5.3 Submittals, Shop Drawings & RFIs

The Submittal Process

During the construction phase, the contract documents (drawings and specifications) tell the Contractor what to build, but they often leave the exact details of how it will be fabricated and installed to the Contractor. The submittal process is the mechanism by which the Contractor demonstrates to the Designer (Architect or Engineer) exactly what materials and equipment they intend to supply and how they plan to install them, ensuring alignment with the design intent.

It is vital to understand a cardinal rule of contract administration: Submittals are not contract documents. An approved submittal does not authorize a change to the scope, price, or schedule. If a submittal deviates from the contract requirements, it must be accompanied by a specific request for a substitution or a Change Order.

Types of Submittals

Submittals generally fall into three main categories:

1. Shop Drawings: These are highly detailed, customized drawings, diagrams, or schedules prepared by the Contractor, subcontractor, or manufacturer. Unlike the Architect's general design drawings, shop drawings show exact dimensions, fastening methods, and coordination with other trades. Examples include structural steel detailing, custom millwork, and HVAC ductwork layouts.
2. Product Data: These are standard, pre-printed manufacturer materials such as brochures, performance charts, catalog pages, and technical specifications. They confirm that a standard product (like a specific model of a water heater or a type of acoustic ceiling tile) meets the requirements of the specifications.
3. Samples: Physical examples of materials, equipment, or workmanship. Samples are submitted to establish standards for aesthetic qualities like color, texture, and finish (e.g., a brick panel, carpet swatches, or paint colors).

The Workflow and the CM's Role

The flow of submittals requires strict administrative discipline. A delay in the submittal process can easily cause a critical path delay on the project.

1. Contractor Review: The subcontractor prepares the submittal and sends it to the General Contractor (GC). The GC must review and stamp the submittal first, verifying field dimensions and confirming it meets the contract requirements.
2. CM Routing: The GC forwards the submittal to the Construction Manager. The CM logs the submittal, tracks it against the submittal schedule, and routes it to the appropriate Designer (Architect or specialized Engineer).
3. Designer Review: The Designer reviews the submittal solely for conformance with the design intent. The Designer typically returns it with an action stamp, such as:
   • Approved / No Exceptions Taken: The Contractor may proceed.
   • Approved as Noted / Make Corrections Noted: The Contractor may proceed, provided they incorporate the specific corrections marked.
   • Revise and Resubmit: The Contractor may not proceed; the submittal is rejected and must be corrected and resubmitted.
   • Rejected: The proposed item is unacceptable.
4. Return and Tracking: The CM receives the reviewed submittal, logs the action, and returns it to the GC. The CM must proactively track "Revise and Resubmit" items to ensure they do not fall off the radar and delay procurement.

Requests for Information (RFIs)

Despite the best efforts of design professionals, construction documents are rarely perfect. They may contain ambiguities, omissions, conflicting information, or conditions that cannot be built exactly as drawn. The Request for Information (RFI) is the formal administrative tool used by the Contractor to seek clarification from the Designer.

The Purpose of an RFI

An RFI is strictly a request for interpretation or clarification. It is not the correct vehicle for requesting a change in the contract sum or time.

However, the Designer's response to an RFI often leads to a change. If the Designer's clarification requires the Contractor to perform work beyond the original scope, the Contractor will use the RFI response as the justification to submit a Change Order Request (COR).

Best Practices for RFI Management

Poor RFI management is a leading cause of project disputes. The CM plays a critical role in filtering and managing RFIs:

• Screening for "Frivolous" RFIs: Sometimes Contractors submit RFIs for information that is clearly stated in the contract documents, either due to laziness or as a tactic to build a delay claim. The CM should screen RFIs and return frivolous ones to the Contractor, pointing them to the specific drawing detail or specification section.
• Requiring Proposed Solutions: A high-quality RFI doesn't just ask a question (e.g., "The pipe hits the duct, what do I do?"). Best practice dictates that the Contractor must also propose a solution based on field conditions (e.g., "The pipe hits the duct. We propose routing the pipe 6 inches lower as sketched attached. Please approve."). This drastically speeds up the Designer's review time.
• Tracking Response Times: Contracts typically mandate a specific response time for RFIs (e.g., 7 or 14 days). The CM must maintain an RFI log, track the days outstanding, and push the design team to respond promptly to prevent schedule impacts.

RFI Metrics as a Project Indicator

The volume and nature of RFIs are key performance indicators of project health. A massive influx of RFIs early in the project is a glaring indicator of poor, incomplete, or uncoordinated design documents. This early warning sign should prompt the CM to prepare the Owner for potential cost overruns and schedule delays, and perhaps institute collaborative coordination meetings to resolve design issues en masse rather than through hundreds of individual RFIs.