Shop Drawings and Other
Construction Submittals
Eli Goldstein, AIA, PP, LEED, Managing Partner
THE GOLDSTEIN PARTNERSHIP, ARCHITECTS
Maplewood, NJ
egoldstein@goldstein-architects.com
© 2011 The Goldstein Partnership
Robert C. Epstein, Esq.
Greenberg Traurig, LLP
200 Park Avenue | Florham Park, NJ | 07932
973.360.7945 | epsteinr@gtlaw.com
AIA
The Construction Specifications Institute is a Registered
Provider with The American Institute of Architects
Continuing Education Systems. Credit earned on completion
of this program will be reported to CES Records for AIA
members. Certificates of Completion for non-AIA members
available on request.
This program is registered with the AIA/CES for continuing
professional education. As such, it does not include content
that may be deemed or construed to be an approval or
endorsement by the AIA of any material of construction or
any method or manner of handling, using, distributing, or
dealing in any material or product. Questions related to
specific materials, methods, and services will be addressed
at the conclusion of this presentation.
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This program is a registered educational program with the
Construction Specifications Institute of Alexandria, VA. The
content within this program is not created or endorsed by
CSI nor should the content be construed as an approval of
any product, building method, or service. Information on the
specific content can be addressed at the conclusion of this
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Credit earned for completing this program will automatically
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What are Shop Drawings and
Why are they Used?
Shop Drawings are drawings, diagrams, schedules
and other data specially prepared for the Work by
the Contractor or a Subcontractor, Subsubcontractor, manufacturer, supplier or distributor
to illustrate some portion of the Work.
(AIA Document A201-2007, General Conditions of
the Contract for Construction, Section 3.12.1)
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How are Shop Drawings Reviewed?
• Contractor ensures that the construction process is
feasible and safe
• A/E ensures the final adequacy and safety of the
structure
• AIA Document A201-2007, 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
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How are Shop Drawings Reviewed? (cont’d)
•AIA Document A201-2007, Section 4.2.7
The Architect’s review shall not constitute approval of safety
precautions or, unless otherwise specifically stated by the Architect,
of any construction means,methods, techniques, sequences or
procedures
• AIA Document A201-2007, Section 3.12.6
By submitting Shop Drawings, Product Data, Samples and similar
submittals, the Contractor represents to the Owner and Architect that
the Contractor has (1) reviewed and approved them, (2) determined
and verified materials, field measurements and field construction
criteria related thereto, or will do so and (3) checked and coordinated
the information contained within such submittals with the
requirements of the Work and of the Contract Documents.
Interpretation of Shop Drawings
AIA Document A201-2007, Section 3.12.8
The Work shall be in accordance with approved submittals except
that the Contractor shall not be relieved of responsibility for
deviations from requirements of the Contract Documents by the
Architect’s approval of Shop Drawings, Product Data, Samples or
similar submittals unless the Contractor has specifically informed
the Architect in writing of such deviation at the time of submittal
and (1) the Architect has given written approval to the specific
deviation as a minor change in the Work, or (2) a Change Order
or Construction Change Directive has been issued authorizing the
deviation. The Contractor shall not be relieved of responsibility for
errors or omissions in Shop Drawings, Product Data, Samples or
similar submittals by the Architect’s approval thereof.
Delays in the Shop Drawing Review
Process
AIA Document A201-2007, Section 4.2.7
The Architect’s action [on shop drawings] will be
taken in accordance with the submittal schedule
approved by the Architect or, in the absence of an
approved submittal schedule, with reasonable
promptness while allowing sufficient time in the
Architect’s professional judgment to permit
adequate review.
Minimizing Exposure
SHOP DRAWING REVIEW STAMP
Review and approval of the within drawing are only for conformance
with the general design concept of the Project as generally
expressed in the Contract Documents. Review and approval of the
within drawing are not conducted for the purpose of determining the
accuracy and completeness of details, like dimensions or quantities,
or for substantiating instructions for the installation or performance
of equipment or systems, all of which remain the responsibility of the
Contractor as required by the Contract Documents. The Design
Professional's review and approval shall not constitute approval of
any construction means, methods, techniques, sequences, or any
safety precautions or procedures. The Design Professional's
approval of a specific item shall not indicate approval of any
assembly of which the item is a component.
