By Sara M. Bour, Esq., AIA Contract Documents, Manager and Counsel
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A201®– 2017 General Conditions of the Contract for Construction
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August 26, 2022
In the construction industry, the term “submittal” is commonly used, but it doesn’t have a single, universally agreed-upon definition. The meaning of “submittal” can vary depending on the scope of the work, the type of project, and the specific responsibilities of the professionals involved. Generally, a submittal refers to documents or other materials that one party is required to submit to another to further the work on a project. The specifics of what must be submitted and when are typically outlined in the contract documents.
Construction submittals are a vital part of the construction process, acting as a communication tool between contractors, architects, and owners. They ensure that the contractor’s work aligns with the project design and specifications. Submittals typically include shop drawings, product data, samples, and mockups, and their purpose is to verify that the contractor’s understanding and execution of the design meets the architect’s specifications.
Submittals can take many forms. The AIA’s A201-2017 General Conditions of the Contract for Construction outlines several common types:
Shop drawings are detailed documents prepared by the contractor to illustrate specific parts of the work. These include diagrams, schedules, and drawings that show how the contractor plans to implement the design and meet the contract’s requirements. Essentially, shop drawings are a visual representation of the contractor’s approach to construction.
Product data include illustrations, performance charts, brochures, and other information that help illustrate the materials or equipment proposed for use. These documents are typically collected from catalogs or manufacturers’ materials, marked up to specify which products are being used on the project.
Samples are physical examples of materials, equipment, or workmanship that demonstrate how the work will look. Sometimes, contractors submit mockups, which are physical representations or prototypes of larger components of the project. These help evaluate whether the contractor’s work aligns with the design intent of the architect. Submitting these samples or mockups allows the architect to check the proposed materials or methods before full-scale implementation.
For federally funded projects, the Federal Acquisition Regulations (FAR) govern submittals. Similar to the AIA’s guidelines, the FAR defines submittals as documents or materials such as safety plans, schedules, shop drawings, product information, calculations, and mockups. However, under FAR, shop drawings may include more detailed documents like fabrication drawings, control diagrams, and performance data.
In most construction projects, the prime contractor and subcontractors are responsible for preparing and submitting submittals to the architect or project owner. Once submitted, the architect reviews the submittals to ensure they conform to the project’s design concept. However, the architect is not responsible for verifying every detail—this is the contractor’s responsibility. The contractor controls the means and methods of construction and ensures that all project components work together seamlessly.
Submittals serve to demonstrate how the contractor will meet the requirements of the contract documents and the design intent of the project. While submittals are crucial to ensuring that the contractor’s work matches the architect’s design, they are typically not considered part of the contract documents. They also do not provide an opportunity to alter the overall design of the project.
Efficient management of submittals is essential for a smooth construction process. Here are a few best practices:
While the term “submittal” may seem straightforward, it can encompass a wide range of documents, all critical to ensuring the success of a construction project. From shop drawings and product data to samples and mockups, submittals help ensure that the contractor’s work aligns with the architect’s design. Understanding the nuances of submittals and following best practices is key to maintaining an efficient and successful construction process.
AIA Contract Documents has provided this article for general informational purposes only. The information provided is not legal opinion or legal advice and does not create an attorney-client relationship of any kind. This article is also not intended to provide guidance as to how project parties should interpret their specific contracts or resolve contract disputes, as those decisions will need to be made in consultation with legal counsel, insurance counsel, and other professionals, and based upon a multitude of factors.