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drawings, "or equals", product samples, and approved methods. Appellate court cases dealing with these disputes were identified and evaluated to determine the key and consistent issues and rules applied by the courts. The inquiries are organized in the form of a list for each type of submittal. The objective is for design professionals, owners, contractors, and contract administrators to resolve their disputes with the aid of these inquiries, thus avoiding unnecessary and costly litigation.
TABLE OF CONTENTS LIST OF FIGUR E S .................................................................................................... Chapter 1.
B AC KGRO UND ........................................................................................... PROBLEM STATEMENT ............................................................................. OB JE C TIV E ................................................................................................ VALUE OF THE WORK ................................................................................ OUTLIN E OF TASK S .................................................................................... ME T H OD S .................................................................................................. OR GANIZ A TION ........................................................................................... Chapter 2.
DESCRIPTIVE VS. PERFORMANCE SPECIFICATIONS ........................ 36 DEFINING DESIGN PROFESSIONAL LIABILITY ................................... 37 What site services are required of the design professional? ................ 37 Supervision vs. Observation .................................................... 37 Cannot ignore the clear and unambiguous language ............... 38 "Approved Methods" specifically called for .......................... 40 Did the design professional assume more responsibility than required? . 41 Intentions of the parties are demonstrated by their actions ......... 41 ILLUSTRATIVE EXAMPLE ...................................................................... 43 Waggoner v. W & W Steel Company .................................................. 43 Chapter 5.
The design professional's role in any construction project is important, multiple, and varied. In addition to actually designing the work, the design professional performs functions such as making regular visits to the job site to gain a familiarization with the progress and quality of the work, rejecting work not in conformance with the contract documents, preparing change orders, determining dates of substantial and final completion, and issuing a final certificate for payment.
review and approval of contractor submittals. Submittals are pieces of project information that the contractor is contractually obligated to forward to the design professional for review/approval. Submittals include shop drawings, product data, material and equipment samples, mock-ups, test results, warranties, maintenance agreements, workmanship bonds, project photographs, record drawings, field measurement data, and operating and maintenance manuals.' The submittal review process provides owners with added assurance that the project is being constructed as designed and will meet their needs. Subcontractors often start the process by preparing the submittal for review by prime contractors and for review/approval by the design professional. contentious issue in contract disputes.
The submittal review process is a source of concern for design professionals in that it exposes them to potential claims, such as delaying the construction schedule due to untimely submittal review.
sustained by persons due to a construction failure, where the failure can be traced to negligence in submittal review. Liability can also extend to consulting engineers hired by the prime design professional. Design professional organizations, such as the American Institute of Architects (AIA) and the Engineers' Joint Contract Documents Committee (EJCDC), have recognized this concern and have taken steps over the years to limit liability or the potential for claims.
submittals are not contract documents.
It is evident that professional organizations recognized where problems with submittals can occur and have made exhaustive efforts to negate or reduce the likelihood that design professionals could be legally responsible in the event that contractors, owners, or third parties decided to pursue litigation against them.
There is not a clear understanding of how courts decide cases charging design professionals with negligence for the review/approval of contractor submittals. How do the courts view design professionals' responsibilities with respect to this issue?
4 noted earlier, professional organizations have gone to great lengths to minimize liability, but have they instead clouded the issue? These are some of the questions that required further research.
samples, and approved methods. The research will show where the courts consistently apply rules to decide these matters and develop a condensed list of pertinent issues which must be addressed in determining the likelihood that the design professional is liable.
5 and design professionals. These same benefits may also be realized by private owners and contractors as well.
The methods used to accomplish the above outline of tasks are as follows: 1. Define industry standard procedures for submittal review and approval. A literature search was conducted to define current procedures used by design professionals. Sources included standard documents recommended by AIA and EJCDC and those used by NAVFAC. Specific contract language was compared.
