Submittals, RFIs, Payments & Project Closeout

Submittals, RFIs, Payment, and Closeout

Establish the construction-administration workflow

Begin construction administration with the actual owner–architect and construction agreements, document baseline, designated representatives, and agreed communication channels. Set up registers for submittals, RFIs, payment applications, changes, observations, and closeout evidence. Each record should show the responsible person, received date, required response, status, and related documents. Schedule responses according to the work dependencies rather than giving every record identical urgency.

The architect administers within its scope and authority. It does not control the contractor’s means, methods, sequences, or site safety merely by attending the site. Limited observation and review still require ordinary professional care. Report recognized problems through the appropriate process instead of treating a contractual boundary as permission to ignore them.

Submittal review and coordination

Under A201 § 3.12, the contractor reviews and approves submittals, verifies relevant field information, and coordinates them with the work and contract documents before submission. A project’s approval stamp can evidence that review, but the form does not universally mandate a particular physical stamp. If review and approval are missing, request correction under the agreement and project procedure. An unstamped submission does not automatically transfer every coordination liability to the architect.

The architect’s § 4.2.7 review is limited to conformance with the information and design concept in the documents. It is not an independent check of every dimension, quantity, installation instruction, or construction method. Architect approval does not relieve the contractor of its retained duties. Deviations require the separate notice and authorization specified by the contract. The architect remains accountable for its own negligent professional review; a limitation of scope is not immunity.

Suppose a fabricator uses an incorrect existing opening width and the contractor approves it without required field verification. Architect review does not erase the contractor’s verification duty. The PM documents the discrepancy, coordinates a correction, and reviews actual cause and contract requirements. Determining every party’s financial liability requires facts beyond the existence of an approval stamp.

Use the submittal schedule to protect review time before procurement and fabrication. A late submittal may require schedule analysis and contractor recovery rather than an unsafe rushed approval. Log resubmissions and confirm that the revised material addresses each comment. Only release the status actually supported by the review.

Requests for information

An RFI identifies an information need or discrepancy. A useful request cites the affected documents, describes the conflict, identifies the work at risk, and requests a clear response. Evaluate whether the response interprets existing requirements or changes scope, price, or time. An RFI answer is not automatically a Change Order or an authorization for Additional Services.

Coordinate technical answers with the responsible consultant and verify consequences across disciplines. Preserve the response in the document system and use the required change instrument when necessary. B101 § 4.2.2 includes conditions for certain contractor-generated review effort outside the normal requirements. Apply its actual notice and service provisions rather than assuming every inconvenient RFI can be billed or backcharged automatically.

Payment applications

Review the application against the approved schedule of values, observed progress, stored materials, previous payments, changes, and contract retainage. G702 summarizes the application and certification; G703 provides supporting continuation information. Retainage percentages and reductions are completed contract terms, not a universal five- or ten-percent rule.

For an illustrative payment calculation, assume completed and eligible stored work totals $450,000, retainage is 10% on that total, and prior certified payments were $290,000. The current amount is $450,000 − $45,000 − $290,000 = $115,000, before any stated adjustment. Confirm that prior payments and current retainage use a consistent basis. Do not subtract last month’s retainage twice.

Under A201 § 9.3.2, off-site storage requires advance owner approval and a location agreed in writing, plus procedures satisfactory to the owner to establish title or otherwise protect its interest. Applicable insurance, storage, and transportation costs are addressed. A bonded warehouse is not a universal standard-form prerequisite. Assess the actual agreed protection and documentation. A truck adjacent to the property is not automatically approved storage just because it is nearby.

Under § 9.4.1, the architect has seven days after receipt to certify the amount supported or give the required reasons for partial or total withholding. Certification is based on the defined evaluation and application data; the standard does not require an exhaustive inspection or a special site visit for every application. Grounds for withholding must follow the agreement and evidence, with notice. Do not use certification to impose unauthorized penalties.

Substantial completion and final completion

Substantial Completion means the work or designated portion is sufficiently complete for its intended use under the documents. Review the contractor’s list and inspect under the specified process. G704 records the date, remaining-work deadline, and assigned responsibilities for security, maintenance, heat, utilities, damage, and insurance. Required warranties start at that date unless otherwise provided in the certificate. The correction period and statutory deadlines are separate matters.

The owner and contractor accept the assigned responsibilities in writing. Retainage release follows § 9.8.5 and the agreement, including applicable surety consent and adjustments for incomplete or nonconforming work. Do not equate a certificate, occupancy approval, and final completion; they serve different purposes.

For final payment, verify completed work and § 9.10.2 evidence: satisfaction of relevant debts, continuing required insurance and renewability information, surety consent if any, special warranties, and additional payment or lien evidence required by the owner. G706, G706A, and G707 can support the applicable requirements. Required manuals, training, record documents, and spare materials follow the project scope. A consent omission can jeopardize bond rights according to the instrument and law; it does not automatically decide every latent-defect claim.

Reference: AIA A201–2017 payment and completion provisions.

Administration records