Submittals, Shop Drawings and RFIs

Why This Topic Matters on the CCM Exam

Submittals, shop drawings and Requests for Information (RFIs) are the day-to-day lifeblood of the construction phase. They are the mechanisms through which the contractor demonstrates how the design will actually be built, through which the design team confirms that the contractor's interpretation conforms to design intent, and through which gaps, conflicts or ambiguities in the contract documents are formally surfaced and resolved. The CMAA Standards of Practice place these processes squarely within Contract Administration, one of the heaviest-weighted domains on the Certified Construction Manager examination.

Why does CMAA care so much? Because poorly managed submittals and RFIs are among the most common root causes of delays, rework, claims and disputes. A late shop drawing review can stall structural steel fabrication for weeks. An unanswered RFI can become the evidence that supports a constructive change claim. A submittal approved without catching a deviation can shift liability in ways nobody intended. The Construction Manager (CM) is the party expected to design, implement and police the procedures that prevent these outcomes while carefully not assuming the design professional's or the contractor's responsibilities. Exam questions in this area test whether you understand that balance.

Part 1: What Are Submittals?

A submittal is any document, sample, drawing or data item the contractor is required by the contract documents (usually Division 01 General Requirements and the individual technical specification sections) to submit for review before performing related work. Submittals are the contractor's way of saying, in effect, 'This is exactly what I intend to furnish and install; confirm it matches what you designed.'

Common categories of submittals include:

• Product data - manufacturer's catalog cuts, performance data, installation instructions, and standard details for a specified product.
• Shop drawings - drawings prepared by the contractor, subcontractor, supplier or fabricator showing how a specific portion of the work will be fabricated and installed (covered in detail below).
• Samples - physical examples of materials, finishes, colors and textures for selection or verification.
• Mock-ups - full-size assemblies built to establish the standard of quality and to test constructability and performance (for example, an exterior wall mock-up tested for water penetration).
• Certifications and test reports - mill certificates, welder qualifications, concrete mix designs, laboratory test results, manufacturer's certificates of compliance.
• Design data and calculations - delegated design submittals where the contract requires the contractor to engineer part of the work (curtain wall, pre-engineered metal buildings, fire sprinkler hydraulics, connection design) and seal it by a licensed engineer.
• Schedules and plans - the baseline CPM schedule, schedule of values, submittal schedule, quality control plan, safety plan, traffic control plan.
• Closeout submittals - operation and maintenance (O&M) manuals, warranties, record (as-built) drawings, spare parts and attic stock, training records.

The exam will often distinguish between action submittals (requiring a review response before work proceeds, such as shop drawings and product data) and informational submittals (received for the record, such as certain test reports or certifications, which do not typically require an approval response).

Part 2: What Are Shop Drawings?

Shop drawings are a specific and critically important type of submittal. They are drawings, diagrams, schedules and other data specifically prepared for the project by the contractor or a subcontractor, manufacturer, supplier or distributor to illustrate some portion of the work. Classic examples include structural steel fabrication and erection drawings, reinforcing steel placing drawings, precast concrete drawings, curtain wall and storefront drawings, HVAC ductwork coordination drawings, millwork drawings and elevator drawings.

Several principles about shop drawings appear repeatedly on the CCM exam:

1. Shop drawings are not contract documents. They are submittals prepared to demonstrate how the contractor proposes to conform to the contract documents. Approval of a shop drawing does not amend the contract, and a shop drawing cannot be used to change the scope, quality or requirements of the drawings and specifications. Only a properly executed change order (or other formal modification instrument) can do that.

2. The contractor must review and approve shop drawings before submitting them. The contractor is responsible for verifying field measurements, field construction criteria, materials, catalog numbers, quantities, dimensions and coordination with other trades. A submittal without the contractor's own review stamp is typically returned without review. The exam tests whether you know that the contractor's review is a contractual precondition, not a formality.

3. The design professional reviews for conformance with design intent only. The architect or engineer of record reviews shop drawings for the limited purpose of checking general conformance with the design concept and the information given in the contract documents. The design professional is not checking dimensions, quantities, fabrication processes, construction means and methods, techniques, sequences or safety precautions. This limited review is what keeps the designer from assuming the contractor's responsibility.