6 2. Identify appellate court cases dealing with the issues. The "West System," a comprehensive scheme of appellate court decisions from all jurisdictions, was used to identify applicable cases. Textbooks, periodicals, and legal journals were also consulted. The cases covered federal, state, and private sector contracts. "Shepard's System," a method to determine whether a case still carries precedential authority, was used to assure the accuracy of the outcome. 3. Evaluate appellate decisions to determine key and consistentjudicial viewpoints and attitudes. This is perhaps the most critical element of the research. It is important that a good cross-section of decisions dealing with similar issues from multiple jurisdictions be compared to identify common inquiries and based on the outcome of the inquiry, evaluate the consistency of the conclusion. This step yielded the inquiries and rules. 4. Compare judicial attitudes to industry standardprocedures. This step was necessary to illustrate where design professionals are correct and where they are incorrect in relying upon the contracts they are using to guide them in the performance of their jobs. 5. Organize rules in an easily understoodlisting orflowchart. This was the ultimate goal of the research. The final product was expected to be a short list of qualifying questions which should be asked to determine whether or not a design professional can be considered liable in a court of law.
7 6. Test the validity of the rules with several sample cases.
additional cases were evaluated by applying the rules established to ensure that reliance upon these rules would help to predict eventual outcome.
This thesis is divided into five chapters. Chapter 2 defines the rules for a design professional's liability with respect to shop drawing review and approval. Chapter 3 supports previous research conducted by C. William Ibbs in defining issues important to defining a design professional's liability in using "or equal" specifications. Application of these same issues to product sample submittals is shown. Chapter 4 identifies the rules which define a design professional's liability for approving methods employed by contractors on the construction site. conclusions.
Design professional practice frequently involves the processing, review, and approval of shop drawings. The use of shop drawings plays an important role in the design professional's ability to render appropriate professional services on behalf of the owner. Whether or not a professional liability claim will result from the processing, review, and approval of shop drawings often is determined by a number of factors. These include how well the architect or engineer understands the function and purpose of shop drawings, as well as their relationship to the design and the contract documents. Another factor involves the willingness of the design professional to insist that all parties adhere to the procedures for handling shop drawings set forth in the General Conditions of the contract documents.
Documents Committee's (EJCDC) Document Number 1910-8. The AIA definition reads as follows: Shop Drawings: Drawings, diagrams, illustrations, schedules, performance charts, brochures and other data prepared by the Contractor or any Subcontractor, manufacturer, supplier or distributor, which illustrate how specific portions of the Work shall be fabricated and/or installed. 8 The concepts contained in this definition are reflected in the provisions of the standard AIA and EJCDC General Conditions. Thus, it is important to understand exactly what the shop drawings are. Equally important, it is necessary to perceive what the shop drawings are not: Shop drawings are not part of the "contract documents." The standard General Conditions define which documents constitute the "contract documents" for the project, and neither the AIA nor the EJCDC General Conditions include shop drawings within that definition. A quick review of the definitions for the "contract documents" contained in the standard General Conditions indicates that the component parts of the contract documents are prepared by or with the assistance of the design professional. 9 However, as can be seen by the definition for shop drawings set forth above, the shop drawings are prepared by the contractor (or someone directly responsible to the contractor). As a result, it would be inappropriate to include shop drawings within the definition of those documents which are the responsibility of the design professional.
In a typical three-party relationship, there exists certain duties that the design professional owes the owner and the contractor. As shown in Figure 2.1, these include contractual duties owed to the owner and legal and professional duties owed to both the owner and contractor.
Contractual. The design professional is obligated by contract to perform the services for which the owner is paying.
Did the contractor deviate from contract requirements?
Does the approved shop drawing meet the design intent?
13 hand, elements of the work which are subject to specific fabrication, manufacturing, assembly or installation requirements are often left to be shown in detail in the shop drawings. This approach is shown in Model 2 of Figure 2.2. The standard General Conditions published by AIA and EJCDC contain detailed requirements for processing shop drawings.
15 with angle supports as required. However, the applicable shop drawings indicated 14gauge steel without angle supports for the landing pans. HDR granted approval for construction. One of the landing pans subsequently failed when Jaeger and Sell stepped onto it, causing them to fall 16 feet to the floor below. Both were injured in the fall. The court upheld a jury's decision against the architect, as the shop drawing did not meet the design intent of the landing pans (i.e. loading requirements). This case illustrates the design professional's legal duty to "protect and safeguard life, health and property" noted in Figure 2.1 and is an example of Model 1 of Figure 2.2. As noted earlier, elements of the work which are subject to specific fabrication, manufacturing, assembly or installation requirements are sometimes left to be shown in detail in the shop drawings. This process is shown in Model 2 of Figure 2.2. Duncan v. Missouri Board for Architects, Professional Engineers And Land Surveyors 14 , commonly referred to as the "Hyatt Regency Case," clearly illustrates the use of this process. In this case, the design professional provided structural drawings for a box beam-hanger rod connection for suspended walkways in a hotel atrium. The original design called for the fourth and second floor walkways to be supported by what is referred to as a "one rod" design. The steel fabricator proposed the use of a "double rod" system instead because of certain fabricating problems. The effect of this change was to double the load on the fourth floor walkway and the box beam-hanger rod connections on that walkway. Shop drawings incorporating the change were prepared by the fabricator and approved by the design professional.
