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What’s the Big Deal with Submittals?

By Jeremiah Hatfield, RA, LEED AP BD+C

November 7, 2023
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I must have missed the week in my professional practice course that introduced construction submittals and the associated responsibilities that come with them. I don’t blame my professors – it’s quite an unexciting subject. Over the decades, I’ve gotten lots of practice reviewing all sorts of construction submittals and learning how the nuances matter. Some of my most critical conversations in the field refer to a submittal, often debating over words that architects lean on such as “design intent”, or “reviewed, not approved”. These days I have received grins from contractors as if we are dodging responsibility or changing the rules how submittals work. I’m surprised I’ve never had a client just ask, “Hey, what’s the big deal with the submittal?”

 

To begin, let’s define what constitutes a construction submittal and its purpose. A construction submittal is a drawing, diagram, schedule, product information, and sometimes a sample that demonstrates the way by which the contractor will conform to the design concepts expressed in the contract documents issued by the design professional. In simpler terms, a construction submittal is confirmation by the contractor. The submittal process is best outlined in the AIA General Conditions, which have been around since 1911. Other standard construction contract forms contain similar language. Despite the history and similar process across other contract forms, there remains unfamiliarity and complexity in the process both generated by the designer and builder.
AIA General Conditions
AIA General Conditions
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Early in my professional career, I avoided the general conditions. I tried several times to digest portions of what some might call ‘legalese’. I would lean on terms like, “that’s the way we have always done it” and “I’ve never had issues with this before”. Ironically, I’m seeing this same attitude coming from the contractors’ side of the fence these days. Regardless, the importance of the general conditions can’t be overlooked.

Two helpful pieces are Article 3.12.5 and Article 4.2.7. Generally, they state that contractors are to create a document communicating specific product information, details, and finishes that they believe comply with the contract documents, and the architect reviews it for general conformance. In most cases, both contractor and architect perform these actions flawlessly. In a typical scenario, we might find that the glazier (window installer) submits product data, shop drawings, and a finish sample for the storefront window wall.  The architect reviews the submittals, finds it aligns with the performance criteria in the technical specifications, that the manufacturer is on the approved list, the shop drawings generally align with the drawings taking into account field dimensions and conditions already documented by the installer, and the sample matches the expected color. If this can be repeated for the other hundred products and systems, one might wonder; “why is this such a big deal?”
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Before we get into the nitty gritty, let’s review why the submittals are so crucial to the client. Submittals are really the last line of defense to ensure all parties are on the same page regarding specified products and systems. If during the design process the architect described, maybe even rendered, a particular design element, this becomes the client’s expectation.  If the designer didn’t provide enough information in the contract documents, or if the subcontractor doesn’t completely understand the documents, things might end differently, with all three parties scratching their heads after things have been installed. If we can validate that everyone is on the same page regarding materials, products, systems, and installation methods, there should be less confusion and fewer difficult conversations after things have been installed.
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Fort Financial Credit Union Headquarters Lobby Under Construction
Team meeting in conference room

The submittal review should be a simple review with the goal of validating – “does this meet the contract documents”? As the designer, I often use this as the very last opportunity to verify with the client things that are super critical or things that might not have gotten enough discussion during design. An example of this is that I typically re-review door hardware functions on questionable doors. There are times where the designer doesn’t pick a standard finish and that selection has to be made. It might be something like an elevator panel, where every elevator manufacturer has a different palette of standard colors or patterns. The designer and client can hold the submittal process up due to verification and final selections. In a similar manner, the contractor or sub-contractor might not understand the design intent or might use the submittal process as a substitution request. Sometimes this is necessary, especially in the post-covid economy where we have hit record lead times for some products.
Team meeting in conference room

Despite some of these minor complications that cause hold-ups and changes, it’s important to note that the submittals themselves are not contract documents, they cannot, by themselves, modify the contract. If an architect has modified the contract documents, say change a door function on a lever, then the submittal needs to note the change and a change order or similar document will need executed to formally change the contract. Similarly, product substitutions should also be handled contractually through an ASI (Architect’s Supplemental Instructions) or substitution request form.
Cost Estimating Document
Cost Estimating Document
Submittal Review

Unfortunately, things can get even more complicated. The most controversial condition I have found is when the designer’s review released a submittal that was partially incomplete or incorrect. Recall that the submittal is not contractual, and the review is for “general conformance”. In other words, the contractor is looking for absolute confirmation with the submittal review, however the architect’s standard of care is for a general review, not an in-depth analysis. For an example, let’s consider a submittal for a light fixture. Product data and “cut-sheets” were included in the contractor’s submittal. The review released the light fixture as the fixture make and model, and trim color was correct, however the specific light output was incorrectly indicated (or omitted). When the lights are installed, it’s quickly verified due to a dark room that the incorrect lamping was provided. Now what? Regardless of the submittals, the higher output lights that were initially specified are required per the contract documents. Some difficult conversations will take place but in the end we all must lean on the general conditions (and other contractual language). The AIA General Conditions is clear that the contactor shall not be relieved of responsibility for deviations from the requirements of the contract documents by the architect’s approval of shop drawings unless the contractor has specifically notified the architect of such deviations. Though the AIA’s interpretation of the contractors’ responsibilities could be seen as architect-friendly, the language and rules are slightly different in other contracts like the one authored by the DBIA (Design-Build Institute of America).
Submittal Review

Another complicated scenario can exist when the construction documents are not complete. Consider an instance where the designer called out for a product like a flagpole, but did not include a technical specification or further description. The contractor is contractually obligated to provide a flagpole, however since there was no further description (or even requirement to prepare a submittal) this becomes a contractor’s choice or an RFI (Request For Information) likely leading to a change order.
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Design Collaborative Team at Work. Design Collaborative Services - Architecture, Engineering, Interior Design

Numerous complications orbit the process of submittals. The importance of the validation is critical. Despite a thorough understanding of the General Conditions, complexities will still arise. It’s important to work as a team, keep the client informed at all times, and be openly communicative with all parties for a successful project all around.

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