7.2 Shop Drawings, Product Data, Samples & Action Stamps

7.2 Shop Drawings, Product Data, Samples & Action Stamps

The review of shop drawings, product data, and samples represents one of the architect's most demanding Construction Administration (CA) responsibilities under AIA Document B101-2017 (Standard Form of Agreement Between Owner and Architect) and AIA Document A201-2017. Because submittals involve detailed technical representations of the physical building components, architects often face professional liability exposure when errors or omissions slip through the review process.

To manage this risk, architects must strictly adhere to the professional boundaries established by standard contract conditions: understanding exactly what the architect is—and is not—verifying when applying an action stamp, maintaining meticulous submittal tracking records, and enforcing the rule that submittals cannot alter the contractual baseline.

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The Scope of the Architect's Review (AIA A201 § 4.2.7 & B101 § 3.6.4.2)

Both the Owner-Architect agreement and the General Conditions precisely define and circumscribe the architect's submittal review duties. Per AIA A201-2017 Section 4.2.7:

"The Architect will review and approve, or take other appropriate action upon, the Contractor’s submittals such as Shop Drawings, Product Data, and Samples, but only for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents. Review of such submittals is not conducted for the purpose of determining the accuracy and completeness of other details such as dimensions and quantities, or for substantiating instructions for installation or performance of equipment or systems, all of which remain the responsibility of the Contractor as required by the Contract Documents."

What the Architect IS Checking:

• Design Concept: Does the submittal reflect the aesthetic character, spatial profile, and material quality shown on the design drawings? (e.g., reveal dimensions, sightlines, color, profile, texture).
• Information Given in Contract Documents: Does the submittal satisfy specified standards, physical capacities, and performance criteria explicitly stipulated in the project specifications? (e.g., does an air handling unit provide the specified CFM and static pressure; does a masonry tie meet ASTM specifications?).
• Interface Compatibility: Does the product coordinate visually and functionally with adjacent materials identified in the architectural details?

What the Architect is NOT Checking:

• Field Dimensions: Verifying that a wall is 14'-2" long on site is the contractor's non-delegable duty under A201 § 3.12.5.
• Quantities: Counting the number of light fixtures, doors, or linear feet of pipe is solely the contractor's estimating and purchasing responsibility.
• Means, Methods, Techniques, Sequences, and Procedures: How steel is hoisted, the order in which concrete bays are poured, and how shoring is configured are under the contractor's exclusive control (A201 § 3.3.1).
• Jobsite Safety: Safety precautions and OSHA compliance are strictly the contractor's responsibility (A201 § 10.1).

If an architect marks up a shop drawing with specific instructions on how to rig, brace, or erect a truss, the architect oversteps their professional boundary and may become legally co-liable for jobsite injuries or structural collapses resulting from those instructions.

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The Four Standard Action Stamps

Architectural firms utilize standardized action stamps (applied physically or digitally through Construction Management software) to communicate the formal disposition of each submittal. While specific wording varies slightly across firms, standard industry practice recognizes four primary action categories:

1. Approved / No Exceptions Taken

• Meaning: The submittal conforms with the design concept and information given in the Contract Documents.
• Contractor Action: The contractor is authorized to proceed with fabrication, procurement, and field installation in accordance with the submitted documents.
• Legal Caveat: Does not validate contractor errors in dimensions, quantities, or unapproved deviations.

2. Approved as Noted / Make Corrections Noted

• Meaning: The submittal conforms to the design concept subject to minor corrections, clarifications, or annotations marked directly on the submittal by the architect or engineering consultant (e.g., verifying a specified paint sheen or correcting a fastener spacing).
• Contractor Action: The contractor is authorized to proceed with fabrication and procurement provided that all noted corrections are incorporated. A formal resubmittal is generally not required, preventing unnecessary schedule delays.
• Administrative Risk: If the contractor disagrees with the architect's annotations or if the annotations alter costs, the contractor must not proceed and must seek clarification.