16 hotel opened, killing 114 people and injuring at least 186 others. The court held the design professional liable, finding that he did not review the shop drawings for conformance with the design concept. 15 Referring to Figure 2.2, the design professional failed to communicate certain information and data essential for the fabricator to design the connection and he failed to review calculations for the "double rod" system, ensuring that it would still meet the original design intent.
In determining if a shop drawing meets the design intent, it is also necessary to review the contractor's obligations.
drawings, or have them prepared by a subcontractor, manufacturer, supplier or distributor. In addition, the contractor is obligated by contract to check and approve shop drawings before submitting them to the design professional. applicable to both models shown in Figure 2.2.
17 deck units used in.. .manufacturer, size, gage and installation." The General Conditions of the contract were similar to AIA Document A201 in that "approval of drawings shall not be construed as relieving the Contractor of the responsibility for any errors, including details, dimensions, materials, etc." The contractor and the contractor's supplier failed to verify dimensions prior to submitting shop drawings for the roof panels. The owner (the G.S.A.) approved the shop drawings, and the panels were delivered to the site but were unable to be installed because they were too short.
Conditions in noting that "Approval of G.S.A. not binding as to dimensions." 13 It can be inferred that rejection or disapproval of shop drawings are also not binding as to dimensions.
18 contractor. Therefore, it is important for design professionals to establish procedures and a schedule for the receipt, review, approval and return of shop drawings to the contractor. In E. C. Ernst, Inc, v. Manhattan Construction Company of Texas 19, the court found that the "Owner's architect on hospital construction project was negligent as matter of law by virtue of pattern of procrastination in approval of electrical fixtures and generator system..." as a result of the architect delaying approval of the electrical fixture and generator shop drawings by 14 months and 161 days, respectively. In both cases, a great deal of correspondence flowed between the architect and the contractors and many meetings were held regarding the shop drawings; however, the architect procrastinated in resolving the items in question.
An important and often overlooked, provision in the General Conditions requires the contractor to notify the design professional in writing about any information in the shop drawings which deviates from the requirements of the contract documents. Subparagraph 3.12.8 of AIA Document A201 states: The Contractor shall not be relieved of responsibility for deviations from requirements of 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 and the Architect has given written approval to the specific deviation.20 Similar language is found in paragraphs 6.25.2 and 6.27 of EJCDC's General Conditions.
19 The architect's or engineer's approval does not in and of itself, and pursuant to the contract provisions, relieve the contractor from responsibility for errors or omissions in the shop drawings. Such was the case in Samuel J. Creswell Iron Works v. Housing Authority of Camden, New Jersey2", where the architect, Liszewski, approved a shop drawing for steel stairs which deviated from the specification requirements.
20 unapproved so that there will be no opportunity for the contractor to claim that he/she was unduly delayed by the design professional.
Facts This is a suit by a tunnel construction contractor, Regan, to recover for damages which occurred when a temporary bulkhead built by another contractor and approved by the project engineer subsequently leaked and caused flooding. Diamond, the "other" contractor, requested permission of Parsons, the engineer, to cut out a steel bulkhead and to build a temporary wooden bulkhead in another location to allow access for their work. Diamond drafted plans for the bulkhead, which Parsons examined and made certain recommendations for changes so that it would be structurally stronger.
dimensions... The Contractor shall submit to the Engineer the designs and working drawings for plant and temporary structures required in the work... Such approval, however, will not relieve the Contractor of his responsibility for the adequacy of their design, construction and use.. 27 Analysis and Conclusion The contract language cited above is similar to standard AIA and EJCDC language in that the engineer's responsibility was only to check the drawings for strength and detail requirements, or for conformance with the design concept. The contractor retained responsibility for construction means and methods. The court agreed in noting that: There was no evidence of any duty on the part of Parsons to specify how the bulkhead should be caulked nor how it should be fitted against the surrounding masonry walls. No defect in the plans was suggested nor shown. All the evidence showed that the manner of fitting the bulkhead against the masonry and the manner of caulking to prevent leaks were field details which were the responsibility of the contractor. No damage resulted from any defect in the 28 plan.
