Keeping a Lid on HVAC Claims

A XL Design Professional study shows that HVAC-related claims continue to plague the construction process and strain client-architect relations. According to the study, the most significant problems are:

• Design error
• Equipment performance
• Construction/field changes
• Start-up problems

Design errors were a contributing factor in 50 percent of the claims studied, while equipment performance problems played a part in 25 percent. Field coordination and other construction phase problems impacted 55 percent of the HVAC claims.

The claims are really symptoms of a larger problem: the manner in which some architects conduct their day-to-day business. The XL Design Professional study clearly identifies a strong relationship between claims and the failure to manage effectively:

• Failure to Manage the Client. The design professional’s failure to take the time to really understand the client’s program needs as they relate to HVAC issues is a major cause of claims. All too often, it seems little attention is given to exploring the client’s HVAC requirements. This can be especially risky on renovations where existing systems present unique design challenges.
• Failure to Manage Consultants. Like any other design element, sound HVAC design takes time and money. Unfortunately, schedule and budget constraints place severe pressures on both the architect and his or her consultants. But without strong management, the design process can suffer. The architect must manage not only the design activities, he or she must also work closely with HVAC and other consultants to make sure that program requirements are clearly understood and executed. As the project leader, the architect is responsible for directing the design coordination effort among the various design disciplines. All too often, however, this critical quality check is left to the individual consultants or to a junior architect.
• Failure to Manage Submittals. Time pressures on the design team lead to superficial or, worse, "rubber stamp reviews" of equipment submittals and HVAC system shop drawings. Coordinating equipment submittals with shop drawings and structural shop drawings take a back seat to mandated turn-around times.
• Failure to Manage Communications. Poor communication was common to most of the claims:
  • A restaurant cooling system is not sized to handle the opening and closing of doors associated with outside dining. A failure in communications is to blame.
  • A client files a claim relating to problems arising out of HVAC performance on a renovation project even though both the architect and the HVAC consultant warned of potential problems if the existing system was not upgraded. The client argues that the architect was not clear enough about the potential problem. A failure in communications is to blame.
  • Conflicts between the structural and mechanical drawings lead to expensive field corrections and project delays. A failure in communications is to blame.

What Gets Managed Gets Done

If you are serious about reducing HVAC claims in your practice, consider implementing specific management practices that focus more on producing a good HVAC design than trying to deal with problems after they occur. Look at your current management procedures and take steps to change. You might consider procedures that put a premium on the following:

A Clearly-Defined Program

Many HVAC claims can be traced to a failure to determine exact project requirements. What is more, your HVAC consultant should be a part of the programming process. Together, take the time to develop a detailed program document. The communication and exchange of information when developing the program with the client can return huge benefits. Question the client about what will go on after the project is up and running. What a client may think as unimportant could have a significant impact on the sizing of HVAC equipment and systems. Ask that a written program document be developed and approved by the client before starting the design process.

Team Leadership

The architect’s role in managing project consultants goes far beyond an occasional meeting and the exchange of computer files. Make sure that the client’s program requirements are clearly communicated and incorporated into the final design. This includes managing the HVAC design to ensure that the design and the program document are consistent. Don’t ignore the HVAC consultant’s concerns; document them to the client and update the program document to reflect your understanding.

Take a leadership role to assure that the design documents are coordinated. This critical task cannot be delegated; assuming that your consultants will find the time to do your job while rushing to finish their own design documents is wishful thinking. You will rarely be rewarded with a quality set of documents unless you lead the coordination process.

Construction Administration

Don’t fall prey to a contractor who overwhelms you with a barrage of uncoordinated submittals. Require that the contractor provide a detailed submittal schedule before processing the first construction progress payment. You should evaluate the demands that the schedule will place on you and your consultants and discuss any resource concerns that you may have with the client and the contractor. Negotiate a realistic flow of submittals and manage the process vigorously.

Require, too, that the contractor provide objective evidence that all submittals have been coordinated before presenting them to the design team for review. You might consider the use of a submittal approval stamp with a statement confirming coordination.

Work closely with the contractor and his or her subs in overlaying mechanical system shop drawings and in laying out major mechanical equipment. Resolving design conflicts before the shop drawings are formally submitted helps expedite submittal turn around times while avoiding project delays.

Communications

To keep the lines of communication open and to enhance feedback, try to meet regularly with other parties of a project. On all projects, schedule regular project review meetings among representatives of the contractor, the client and the consultants involved. For large projects, these meetings may need to be held weekly. These sessions can often pinpoint problems before they occur or become serious, and facilitate the development of satisfactory solutions in a non-crisis atmosphere.

Plan weekly internal conferences on a formal or informal basis for each project. Make it mandatory that project professionals recount their progress over the past week, list problems that still need solutions and make requests for whatever information is necessary but has not been received.

Changing Times

The XL Design Professional study tells us that business-as-usual will mean more HVAC-related claims for architects. It also means they run the risk of letting yet another non-traditional competitor invade their market. These competitors are selling management expertise just as much as they are selling technical competence. Today’s clients are looking for firms that offer both.

Commissioning is a case in point. Recently, the General Services Administration awarded its first contracts that incorporate the building commissioning process. Once associated with the start-up activities, today’s commissioning begins even before the first bucket of dirt is moved or concrete is poured. The process starts with developing a detailed, comprehensive program that is refined, updated and managed throughout the design, construction, start-up and facility operation. Commissioning provides a viable solution to reducing HVAC claims by taking a proactive role in understanding and managing the client’s building goals from cradle to grave. The lesson: unless you respond to your clients’ changing needs, you’d better be prepared to add the commissioning agent to your list of non-traditional competitors.

Don’t let your management skills dictate your future. Start listening to your clients, communicating with your consultants, and managing your clients’ overall needs. Claims will go down, client satisfaction will go up, and more of the client’s budget will go to you and your consultants.