United States
Hong KongConstruction submittals and who approves them
A construction submittal shows how the contractor proposes to provide or execute a portion of the work, such as shop drawings, product data, or samples.
More key points
- Under common AIA A201 terms, the contractor reviews and coordinates required submittals before sending them to the architect, who checks them for limited conformance with the contract documents and design concept.
- The contract controls each project's workflow and approval authority.
On this page9 sections
A submittal is project information the contractor provides to show how a required part of the work will be built or what product or material will be used. Common examples include shop drawings, product data, samples, schedules, and calculations required by the contract documents. Submittals help coordinate construction with the design, but they do not automatically become a substitute for the contract drawings and specifications.
Who prepares and submits it
A contractor, subcontractor, supplier, or manufacturer may prepare the technical content. The contractor is typically responsible for reviewing, coordinating, and submitting it under the prime contract. In common AIA A201 language, the contractor reviews required submittals for compliance with the contract documents, coordinates them with the work and field conditions, and submits them in the sequence and timeframe required by the submittal schedule.
The contractor's review
The contractor's review is substantive. It may include checking dimensions, product selections, field measurements, compatibility with other trades, fabrication information, and whether the proposed work conforms to the contract requirements. Sending an unreviewed manufacturer drawing to the architect does not complete the contractor's coordination responsibility.
The architect's limited review
The architect or other designated design professional reviews the submittal for the purpose stated in the contract, commonly limited to checking conformance with the information and design concept expressed in the contract documents. That review generally is not a complete independent check of the contractor's dimensions, quantities, field measurements, means and methods, or trade coordination. The precise scope depends on the contract and the professional's agreement.
| Party | Typical responsibility under common design-bid-build terms | What the role does not automatically mean |
|---|---|---|
| Contractor | Review, coordinate, approve for submission, and transmit required submittals | Does not transfer design responsibility to the architect |
| Subcontractor or supplier | Prepare technical information and product details for the contractor's review | Does not replace the prime contractor's coordination duties |
| Architect or engineer | Review or take contract-authorized action for the stated conformance purpose | Approval is not a warranty of dimensions, quantities, completeness, or field fit |
| Owner or authority having jurisdiction | Approve only where the contract or law assigns that function | Owner review does not necessarily replace design-professional or contractor review |
Approval is not permission to change the contract
A submittal that proposes a deviation from a drawing or specification should identify the deviation in writing and follow the contract's change process. An approval stamp is not automatically a change order. Under common AIA terms, approval does not relieve the contractor of responsibility for deviations unless the deviation is specifically identified and authorized through the contract's required mechanism.
Do not proceed before required review
When the contract requires submittal and review for a portion of the work, common AIA A201 language bars the contractor from performing that portion until the required submittal has received the specified action. A returned, rejected, or revise-and-resubmit submittal needs the response and correction process required by the contract. Starting fabrication or installation early can create rework, payment, and schedule disputes.
A workable submittal workflow
- Read the specifications and submittal schedule to identify required items, format, timing, and responsible reviewers.
- Have the trade or supplier prepare the shop drawing, product data, sample, or calculation.
- The contractor checks it against plans, specifications, field measurements, and related trades, then marks and transmits it as the contract requires.
- The architect or engineer reviews it for the limited purpose and within the review period set by the contract.
- Record the action: approved, approved as noted, revise and resubmit, rejected, or other status defined by the project.
- Distribute the response to affected trades, revise as required, and do not start the covered work until the contract permits it.
Common exam traps
- Assuming the architect prepares the contractor's shop drawings.
- Treating architect review as a full check of dimensions, quantities, or trade coordination.
- Assuming approval releases the contractor from responsibility for deviations or errors.
- Treating a submittal as a change order when it alters contract requirements.
- Installing work before a required submittal has received the contractually required action.
- Assuming every construction contract uses AIA terminology or identical reviewer authority.
Key takeaway
Submittals document the contractor's proposed execution of required work. The contractor typically prepares or coordinates and checks them; the architect's review is limited by the contract. Approval does not silently change the contract or transfer the contractor's responsibilities.
Check the building-system interface
A useful review example is a window wall. Product data establishes the selected system’s ratings and components; shop drawings show its dimensions, anchors, joints, and interfaces. The design professional checks the submission for conformance with the specified performance and overall design. The contractor still verifies field dimensions, coordination with adjacent trades, flashing continuity, and installation sequence. If the proposed system departs from the specifications, identify the deviation and use the contract’s change process before relying on it.
Some shop drawings contain delegated engineering. The qualified professional who prepares that design must provide the certification and calculations required by the contract and applicable law. The engineer of record’s review of the interface does not automatically replace the delegated designer’s responsibility for the delegated design.
Common questions
Who approves shop drawings?
The contractor typically reviews and submits them first. The architect or other designated reviewer then takes the action assigned by the contract, often a limited conformance review.
Does architect approval make the contractor no longer responsible for the work?
No. Common standard terms preserve contractor responsibility for accuracy, coordination, field dimensions, and deviations unless a change is specifically authorized under the contract.
Can a contractor build before a required submittal is approved?
Under common AIA A201 terms, the contractor does not perform work requiring submittal and review until the submittal receives the required action. Check the executed contract.