Construction Contracting Basics – Submittals

{"version":"0.3.0","atoms":[],"cards":[],"markups":[["a",["href","https:\/\/www.aiacontracts.org\/contract-documents\/25131-general-conditions-of-the-contract-for-construction"]],["sup"],["a",["href","#_ftn1","name","_ftnref1"]],["i"],["strong"],["a",["href","#_ftnref1","name","_ftn1"]],["a",["href","https:\/\/www.aiacontracts.org\/contract-documents\/25141-owner-architect-agreement"]]],"sections":[[1,"p",[[0,[],0,"August 26, 2022"]]],[1,"p",[[0,[],0,"Most construction professionals\nhave likely heard the word \u201csubmittal.\u201d This is a commonly used term that does\nnot have a single definition. What constitutes a \u201csubmittal\u201d can differ based\non the relevant scope of work, type of project, and professional performing the\nwork. Generally, submittals are documents or other information that a party is\nobligated to submit to another party in furtherance of work on a project. Specific\ninformation pertaining to a party\u2019s submittal obligation is typically set forth\nin the contract documents."]]],[1,"p",[[0,[],0,"If you\u2019re using the "],[0,[0],0,"A201"],[0,[1],1,"\u00ae"],[0,[],1,"-2017,\nGeneral Conditions of the Contract for Construction"],[0,[],0,", the term \u201csubmittal\u201d is addressed in numerous sections,\nbut not necessarily defined. Section 3.12 addresses common construction\nsubmittals, such as shop drawings, product data, and illustrations, which are defined,\nas follows:"]]],[1,"p",[[0,[],0,"1. Shop Drawings are \u201cdrawings, diagrams, schedules,\nand other data specially prepared for the Work by the Contractor \u2026 to\nillustrate some portion of the Work.\u201d In other\nwords, shop drawings depict the way the contractor intends to implement the\nrequirements of the contract documents. "]]],[1,"p",[[0,[],0,"2. Product\nData are \u201cillustrations, standard schedules, performance charts, instructions,\nbrochures, diagrams, and other information furnished by the Contractor to\nillustrate materials or equipment for some portion of the Work.\u201d Product data\nare typically collected from catalogs or other materials supplied by\nmanufacturers, and are not specifically prepared for the project. Rather, they\nare marked up to show the model or style of a product to be incorporated therein.\n"]]],[1,"p",[[0,[],0,"3. Samples\nare \u201cphysical examples that illustrate materials, equipment, or workmanship,\nand establish standards by which the Work will be judged.\u201d In practice, samples\ncan sometimes be thought of as \u201cmockups.\u201d The specifications will often require\nthe contractor to provide \u201cmockups\u201d to illustrate the contractor\u2019s\nunderstanding of the contract documents. After submission of the samples or\n\u201cmockups,\u201d this information can be evaluated to determine whether there is a\ndifference between the contractor\u2019s understanding of the work and the architect\u2019s\ndesign intent. "]]],[1,"p",[[0,[],0,"If you\u2019re performing work on a federally funded project, the\nFederal Acquisition Regulations (FAR), which govern over these types of\nprojects, define the terms \u201csubmittals\u201d and \u201cshop drawings\u201d in similar, but not\nprecisely the same, manners as the A201. Under the FAR, submittals may include \u201csafety\nplans, schedules, shop drawings, coordination drawings, samples, calculations,\nproduct information, or mockups.\u201d Additionally, shop drawings may include\n\u201cfabrication, erection and setting drawings, manufacturers\u2019 scale drawings,\nwiring and control diagrams, cuts or entire catalogs, pamphlets, descriptive\nliterature, and performance and test data.\u201d 48 CFR \u00a7 552.236-72 (West, 2022)."]]],[1,"p",[[0,[],0,"On most projects, the prime\ncontractor and its subcontractors are responsible for preparing and furnishing\nsubmittals to the architect or the owner. Where AIA Contract Documents are used,\nthe architect then reviews and approves the submittals, but only for the\nlimited purpose of checking for conformance with the design concept of the\nproject, and not the accuracy and completeness of finite details."],[0,[2],1,"[1]"],[0,[],0,"\nThis is because the contractor has control over the means and methods of the\nwork, and is responsible for ensuring that all of the project pieces completely\nfit together."]]],[1,"p",[[0,[],0,"Generally, the purpose of\nsubmittals is to demonstrate how the contractor will conform to the information\ngiven and the architect\u2019s design concept. Usually, submittals are neither considered\na part of the contract documents nor an opportunity to change the overall design\nof the project."]]],[1,"p",[[0,[],0,"In all, \u201csubmittal\u201d is a generic term that can have a varied\nmeaning based on a party\u2019s obligations under the contract documents. Submittals\nare generally thought of as a document or other information provided by a\ncontractor to an architect or owner for evaluation that the design intent is\ncaptured and followed throughout construction of the project. "]]],[1,"p",[[0,[3,4],2,"AIA Contract Documents has provided this article for\ngeneral informational purposes only. The information provided is not legal\nopinion or legal advice and does not create an attorney-client relationship of\nany kind. This article is also not intended to provide guidance as to how\nproject parties should interpret their specific contracts or resolve contract\ndisputes, as those decisions will need to be made in consultation with legal\ncounsel, insurance counsel, and other professionals, and based upon a multitude\nof factors. "]]],[1,"p",[[0,[],0,"\n\n\n\n\n\n\n\n"],[0,[5],1,"[1]"],[0,[],0," "],[0,[3],1,"See,"],[0,[],0,"\n"],[0,[6],1,"B101\u00ae-\n2017, Standard Form of Agreement Between Owner and Architect"],[0,[],0,", \u00a7 3.6.4.2.\n\n\n\n"]]]]}