18.2 Shop Drawings, Submittals & Architect's Deferred Submittal Review and Stamp

Shop Drawings, Submittals & Architect's Deferred Submittal Review and Stamp

During the Construction Administration (CA) phase of a project, the processing of contractor submittals represents one of the architect's most critical daily responsibilities and one of the highest areas of professional liability. Governed contractually by AIA Document A201-2017 (General Conditions of the Contract for Construction) Section 3.12 and AIA Document B101-2017 (Owner-Architect Agreement) Section 3.6.4, and statutorily in California by California Building Code (CBC Title 24, Part 2) Section 107.3.4.1, the submittal workflow bridges the architect's design intent with the physical execution of construction. Candidates preparing for the California Supplemental Examination (CSE) must master the legal definition and limitations of submittals, the contractor's mandatory pre-review verification, standard architect action stamps and defensive language, and the strict statutory protocols governing deferred submittals submitted to local Authorities Having Jurisdiction (AHJs), the Division of the State Architect (DSA), and the Department of Health Care Access and Information (HCAI).

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Submittal Purpose & Contractual Status (AIA A201 § 3.12 & B101 § 3.6.4)

A fundamental legal rule established in AIA A201 Section 3.12.4 is that submittals are not Contract Documents. Contract Documents consist strictly of the Agreement, Conditions of the Contract (General, Supplementary, and other Conditions), Drawings, Specifications, Addenda issued prior to contract execution, and other documents specifically enumerated in the Agreement.

Core Purpose of Submittals

The exclusive purpose of shop drawings, product data, material samples, and mockups is to illustrate how the contractor proposes to conform to the design concept and information expressed in the Contract Documents for specific portions of the work. Submittals do not create new contractual obligations, nor do they modify existing specifications or drawing details unless formally memorialized through a Change Order or Construction Change Directive.

Contractor's Mandatory Review & Stamping Duties (A201 § 3.12.5)

Before any submittal is transmitted to the architect, the prime contractor is contractually mandated to perform comprehensive due diligence. Under A201 Section 3.12.5, by submitting shop drawings and product data, the contractor represents to the owner and architect that the contractor has:

1. Reviewed and approved the submittal;
2. Determined and verified all field measurements and field construction criteria;
3. Verified all materials, catalog numbers, and similar data; and
4. Checked and coordinated the information contained within the submittal with the requirements of the Work and of the Contract Documents.

Critical CA Practice Rule: The contractor must place a signed and dated Contractor Review Stamp on every submittal prior to transmission. If a contractor delivers submittals directly from a subcontractor or fabricator without the prime contractor's stamp, the architect must return the submittals immediately without action. Performing a review on unstamped submittals breaches standard administrative procedure and improperly relieves the general contractor of their primary coordination obligations.

Architect's Scope of Review (A201 § 3.12.6 & B101 § 3.6.4.2)

The architect must review and take appropriate action on contractor submittals with "reasonable promptness" in accordance with the agreed-upon submittal schedule (A201 § 3.10.2), typically 14 to 21 calendar days. The architect's review is strictly limited: it is undertaken solely for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents.

The architect's review does not constitute an approval of:

• Dimensions, quantities, or field verification;
• Fabrication processes, construction techniques, sequences, or procedures;
• Coordination between trades (e.g., clearance between ductwork and structural steel);
• Jobsite safety precautions or programs (which remain the exclusive responsibility of the contractor under California Labor Code and Cal/OSHA).

Specific Notice Requirement for Deviations (A201 § 3.12.8)

Under AIA A201 Section 3.12.8, the contractor is not relieved of responsibility for deviations from the requirements of the Contract Documents by the architect's review or approval of submittals, unless:

1. The contractor has specifically notified the architect in writing of such deviation at the time of submission (using a separate cover letter or explicit written notation on the submittal); and
2. The architect has given specific written approval to the specific deviation as a minor change in the work, or a Change Order or Construction Change Directive has been issued authorizing the deviation.

If a contractor changes a specification (such as substituting a thinner gauge sheet metal or different glass performance coating) on a shop drawing without explicit written notification, the architect's general approval stamp does not validate the change. The contractor remains contractually and financially obligated to replace the non-conforming work.

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Submittal Classifications & Types

Architects process five distinct submittal categories during construction administration:

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Architect's Action Stamp & Defensive Language

To manage professional liability, architects must apply standardized, unambiguous action stamps to all reviewed submittals. Every submittal stamp should include explicit disclaimers articulating the boundaries of the review.

Standard Action Stamp Classifications

• Approved / No Exceptions Taken: The submittal conforms in general with the design concept and contract documents. The contractor may proceed with fabrication and installation.
• Approved as Noted / Make Corrections Noted: The submittal conforms to the design concept provided the specific corrections noted by the architect or consulting engineers are incorporated. Resubmission is not required, and fabrication may proceed incorporating the notations.
• Revise & Resubmit: The submittal contains significant departures from the design concept, missing critical technical information, or uncoordinated elements. The contractor cannot fabricate the work and must correct and resubmit the documents.
• Rejected: The submittal does not comply with the contract documents (e.g., an unapproved product substitution or wholly unacceptable design). The contractor must submit a completely new submittal meeting specifications.

