SPECIAL RISK :ISSUE Deep Foundations FEATURE ARTICLE Design Submittals – an Undervalued Element of Risk Management in Design-Build Contract Delivery Why Single Out Design Submittals? With infrastructure issues at the forefront of the public debate nationally, local, state and federal agencies are being tasked to deliver a completed project in less time and, if possible, at lower cost. To meet this demand, alternative contract delivery approaches designed to meet this objective are being implemented across the nation. Examples include construction man- agement at risk (e.g., CMGC), public- private partnerships (PPP) and DB. Implicit in each of these alternative delivery approaches is that there is a shift in risk from the owner to the DB project team. A common element in these alternative delivery contract approaches is that the engineering design process is compressed and the design engineers are working in parallel with a contractor to deliver the project. This closer working relationship between engineers and contractors requires a more focused attention on constructability for all designs with a critical link being that design submittals are to be reviewed for contract compliance before they can be processed as ready for construction (RFC). Under the time constraints, any delays can have a significant impact on project delivery. Examples of potential delays from a noncompliant design submittal include delays in material orders, interruptions to the completion of construction elements of a project, and disruptions to planned sequencing and/or the scheduling of subcontractors. Nowadays, when you attend a con- ference or seminar, or even open a current engineering periodical, it is not uncommon to see a reference to or a discussion on some This article addresses design submittals and the potential risk that an incomplete and noncompliant submittal represents in successfully delivering a design-build (DB) contract on public sector projects. While the focus will be on geotechnical design submittals, the issues discussed are relevant for all disciplines. topic related to risk management. During the last decade, numerous books and reference documents have been prepared, which provide guidance on implementing and executing risk management programs (e.g. , Guidel ines for Improved Risk Management on Tunnel and Underground Construction Projects in the United States by J. O’Carroll and B. Goodfellow, 2015). Other references provide specific quantitative methods to assess a project element and to integrate multiple risk elements into a cumulative analysis on a program level (e.g., Risk Management in Civil Infrastructure by M.M. Ettourney and S. Alampalli, 2017). A component of the risk process that has received little attention is how to communicate design decisions and how risks are integrated into a discussion of the alternatives that were considered to defend a design decision in a submittal that can be reviewed for contract compliance. At the core of the issue is that design submittals for a DB project are funda- mentally different from traditional con- sulting documents. The purpose of a design submittal is to defend a design alternative that is code, specification and contract compliant for construction. The emphasis is on construction, as the objective is to complete an infrastructure system in less AUTHOR Conrad W. Felice, Ph.D., P.E., D.GE, F.ASCE, C. W. Felice, LLC DEEP FOUNDATIONS • JAN/FEB 2018 • 77 time and at lower cost. For many traditional consulting firms, this is a philosophical shift from being a consultant to a design-for- construction engineering practice. Design submittals for a DB project must be construction driven with specific decisions provided and clearly communicated on how the implementation of the design will affect the construction means and methods, sequencing and long-term operations and maintenance of the system. Exculpatory language and disclaimers have no relevance in these documents. Preparing and Delivering Design Submittals The following is a discussion of recom- mendations for preparing and delivering design submittals that address various aspects of the submittal, including: • Risk of excessive comments from reviewers • Minimizing disagreements whether compliance is achieved • Managing and mitigating the risk that a design submittal will be returned for revision and changes, which can impact the successful delivery of a DB project
