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The Construction Contract Administration Knowledge Community (CCA) has been established to help our members better understand the issues, actions and resultant impact of the decisions required in this often neglected part of Project Delivery. It is our goal to provide clear answers to issues of concern to the Institute’s membership and share case studies and best practices. We further hope to provide guidance and direction in developing guidelines for new and evolving approaches to Project Delivery as well as guidance in the continuing education of our emerging young professionals.

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Submittals Stamped "For Record"

  • 1.  Submittals Stamped "For Record"

    Posted 03-16-2020 10:08 PM
    With the rapidly increasing differed submittals for miscellaneous steel, cold-formed metal studs, curtainwalls etc, what is the correct stamp for that submittal if the design intent is correct but details and calculations are by others?  Does it get stamped "No exceptions taken" or "For Record"?

    Thank you for your time.

    ------------------------------
    Derek Bustos AIA
    HNTB
    Los Angeles CA
    ------------------------------
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  • 2.  RE: Submittals Stamped "For Record"

    Posted 03-17-2020 05:34 PM
    Normally when I do these my AHJ will want some indication that it has been reviewed by the EOR.  So even if the design is provided by the subcontractor, I ask the engineer of record to provide a submittal reveiw stamp.  In this case we use the "no exceptions" but we also use the "furnish as corrected" if needed.

    I think you should be careful to comply with the intent of IBC as listed below:

    [A] 107.3.4.1 Deferred submittals. Deferral of any
    submittal items shall have the prior approval of the
    building official. The registered design professional in
    responsible charge shall list the deferred submittals on
    the construction documents for review by the building
    official.
    Documents for deferred submittal items shall be
    submitted to the registered design professional in
    responsible charge who shall review them and forward
    them to the building official with a notation indicating
    that the deferred submittal documents have been
    reviewed and found to be in general conformance to the
    design of the building. The deferred submittal items
    shall not be installed until the deferred submittal documents
    have been approved by the building official

    ------------------------------
    Philip Haderlie AIA
    Associate Principal
    VCBO Architecture
    Salt Lake City UT
    ------------------------------

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  • 3.  RE: Submittals Stamped "For Record"

    Posted 03-17-2020 08:45 PM
    Is this an action submittal required by the specifications? If so, them you need to take action.  One of my part employers' attorneys took the extreme step of limiting the A&E team to disposition submittals either "No Exceptions Taken" or "Make Corrections Noted and Resubmit", all of which requires your review (action).  There are also typically options for "No Exceptions Taken with Comments", "Rejected" (which means you didn't review it), or even "Reviewed" (which means you are neither required nor intend to take action on the submittal).  However, if you don't need to take action, I would question why you require an action submittal in the first place.  If you don't need to take action, and the submittal is just for your files or the owner's, then it should just be an informational submittal, which does not require any disposition or action.


    ------------------------------
    David Solomon AIA, CASp
    Supervising Architect
    California Department of General Services
    West Sacramento, CA
    ------------------------------

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  • 4.  RE: Submittals Stamped "For Record"

    Posted 03-18-2020 05:22 PM

    This should be an "informational submittal" or "an informational submittal for the Owner's record."

     

    ANNE WHITACRE  FCSI, CCS, Associate AIA, LEED AP BD+C
    Principal  |  Sr. Specification Writer

    HOK
    One Bush Street, Suite 200  |  San Francisco, CA 94104 USA
    t +1 415 356 8685  m +1 510 388 4333  anne.whitacre@hok.com

    hok.com  |  privacy policy




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  • 5.  RE: Submittals Stamped "For Record"

    Posted 03-18-2020 05:34 PM

    I did not see the original question when this came through my feed.

     

    Yes, "deferred submittals" or "delegated design" submittals are not simply "for the record".   They must be reviewed for design intent and our engineers also do "a sniff test" to make sure that the calculations make some sense in the scheme of the overall building.   But, it is important to make the distinction in both your documents and also your contract what the responsibility is of the architect/engineer in this case.  For "Design Assist" we are typically stamping; for "delegated design", someone else is stamping.  So  be clear about that intent first. 

    And then, your specifications should list if this is an action or informational submittal.  Generally these are action submittals for us to review and stamp.  We state very clearly that in delegated design, we are reviewing for design intent only and the review does not nullify the responsibility of the subcontractor.  We've revised our stamp to cover this condition.

     

    ANNE WHITACRE  FCSI, CCS, Associate AIA, LEED AP BD+C
    Principal  |  Sr. Specification Writer

    HOK
    One Bush Street, Suite 200  |  San Francisco, CA 94104 USA
    t +1 415 356 8685  m +1 510 388 4333  anne.whitacre@hok.com

    hok.com  |  privacy policy




    Open: Call for leaders. Applications due by Monday, November 8 at 5pm Eastern. Click here to view and apply to join the CCA leadership group!


  • 6.  RE: Submittals Stamped "For Record"

    Posted 03-18-2020 06:30 PM
    ​If the project is using the AIA A201 General Conditions, here's the applicable section related to Work provided through a performance specification (bold is mine):
    Article 3 is the Contractor:
    • 3.12.10.1 If professional design services or certifications by a design professional related to systems, materials, or equipment are specifically required of the Contractor by the Contract Documents, the Owner and the Architect will specify all performance and design criteria that such services must satisfy. The Contractor shall be entitled to rely upon the adequacy and accuracy of the performance and design criteria provided in the Contract Documents. The Contractor shall cause such services or certifications to be provided by an appropriately licensed design professional, whose signature and seal shall appear on all drawings, calculations, specifications, certifications, Shop Drawings, and other submittals prepared by such professional. Shop Drawings, and other submittals related to the Work, designed or certified by such professional, if prepared by others, shall bear such professional's written approval when submitted to the Architect. The Owner and the Architect shall be entitled to rely upon the adequacy and accuracy of the services, certifications, and approvals performed or provided by such design professionals, provided the Owner and Architect have specified to the Contractor the performance and design criteria that such services must satisfy. Pursuant to this Section 3.12.10, the Architect will review and approve or take other appropriate action on submittals only for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents.
    Article 4 is the Architect:
    • 4.2.7 The Architect will review and approve, or take other appropriate action upon, the Contractor's submittals such as Shop Drawings, Product Data, and Samples, but only for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents. The Architect's action will be taken in accordance with the submittal schedule approved by the Architect or, in the absence of an approved submittal schedule, with reasonable promptness while allowing sufficient time in the Architect's professional judgment to permit adequate review. Review of such submittals is 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, all of which remain the responsibility of the Contractor as required by the Contract Documents. The Architect's review of the Contractor's submittals shall not relieve the Contractor of the obligations under Sections 3.3, 3.5, and 3.12. The Architect's review shall not constitute approval of safety precautions or of any construction means, methods, techniques, sequences, or procedures. The Architect's approval of a specific item shall not indicate approval of an assembly of which the item is a component.
    Both of these appear to indicate that the architect must take some review action on all submittals, and a delegated design submittal is included. What you should use for wording of the review probably could use some input from our professional liability insurers.

    Last, remember the Kansas City Hyatt disaster, which stemmed in part from the improper handling and review of the contractor provided/altered support details.  We can't walk away from our professional responsibility for the submittal reviews.

    ------------------------------
    Arlen Solochek FAIA
    Owner
    Arlen M. Solochek, Consulting Architect
    Phoenix AZ
    Arlen.Solochek@domail.maricopa.edu
    ------------------------------

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