4. Review does not relieve the contractor of responsibility. Approval or favorable review of a shop drawing does not relieve the contractor from responsibility for errors or omissions in the submittal, nor from the obligation to comply with the contract documents, unless the contractor has specifically called the deviation to the reviewer's attention in writing at the time of submission and received written approval of that specific deviation.

5. Deviations must be flagged. If the contractor's shop drawing differs from the contract documents, the contractor is obligated to clearly identify the deviation. Burying a deviation in a drawing and later claiming it was approved is a classic dispute scenario the exam loves to present.

6. Work shall not proceed until the submittal is reviewed. Performing work requiring a submittal before that submittal has been returned with an acceptable action is done at the contractor's risk. If it is later found non-conforming, the contractor bears the cost of removal and replacement.

Part 3: What Are RFIs?

A Request for Information (RFI) is a formal, written, numbered question from the contractor (or sometimes from the CM or owner) seeking clarification or interpretation of the contract documents, or seeking direction where the documents are silent, ambiguous, conflicting or incomplete. RFIs typically arise from:

• Conflicts between drawings and specifications or between disciplines (a duct runs through a beam).
• Missing information (no detail provided for a condition encountered).
• Ambiguities in dimensions, notes or references.
• Differing or unforeseen site conditions requiring design direction.
• Confirmation of a proposed approach before proceeding.

Key principles tested on the exam:

1. An RFI is a request for interpretation, not a change mechanism. The response to an RFI is the design professional's interpretation of the existing contract documents. If the response requires work beyond the contract requirements, the proper path is a change proposal and change order. An RFI response that quietly adds scope without a change order is a recipe for a claim.

2. RFIs should be legitimate. The CM must guard against RFI abuse, where a contractor floods the project with RFIs to build a record of 'design deficiencies' for a later delay or disruption claim, or uses RFIs to ask questions already answered in the documents. A good CM screens RFIs for completeness and validity before forwarding them to the designer.

3. Timeliness is contractual and schedule-critical. Contracts typically specify a response time (commonly 7 to 14 calendar days for RFIs and 14 to 21 days for submittals). Unanswered or late RFIs can entitle the contractor to a time extension if the delayed work is on the critical path. The CM tracks response durations and escalates aging items.

4. The RFI log is a legal record. Each RFI, its date, the date forwarded, the date answered, the response and any resulting cost or schedule impact must be logged. RFI logs are routinely entered into evidence in disputes.

5. The contractor should propose a solution. Best practice (and many specifications) require the contractor to include a suggested resolution and to state whether cost or time impacts are anticipated. This speeds resolution and establishes early notice of potential changes.

Part 4: How the Submittal Process Works

Step 1 - Preconstruction planning. During the preconstruction phase, the CM helps develop the submittal procedures in Division 01, including required review times, the number of copies or the electronic format, the stamping requirements, the distribution matrix and the use of the project management information system (PMIS). The CM may also conduct a constructability and coordination review of the documents to reduce future RFIs.

Step 2 - Submittal schedule and log. Shortly after award, the contractor prepares a submittal schedule (or submittal register) listing every submittal required by the specifications, when each will be submitted, and when each is needed back to support fabrication lead times and the CPM schedule. The CM reviews this schedule against the project schedule and establishes the submittal log to track every item. Long-lead items (elevators, switchgear, structural steel, custom curtain wall) are prioritized.

Step 3 - Contractor preparation and review. Subcontractors and suppliers prepare the submittal. The general contractor reviews it for coordination, dimensions, quantities and compliance, applies the contractor's review stamp, and transmits it to the CM with a transmittal form that identifies the specification section and submittal number.

Step 4 - CM receipt and screening. The CM logs the submittal, checks that it is complete, properly identified, stamped by the contractor and relevant to the specification section cited. Incomplete or unstamped submittals are returned without review. The CM may perform a preliminary review for contract compliance (does it match the specified product, is the color selection called out, etc.) but does not take over the designer's review. The CM forwards the submittal to the appropriate design professional and tracks the review clock.

Step 5 - Design professional review. The architect or engineer of record (and consultants for their disciplines) reviews the submittal for conformance with the design intent and marks it with an action code. Typical action codes include:

• Approved / No Exceptions Taken / Reviewed - work may proceed.
• Approved as Noted / Make Corrections Noted / Furnish as Corrected - work may proceed provided the noted corrections are incorporated; resubmittal usually not required.
• Revise and Resubmit / Amend and Resubmit - work may not proceed; the submittal must be corrected and resubmitted.
• Rejected / Not Approved - the submittal does not conform; a new submittal is required.
• Received for Record / Information Only - no action required.

