/Suppliers
        • Reading and understanding the contract documents
        • Knowing the construction schedule and allowing adequate time for contractor and A/E review
        • Properly preparing submittals
        • Submitting in a timely manner
        • Using a transmittal form
        • Reviewing other submittals and coordinating with them
        • Maintaining records and current status
    • Participant Responsibilities Each member of the construction team has responsibility in the submittal process
      • Contractors
        • Reading and understanding the contract documents
        • Establishing a realistic submittal schedule that allows for resubmittal (if necessary)
        • Coordinating submittals including work by others
        • Reviewing submittals for compliance with contract documents, site conditions, dimensions, and construction means and methods
        • Approving submittals before transmitting them to A/E
        • Using a transmittal form
        • Distributing approved submittals to subcontractors and others
    • Participant Responsibilities Each member of the construction team has responsibility in the submittal process
      • Contractors
        • Maintaining copies of all approved submittals at the site for reference
        • Maintaining logs and tracking progress
    • Participant Responsibilities Each member of the construction team has responsibility in the submittal process
      • Architect/Engineer
        • Specifying reasonable requirements
        • Reading and understanding the contract documents
        • Verifying that the contractor has reviewed, stamped, and approved submittals
        • Reviewing and approving submittals in a timely manner or taking other appropriate action
        • Reviewing submittals for conformance with design intent
        • Using a transmittal form
        • Forwarding submittals to consultants and the owner
    • Participant Responsibilities Each member of the construction team has responsibility in the submittal process
      • Architect/Engineer
        • Maintaining a copy of approved submittals
        • Maintaining a submittal log and tracking progress
        • Consultants are held to the same responsibilities as the A/E and must return reviewed submittals to the A/E in a reasonable time period.
    • Participant Responsibilities Each member of the construction team has responsibility in the submittal process
      • Owner
        • Reading and understanding the contract documents
        • Reviewing and approving submittals, when appropriate, in a timely manner
        • Coordinating owner-furnished items that are to be installed by the contractor
        • Coordinating contractor-furnished items that may be installed by the owner or under a separate contract
        • Coordinating work to be completed under a separate contract
        • Using a transmittal form
    • Participant Responsibilities Each member of the construction team has responsibility in the submittal process
      • Owner
        • Allowing A/E to comply with contractual obligations and responsibilities
        • Following project requirements
    • Resources Construction Project Management , Gould & Joyce Pages 335-342 Construction Management Jumpstart , Jackson Pages 172-173, 280-281 Construction Contracting , Clough, Sears & Sears Pages 289-292 Project Resource Manual , CSI Pages 7.61-7.68