Construction Contract Administration

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
------------------------------

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
------------------------------

Original Message:
Sent: 03-16-2020 22:08
From: Derek Bustos
Subject: Submittals Stamped "For Record"

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
------------------------------

Would a stamp with "Reviewed for architectural design intent" also work?  Particularly if the item deferred is "design-build"

------------------------------
Janene Christopher AIA
Steinberg Hart
San Diego CA
------------------------------

Original Message:
Sent: 03-17-2020 05:33 PM
From: Philip Morris Haderlie AIA
Subject: Submittals Stamped "For Record"

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

Original Message:
Sent: 03-16-2020 22:08
From: Derek Bustos
Subject: Submittals Stamped "For Record"

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
------------------------------

To paraphrase an old CCA adage: "If you look you have an obligation to see, if you see you have an obligation to say." I personally don't hold a lot of stock in submittal stamp weasel words as a means to change the standard of care of an architect for the review and approval or other appropriate action on a submittal. I know some firms believe strongly in crafting cleaver language to give them protection. I guess I am old fashion and believe that submittals should be carefully reviewed and the architect take affirmative action to appropriately determine the status of the submittal. 

Remember, submittals are NOT Contract Documents and the architect's approval of a submittal does not change the Contract requirements. 

------------------------------
Dennis Hall FAIA, FCSI
HALL AEC PA
Charlotte NC
------------------------------

Original Message:
Sent: 12-21-2023 01:08 PM
From: Janene Christopher
Subject: Submittals Stamped "For Record"

Would a stamp with "Reviewed for architectural design intent" also work?  Particularly if the item deferred is "design-build"

------------------------------
Janene Christopher AIA
Steinberg Hart
San Diego CA

Original Message:
Sent: 03-17-2020 05:33 PM
From: Philip Morris Haderlie AIA
Subject: Submittals Stamped "For Record"

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

Original Message:
Sent: 03-16-2020 22:08
From: Derek Bustos
Subject: Submittals Stamped "For Record"

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
------------------------------

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

Original Message:
Sent: 03-16-2020 22:08
From: Derek Bustos
Subject: Submittals Stamped "For Record"

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
------------------------------

Original Message------

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
------------------------------

Original Message------

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
------------------------------

​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
------------------------------

Original Message:
Sent: 03-17-2020 20:45
From: David Solomon
Subject: Submittals Stamped "For Record"

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

Original Message:
Sent: 03-16-2020 22:08
From: Derek Bustos
Subject: Submittals Stamped "For Record"

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
------------------------------

I agree that the delegated design submittals should be reviewed by the design team. As for the submittal action stamp, I would encourage a disclaimer be included on the stamp similar to what is indicated in A201; the review performed is only for checking general conformance with the design intent of the contract documents. I would also encourage the specific language included on the stamp be reviewed by your professional liability insurance attorney to ensure you are not putting yourself at any additional risk.

------------------------------
Tyler Schaffer AIA
LMN Architects
Mukilteo WA
------------------------------

Original Message:
Sent: 03-18-2020 06:30 PM
From: Arlen M. Solochek FAIA
Subject: Submittals Stamped "For Record"

​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

Original Message:
Sent: 03-17-2020 20:45
From: David Solomon
Subject: Submittals Stamped "For Record"

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

Original Message:
Sent: 03-16-2020 22:08
From: Derek Bustos
Subject: Submittals Stamped "For Record"

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
------------------------------