22 requirement. The approved shop drawings were given to a second subcontractor for use in preparing a Roof Joist Placing Plan. This plan was submitted to the Government with a series of specific questions noted on the face of the plan, none of which called specific attention to the fact that the 1/4 inch slope requirement would not be met. Again, approval was granted by the Government. The contractor purchased a type of joist which had a straight parallel top. The government refused installation, requiring the contractor to purchase the requisite slope joist. The contractor complied and sued for the additional cost. Special Provision No. 10 of the contract, addressing shop drawings, stated in part: The approval of the drawings by the Contracting Officer shall not be construed as a complete check, but will indicate only that the general method of construction and detailing is satisfactory. Contractor is responsible for dimensions and design of adequate connections, details, and satisfactory construction. Approval shall not be construed to indicate approval of a substitute unless the contractor has specifically and affirmatively put the Government on notice that this submittal includes a proposed substitution and the Government acknowledges the substitution by specific approval action for the substituted item.30 (emphasis added) Analysis and Conclusion The shop drawing provision clearly and unambiguously requires that the contractor call attention to any deviation in the shop drawings from the contract requirements. Contractors who choose to ignore language such as this do so at their own peril as evidenced by the court's decision against the contractor in this case.
qualified vendors or they may be available to only one. The first situation is referred to as an "open" specification and the second is called a "closed" specification.
construction projects where public funds are used, the closed specification is illegal. The result of a closed specification is to eliminate competition, even if the closed specification is used for only one product for the project. Since this is contrary to public interest, legislation has been enacted forbidding its use on public projects. On the other hand, open specifications make it possible for the greatest number of firms or manufacturers to compete for the contract for that branch of the work.31 A common approach used by design professionals to specify materials or equipment is called a "restricted" specification, which is a combination of open and closed specifications. Under this approach, brand names are listed followed by the phrase "or approved equal." The specification drafter must exercise care to ensure that all brands listed are in fact equal and that an unfair advantage is not granted to one of the vendors. The phrase "or approved equal" is interpreted to mean approved as equal by the design professional. The contractor does not have the authority to establish equality of products.
contracts frequently include a brand name "or equal"
As noted earlier in the Navy's Guide for Architect-Engineer Firms, it is very important to list the features of the product desired, such as physical, functional, or others deemed necessary to meet the owner's needs. The listed features establish the basis upon which the equality of nonlisted products will be determined. Ibbs noted that "failure to provide such a descriptive statement forces bidders to speculate about the true needs of the procuring agency, a condition traditionally held to be unfair to all parties concerned."
27 The courts have been clear and consistent in holding that all salient features identified must be met for the proposed substitute to be considered "equal."
Although it has been established that the salient feature issue is important in determining liability for "or equal" specifications, it remains unclear how courts rule in cases where salient features are not listed with the proprietary item.
Interchangeability/Compatibility (as a salient feature) As Ibbs noted, a determination of equality among products becomes even more clouded when interchangeability or compatibility with existing systems is introduced as a salient feature.
established; however, the existence of an "or equal" clause requires that the design professional at least consider the equality of a proposed substitute. In other words, the clear and unambiguous language of the "or equal" clause cannot be ignored: design professionals must evaluate proposed substitutes even though the manufacturer differs from that named in the specifications. Such was the case in Jack Stone Company v. United States49 . The specifications for a fire alarm system provided as follows: 16-3. GENERAL. ...The existing system is of Sperti Faraday manufacture. All new equipment and parts furnished shall be of the same manufacturer to insure full and satisfactory performance of the completed system.