Legally Dangerous Language & Architect Liability Traps

Risk management counsel and professional liability insurers (such as Victor O. Schinnerer / CNA) strictly advise architects regarding stamp terminology:

• Never Use "Checked" or "Reviewed": Using the single word "Reviewed" or "Checked" without qualification creates ambiguity in litigation regarding whether the architect verified dimensional accuracy or assumed responsibility for engineering calculations.
• Never Use "Approved as to Dimensions": Verifying field measurements is the non-delegable duty of the contractor under A201 § 3.12.5. Stamping approval on dimensions shifts catastrophic layout errors to the architect.
• Essential Stamp Disclaimer: Every architectural review stamp should incorporate language stating:

  "Review is only for general conformance with the design concept of the project and general compliance with the information given in the Contract Documents. Review does not extend to means, methods, techniques, sequences, or procedures of construction, or to safety precautions and programs incident thereto. The Contractor remains solely responsible for verifying all field dimensions, quantities, fabrication processes, and coordination with other trades."

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California Deferred Submittal Review Protocol (CBC § 107.3.4.1)

In California practice, certain complex building components are intentionally not designed or engineered during the construction document phase, but are deferred to the construction administration phase. Governed by California Building Code (CBC Title 24, Part 2) Section 107.3.4.1, this statutory mechanism is known as Deferred Submittals.

Definition and Statutory Purpose

A deferred submittal encompasses those portions of the design that are not submitted at the time of permit application, but which must be submitted to the building official within a specified timeframe prior to the installation of the work. Deferral requires the prior approval of the building official during plan check.

Common Deferred Submittal Scopes in California

1. Pre-engineered Structural Trusses: Metal-plate-connected wood roof trusses or light-gauge cold-formed steel trusses engineered by the truss fabricator's licensed engineer;
2. Curtain Wall and Storefront Systems: Structural glass engineering, aluminum framing wind-load engineering, and seismic drift calculations;
3. Fire Suppression Systems: Automatic fire sprinkler hydraulic calculations, pipe sizing, and seismic sway bracing layouts (NFPA 13);
4. Seismic Anchorage of Equipment: Engineering calculations and anchorage details for heavy mechanical units, chillers, emergency generators, and electrical transformers;
5. Post-Tensioned Concrete: Shop drawings showing tendon profiles, elongation calculations, and anchorage hardware signed by a licensed structural engineer;
6. Precast Architectural Concrete: Connection engineering, lifting insert details, and panel reinforcement.

The Mandatory Architect of Record (AOR) Review Protocol

A frequent area of failure in California construction administration occurs when a contractor delivers specialty engineering calculations directly to the local building department or DSA. CBC Section 107.3.4.1 establishes a strict statutory gatekeeper rule:

"The registered design professional in responsible charge shall review the deferred submittal documents and submit them to the building official with a notation indicating that the deferred submittal documents have been reviewed and found to be in general conformance to the design of the building."

Step-by-Step Deferred Submittal Workflow

1. Permit Document Scheduling: During plan check, the Architect of Record (AOR) lists all proposed deferred submittal items on the cover sheet of the approved construction documents. The building official approves this deferred list and issues the primary building permit.
2. Contractor Preparation: During construction, the contractor retains a specialty California-licensed professional engineer (e.g., curtain wall engineer or truss engineer) who prepares signed and stamped engineering calculations and shop drawings.
3. Transmittal to AOR (Not AHJ): The contractor submits the package to the AOR. The contractor cannot submit directly to the AHJ.
4. AOR Review and Stamping: The AOR (and appropriate consulting engineer, such as the structural engineer of record) reviews the deferred submittal for general conformance with the architectural design, building envelope integrity, and structural load paths. The AOR applies a signed Deferred Submittal Review Stamp certifying review and general conformance.
5. Transmittal to AHJ: The AOR transmits the stamped deferred submittal package to the municipal building official, DSA, or HCAI for regulatory plan review.
6. AHJ Plan Check & Permit Issuance: The AHJ reviews the engineering, stamps the deferred documents as approved, and issues a supplemental permit or authorization. Work on the deferred component cannot begin on site until the AHJ approves the deferred submittal.

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Comparison Table: Submittal Processing vs. CBC Deferred Submittals

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CSE Exam Traps & Practical Takeaways

• Trap 1: Believing Submittals Alter the Contract Documents: CSE scenario questions often ask whether an architect's approval of a shop drawing featuring an alternate material changes the contract. It does not. Under A201 § 3.12.8, only a formal Change Order or specific written notice and explicit approval of a deviation modifies the contract.
• Trap 2: Reviewing Submittals Without Contractor Stamp: If a contractor transmits submittals lacking the contractor's verification stamp, the architect should not review them "as a favor to keep the schedule moving." Reviewing unstamped documents transfers contractor coordination liability to the architect.
• Trap 3: Contractor Delivering Deferred Submittals Directly to AHJ: If a contractor delivers curtain wall calculations directly to the city building department to expedite the schedule, the building official will reject the submittal. Under CBC § 107.3.4.1, only the Registered Design Professional in Responsible Charge can submit deferred submittals to the AHJ, accompanied by a signed notation of general conformance.
• Trap 4: Installing Deferred Work Prior to AHJ Approval: A contractor cannot proceed with installing roof trusses or curtain walls merely because the architect stamped the deferred submittal. Installation is illegal under Title 24 until the municipal AHJ, DSA, or HCAI formally issues plan check approval.