3. Revise and Resubmit

• Meaning: The submittal contains substantial errors, omissions, or conflicts with the design concept that preclude complete evaluation. For example, a curtain wall shop drawing package lacks anchor engineering calculations, or an elevator cab submittal omits specified accessibility clearances.
• Contractor Action: The contractor is not authorized to fabricate, order, or install any work shown on the submittal. The contractor must correct the deficiencies, coordinate interfacing trades, and submit a revised package for re-review.

4. Rejected

• Meaning: The submittal proposes a product, assembly, or material that fundamentally violates the Contract Documents, presents an unapproved substitution, or fails completely to meet the required specifications.
• Contractor Action: Work cannot proceed. The contractor must discard the proposed item and submit a compliant product conforming to the original contract specifications.

Specialized Disposition: Returned Without Action

Used when a submittal is not required by the Contract Documents, when it lacks the general contractor's review stamp (A201 § 3.12.5), or when it involves work that is outside the architect's scope of services. The submittal is logged and returned without substantive design evaluation.

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Submittals Are NOT Contract Documents (AIA A201 § 1.1.1)

Under AIA A201-2017 Section 1.1.1, the Contract Documents are explicitly enumerated:

"The Contract Documents consist of the Agreement between Owner and Contractor... Conditions of the Contract (General, Supplementary and other Conditions), Drawings, Specifications, Addenda issued prior to execution of the Contract, other documents listed in the Agreement, and Modifications issued after execution of the Contract... The Contract Documents do not include... Shop Drawings, Product Data, Samples, and similar submittals..."

This legal distinction has profound practical consequences on the ARE 5.0 exam:

1. Cannot Change the Contract Sum or Time: An architect cannot write a note on a shop drawing directing an expensive finish upgrade (e.g., "Provide 316 stainless steel in lieu of 304") and expect that note to legally bind the contractor without a formal Change Order. If the contractor complies with an informal note that adds cost without a Change Order, disputes inevitably follow.
2. Proper Vehicle for Modifications: If a submittal review reveals a design discrepancy or necessitates an alteration to the contract scope, the architect must issue the appropriate formal instrument:
   • Architect's Supplemental Instructions (ASI - AIA Document G710): For minor changes in the work that do not involve an adjustment in Contract Sum or Contract Time.
   • Proposal Request (AIA Document G709): To solicit contractor cost and schedule proposals prior to issuing a Change Order.
   • Change Order (AIA Document G701): A bilateral agreement signed by Owner, Architect, and Contractor adjusting cost, time, or scope.
   • Construction Change Directive (CCD - AIA Document G714): A directive signed by Owner and Architect compelling the contractor to proceed when cost or time is not yet agreed upon.

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Submittal Tracking and Turnaround Times (AIA Document G712)

Turnaround Time Limits

Under AIA A201 § 4.2.7 and B101 § 3.6.4.1, the architect must review submittals with "reasonable promptness" so as not to cause delay in the Work. Division 01 General Requirements typically defines this window as 14 calendar days (or 10 to 14 business days) from receipt in the architect's office to transmittal back to the contractor. Complex multidisciplinary packages (e.g., structural steel framing with engineering calculations, or MEP coordinated building management systems) may contractually specify 21 calendar days.

The Submittal Log: AIA Document G712

To prevent claims of architectural delay, the architect must maintain an active, real-time submittal log (AIA Document G712 - Shop Drawing and Sample Record). Modern practice manages this through cloud-based construction software, but the required audit fields remain consistent:

• Submittal Number (aligned with CSI MasterFormat division, e.g., 09 22 16-01)
• Submittal Description and Trade / Fabricator
• Date Received by Architect
• Date Transmitted to Engineering Consultant (e.g., structural, MEP, acoustic)
• Date Received Back from Consultant
• Action Stamp Applied (Approved, Approved as Noted, Revise & Resubmit, Rejected)
• Date Transmitted Back to General Contractor
• Resubmittal Tracking (Rev 1, Rev 2) if required

Maintaining an accurate G712 protects the architect by proving whether review delays were caused by the design team or by contractor tardiness in resubmitting rejected packages.

Source and application

A201-2017 official sample. Checked October 16, 2026. Apply the cited form edition and the actual project amendments, adopted codes and supplied scenario assumptions. Numerical examples are teaching inputs unless expressly attributed to a requirement.