Changes in the Work
AIA Document A201-2007:
Section 7.2.1
A Change Order is a written instrument prepared by the
Architect and signed by the Owner, Contractor and
Architect stating their agreement upon all of the
following:
1.The change in the Work;
2.The amount of the adjustment, if any, in the Contract Sum;
and
3.The extent of the adjustment, if any, in the Contract Time
Changes in the Work (cont’d)
• Section 7.3.1
• A Construction Change Directive is a written order
prepared by the Architect and signed by the Owner
and Architect, directing a change in the Work prior to
agreement on adjustment, if any, in the Contract
Sum or Contract Time, or both. The Owner may by
Construction Change Directive, without invalidating
the Contract, order changes in the Work within the
general scope of the Contract consisting of additions,
deletions or other revisions, the Contract Sum and
Contract Time being adjusted accordingly.
Changes in the Work (cont’d)
• Section 7.3.2
• A Construction Change Directive shall be used in the
absence of total agreement on the terms of a Change.
• Section 7.3.5
• Upon receipt of a Construction Change Directive, the
Contractor shall promptly proceed with the change in
the Work involved and advise the Architect of the
Contractors agreement or disagreement with the
method, if any, provided in the Construction Directive
for determining the proposed adjustment in the
Contract Sum or Contract Time.
Requests For Information
• AIA Document A201-2007 Section 4.2.11
• The Architect will interpret and decide matters
concerning performance under, and requirements of,
the Contract Documents on written request of either
the Owner or Contractor. The Architect’s response
to such requests will be made in writing within any
time limits agreed upon or otherwise with reasonable
promptness.
Questions & Answers
Responsibilities of Design Professional
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Review submittals in a timely manner
Identify which specified submittals, if any, are missing
Confirm general conformance with the Contract
Documents
Flag aspects which are not in conformance
Mark submittals with appropriate “actions”
Qualify any comments made based on incomplete
information
Issue notices in the event that any field work is not in
conformance with approved submittals or was
performed in the absence of approved submittals
Responsibilities of Contractor
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Submit shop drawings (and resubmittals) in a timely
manner
Maintain an up-to-date submittal log
Certify conformance with the Contract Documents
Coordinate the work of the subcontractors and suppliers
Take the actions marked on the submittals by the A/E
Submit complete and coordinated shop drawings
Perform only that work which has been approved
Categories of Shop Drawing Information
• Procedural Information
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Project Name & Number
Contact Info for Contractor, Fabricator, and Detailer
Contact Info for Contractor’s Engineer (if applicable)
Date, drawing number and version number of each drawing
Total number of sheets in ultimate set of shop drawings
• Substantive Information
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Shop standards
Components and assemblies
Quantities and dimensions
Quality and finish indications
Cross-references to relevant details
Indications of areas where add’l info is required from A/E
Critical Contents of Shop Drawings
• Coherent
• Complete
– with respect to scope and quantities
– with respect to engineering (if required)
• Conforming
– with the Contract Documents
– with applicable Codes and Standards
• Coordinated
– with other trades
– between shop and field operations
– with other submittals
• Configured
– to allow for moisture and temperature effects
– to allow for variations among materials
Critical Contents of Shop Drawings
• Connected
– within the trade
– to the work of other trades
• Constructable
– within the trade
– with the work of other trades
• Consistent
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with the Construction Documents (drawings and specs)
with trade jurisdictions
with the contractor/subcontractor/supplier contracts
with the proposed construction sequence
• Cross-referenced
– between pieces and assemblies
– between the piece drawings and the actual pieces
A/E Shop Drawing Review Actions
• Actions which permit fabrication to proceed:
– “Approved” or “Authorized” or “No Exceptions Taken”
– “Approved as Noted” or “Authorized as Noted”
– “Revise & Resubmit for Record Only”
• Actions which prohibit the start of fabrication:
– Revise & Resubmit
– Rejected
– Incomplete
• Other potential actions:
– Not reviewed (indicates lack of jurisdiction or responsibility)
Shop Drawing “Games”
• Games A/Es Like to Play:
– Completing their design work during shop drawing review
– Refusing to approve shop drawings until they are “clean”
– Enhancing materials and/or expanding scope without notice
• Games Contractors Like to Play:
– Requesting approval of drawings which are incomplete
– Requesting partial approvals in the absence of contextual
info
– Demanding expedited turnaround of complex aspects
• Games Fabricators & Detailers Like to Play:
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Refusing to verify dimensions and conditions in the field
Failing to coordinate with materials and assemblies of others
Cheapening materials and/or reducing scope without notice
Failing to respect requirements for “non-proprietary” aspects
Questions & Answers