However, the "Standard References" section of the specifications contained the following: 1-19 (c) Reference in the specifications to any article, device, product, materials, fixture, form or type of construction by name, make, or catalog number, shall be interpreted as establishing a standard of quality, and not as limiting competition. The Contractor may make substitutions equal to the items specified if approved in advance in writing. The contractor proposed a system manufactured by A.D.T.
the product, sufficient description must be given so that it may be fabricated by the bidder or others. In Aerodex, Inc. v. United States5', the government contracted for the supply of thermistor mounts for a missile system. The contract required that the thermal resistors, a component of the thermistor mounts, be "Western Electric Company's Part No. GA51387...'or approved substantial equal"".
components of the 35 elements comprising the thermistor mount whose material contents were not described in the contract. Aerodex discovered that the government lacked and could not obtain the material specifications from Western Electric, nor would Western Electric sell the parts to Aerodex.
system and cited three manufacturers that would be considered acceptable.
court the engineer testified that at the time he wrote the specifications, he did not know of a single engine of any manufacturer which complied fully writh the specifications. Naturally, the court found the engineer liable for drafting deficient specifications (i.e. the generator described was not commercially available).
Ribs states that "Conceivably a contractor may wish to supply an item superior in some aspect to the specified brand.
It is common practice in the construction industry for owners and design professionals to seek the assistance of "experts" of certain equipment or systems in drafting specifications.
expert's product, including details of its performance levels. The product is typically named in the "or equal" clause. This practice has been contentious for many years because others claim that it violates federal and state antitrust laws.
34 discourages competition and attempts to monopolize or restrain trade.
Kendall Elevator Co., Inc. v. LBC&W Associates of South Carolina, Inc. 5 56 Fisher v. Borough of Longport 5 Security Fire Door Company v. County of Los Angeles 7 58 George R. Whitten, Jr., Inc. v. Paddock Pool Builders, Inc.
The courts have held that design professionals, like product manufacturers, "may select their customers and may refuse to deal with anyone provided the refusal does not further a restrictive trade practice.',59 Although difficult to prove, if a design professional conspires with a contractor or vendor to limit competition, the design professional can be held liable for violating the antitrust laws, regardless of the inclusion of an "or equal" clause.
Waldor Pump and Equipment Company V.
60 Orr-Schelen-Mayeron and Associates, Inc.
Facts Waldor Pump filed a suit against Orr-Schelen-Mayeron (OSM), the engineering finn for the updating of a wastewater treatment facility.
subcontracted by PALCO, the prime contractor, to provide eight sludge pumps for the facility.
The contract specified a self-priming pump with a coil spring.
35 substitutions were permitted. OSM rejected PALCO and Waldor Pump's first proposal, claiming that the pump did not have a coil spring. Instead, a more expensive pump was later approved and installed. Waldor Pump sued for the additional cost. Waldor Pump stated that although the first pump did not have a coil spring, it was self-priming. Expert testimony showed that the first pump conformed in all material aspects to the specifications. Analvsis and Conclusion The expert testimony proved that the salient features of the specifications would be met by the first proposed pump and that OSM had no other reason for rejecting it. Courts will repeatedly hold that if a contractor proposes a substitute that's equal in terms of functional equivalence, the engineer must accept the alternative product.
In general, there are two basic approaches to writing specifications: the method system and the results system. When the method system is used, the specifier describes in detail the materials, workmanship. installation, and erection procedures to be used by the contractor in order to achieve the results expected. These are called methods or descriptive specifications. Conversely, the results system places the responsibility on the contractor to achieve the desired results by whatever means and methods the contractor chooses to use.
37 a design professional's potential liability when it comes to the means and methods used by contractors in the field.
What site services are required of the design professional?
documents. For instance, prior to 1961 the architect had general supervision of the work per AIA documents. AlA dropped the phrase "general supervision", replacing it with an observation requirement.
40 I. Size of the project. 2. Distance between the site and the design professional's home office. 3. Vhen crucial steps are undertaken, such as pouring concrete or covering work. 4. Type of construction contract. (Cost contracts require more monitoring.) 5. Experimental design or unusual materials specified. 6. Extent to which owner has a technical staff that will take over some of these responsibilities. 7. Observation of contractor's performance during visits. 8. Contractor's record of performance on the project.
41 and had made no effort afterwards to detennine how the duct had been installed.
Did the design professional assume more responsibility than required?
4: 5. 6. 7. 8.
In Hanna v. Huer, Johns, Neel, Rivers and Webb75• the court noted that "such factors. while not exclusive, would appear to be relevant in any case where an attempt is made to expand the architect's liabili•, beyond the specific provisions of the employment contract." McDonnell v. Wasenmi!ter76 clearly demonstrates where the design professiona! assumed a •eater role than he was contractually obligated to provide. In this case, an explosion occurred when an expansion joint anchor failed after steam was turned on in a steam heating plant.
Engineers furnish consultant service on the conduit work, specifying the sizes of pipe and conduit and approving desigm". The cou• noted that the engineers interpreted its duties to include inspections of the work as evidenced by inspection letters forwarded to the contractor, despite the fact that a different engineering finn was contracted to supervise the construction.
43 Consequently, the court upheld the lower court's ruling that Bums & McDonnell should have seen that a proper anchorage was installed to prevent the sleeve of the last section of pipe from slipping out of its expansion joint.
Facts The architects in this case designed a steel frame hospital in Oklahoma City, Oklahoma. Expansion joints were designed so that a shelf, welded to a column, provided a seat for a beam which was held in place by "keeper angles" welded in on either side of the beam. During construction, a gust of wind hit a section of the steel before it could be secured in place, causing it to collapse, resulting in the death of two workmen and the injury of another. The architects were sued for not ensuring that the contractor employ safe methods and procedures in performing his work. The General Conditions of the contract specified that the contractor was to supervise the work, being "solely responsible for all construction means, methods, techniques, and sequences and procedures".
44 periodically visiting the site but was not required to make "exhaustive or continuous onsite inspections to check the quality or quantity of the work". Analysis and Conclusions The relevant General Conditions of the contract were identical to those recommended by AlA. The court enforced the unambiguous language of the contract which placed responsibility for construction means, methods, and safety on the contractor. responsibility.
Included in this chapter are summaries of chapters two, three, and four, conclusions, and recommendations for future research related to the topic addressed in this thesis.
Chapters 2 through 4 define the issues which must be addressed in determining the liability of design professionals for the review/approval of four types of submittals: shop drawings, "or equals", product samples, and approved methods. These issues were defined using the methods described in Chapter 1.
46 develops the design details as shown in Model 2 of Figure 2.2. Courts will not hold design professionals accountable for errors in dimensions and quantities on the contractor's shop drawings.
Was the review timely? Standard contracts require that design professional action will be taken with such reasonable promptness as to cause no delay in the work. Although difficult to define reasonable promptness, it is clear that design professionals should ensure that procedures are established for the receipt, review, approval, and return of shop drawings to the contractor. Prolonging decisions exposes the design nrofessional to more scrutiny by the courts.
Did the contractor deviate from contract requirements? Courts enforce standard contract requirements that the contractor notify, the design professional if their shop drawings deviate from contract requirements in any way. Contractors cannot hold design professionals responsible for approving faulty shop drawings without notification.
Salient Features of Product Desired The courts have been clear and consistent in holding that all salient features identified must be met for a proposed substitute or sample to be considered "equal." Design professionals must also be aware of the significance of the salient features that they include in contracts. They, too, will be held liable if approval is not ganted to proposed substitutes or samples which meet the features desired. Although it has been established that the salient feature issue is important in detennining liability for "or equal" specifications, it remains unclear how courts tend to rule in cases where salient features are not listed with the proprietary item.
Bidding Equals Belousofsky v. Board of Education of City of Linden 79 demonstrates the requirement that the bidder prove equality of a proposed substitute. Failure to provide enough information for the design professional to make a determination of equality will render the bid nonresponsive. Design professionals will not be held liable.
48 Interchangeability/Compatibility (as a salient feature) The clear and unambiguous language of the "or equal" clause cannot be ignored: design professionals must evaluate proposed substitutes even though the manufacturer differs from that named in the specifications.
Commercial Availability of Product Courts have shown that design professionals bear a risk in ensuring that the products they identify are commercially available to all potential bidders.
commercial availability of the product, sufficient description must be given so that it may be fabricated b\ the bidder or others.
Superior Quality Substitutes Superior quality substitutes may be rejected for not complying exactly wiqth the contract specifications.
49 exercise such supervision as is necessary to assure that the work comply with the plans and specifications. Occasionally, a design professional may deem certain portions of the work important enough to require that the methods to be used by a contractor be approved. Requirements such as this may impose upon the design professional a higher duty to ensure that the work is performed in an approved manner.
Did the design professional assume more responsibility than required? Despite the protective language of the standard contract documents, design professionals can, at their own peril, demonstrate certain actions which bring more responsibilit, upon themselves. Courts will hold them accountable for the contractor's means and methods if these actions are demonstrated.
50 liability of a design professional for the review and approval of contractor submittals. The common inquiries made by the courts are detailed in the previous chapters.
Following is a list of topics related to this topic which may warrant additional research: 1. As noted in Chapter 3, it remains unclear how courts tend to rule when salient features are not listed in "or equal" clauses.
decisions will help to answer this question. 2. Numerous texts and periodicals address the importance of the "Architect's stamp" for contractor submittals. How important is it according to the courts? 3. As noted in Chapter 4, use of "approved methods" clauses may impose upon the design professional a higher duty to ensure that the work is performed in an approved manner. Do more recent appellate decisions support this theory? 4. The appendix offers a guide for design professionals to use to minimize their liability for submittal review and approval. A similar guide for contractors to use could be developed which would help them to define the "model submittal".
Abbett, R. W., Engineering Contracts and Specifications. New York: John Wiley & Sons, Inc., 1963. American Institute of Architects, The, General Conditions of the Contract for Construction, AIA Document A201. Washington, D.C.: The American Institute of Architects, 1987. American Institute of Architects, The, Instructions to Bidders, AIA Document A701. Washingon, D.C.: The American Institute of Architects, 1987. American Institute of Architects, The. Glossary of Construction Industry Terms. AlA Document MIO0. Washinton, D.C.: The American Institute of Architects, 1970. American institute of Architects, The, Standard Form of Areement Between Onmer and Architect. AIA Document B 141. Washinaton. D.C.: The American Institute of Architects, 1987. Cushman, R. F., Avoidina Liability in Architecture. Desian and Construction. New York: John Wiley & Sons, 1983. Cushman, R. F. and Bottum, T. B., Architect and Engineer Liability: Claims Against Desian Professionals. New York: John Wiley & Sons, 1987. Dunham, C. W. and Young, R. D., Contracts. Specifications, and Law for Enaineers. New York: McGraw-Hill Book Co., 1958. Enaineer's Joint Contract Documents Committee, Standard Form of Areement Between Owner and Engineer for Professional Services, Document No. 1910-1. Washington, D.C.: NSPE, ACEC, ASCE, CSI, 1984. Engineer's Joint Contract Documents Committee, Standard General Conditions of the Construction Contract, Document No. 1910-8. Washington, D.C.: NSPE, ACEC, ASCE, CSI, 1983. Engineer's Joint Contract Documents Committee, Guide to the Preparation of Instructions to Bidders, Document No. 1910-12. Washington, D.C.: NSPE, ACEC, ASCE, CSI, 1983.
Confine the architect's and engineer's review and approval of shop drawings to a determination of whether they conform to the design concept and the requirements of the contract documents. It should be made clear that any, approval does not extend to information not called for in the contract documents.
Do not do the contractor's job - if shop drawings have been submitted without having been checked and approved by the contractor, do not accept them.
Do not accept shop drawings and other required submittals from anyone but the contractor; these should not be submitted directly to the architect from subcontractors or suppliers.
Establish and maintain a log in the office to record the dates on which all submittals are received and returned.
contractor submittals cannot be approved, document carefully and in writing the reasons why they have been rejected or returned without approvals.
The following additional recommendations are offered by the author: * Ensure that contractors are aware that they must notiý' the design professional of any deviations from contract requirements contained in shop drawings. * Ensure that all salient features of products desired are listed and attainable by contractors and their suppliers. * If contractors fail to adequately demonstrate the equality of products during bid submission (if allowed), reject the bid immediately. * Avoid the requirement that products be interchangeable where possible. * Do not assume more responsibility for site supervision than called for by the contract. * Tailor the standard contract clauses recommended by AIA and EJCDC to meet individual needs.
Where possible, incorporate these clauses "as is"
61 beause pr cdence-setting, cases have proven that they do limit a desiLn professional's liability for contractor submittal review and approval.

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