Note that many design firms deliberately avoid the word 'Approved' and use 'Reviewed' or 'No Exceptions Taken' to reinforce that their review is limited and does not constitute a guarantee. The exam may test whether you understand that this language is a liability management tool.

Step 6 - Return and distribution. The CM receives the reviewed submittal, logs the action and the date, checks that the response was timely, and distributes it to the contractor and other affected parties. For resubmittals, the CM tracks the revision number and confirms only the previously noted items changed (some specifications require the contractor to identify any changes other than those requested).

Step 7 - Field use and closeout. Approved submittals are kept at the site for inspection reference. Inspectors verify that installed work matches approved submittals. At closeout, the complete submittal record forms part of the project turnover package.

Part 5: How the RFI Process Works

Step 1 - Identification. The contractor identifies a question, conflict or missing detail during planning or in the field.

Step 2 - Preparation. The contractor prepares a written RFI on the project form, assigns a sequential number, references the relevant drawing sheets and specification sections, describes the issue clearly, attaches sketches or photographs, proposes a solution, states the date a response is needed to avoid schedule impact, and indicates whether a cost or time impact is anticipated.

Step 3 - CM screening and logging. The CM logs the RFI, confirms it is a legitimate question not already answered in the documents, confirms it is not actually a change request or a substitution request disguised as an RFI, and may answer it directly if the answer is clearly within the existing documents and requires no design interpretation. Anything requiring interpretation of design intent goes to the design professional.

Step 4 - Design professional response. The architect or engineer researches the question and issues a written response, which may include a sketch (often called an ASI, supplemental instruction, or a clarification sketch). The response should resolve the question within the scope of the existing contract documents where possible.

Step 5 - CM evaluation of impact. On receipt, the CM reviews the response to determine whether it constitutes a clarification (no change in contract scope, time or cost) or a change. If the response adds, deletes or alters work, the CM initiates the change management process (request for proposal, pricing, negotiation, change order) and advises the owner. This step is where exam questions often focus: the CM must recognize that the RFI response itself does not authorize extra compensation.

Step 6 - Distribution and closure. The CM distributes the response, updates the log with the closed date and any impact determination, and ensures the response is incorporated into the record drawings where it modifies construction.

Step 7 - Trend analysis. A mature CM organization analyzes RFI data: volume by discipline, average response time, percentage resulting in changes, and recurring themes. High volumes concentrated in one discipline may indicate design quality problems that warrant a conversation with the owner and designer.

Part 6: The CM's Role and the Boundary Lines

The CCM exam constantly probes whether you understand who is responsible for what. Keep these boundaries sharp:

• Owner - holds the contracts, pays for approved changes, makes final decisions on cost and time, often reserves the right to approve substitutions.
• Design professional (A/E) - interprets the contract documents, reviews submittals for conformance with design intent, responds to RFIs requiring design interpretation, remains the engineer or architect of record.
• Contractor - responsible for means, methods, techniques, sequences, safety, dimensions, quantities, coordination, field verification, and for preparing and reviewing submittals and RFIs.
• Construction Manager (agency CM) - establishes and administers the procedures, maintains the logs, screens for completeness and legitimacy, tracks turnaround times, expedites and escalates, evaluates schedule and cost impacts, advises the owner, and keeps the records. The agency CM does not approve shop drawings for design conformance, does not assume design liability, and does not direct the contractor's means and methods.

The CM's value lies in process control and communication: making sure the right question reaches the right party, quickly, with the information needed to answer it, and that the answer is evaluated for impact and documented. Under CMAA's Standards of Practice, the CM also establishes the single-point-of-contact communication protocol so that RFIs and submittals flow through a defined channel rather than directly between contractor field staff and the design office, which protects the record and prevents unauthorized direction.

In CM-at-Risk delivery, the CM holds the trade contracts and therefore takes on the general contractor's submittal and RFI responsibilities toward the owner and designer, while still managing the process downstream with trade contractors. Exam questions may specify the delivery method precisely to see if you adjust the CM's responsibilities accordingly.

Part 7: Common Problems and Best Practices

• Late submittals delay fabrication. Best practice: tie the submittal schedule to the CPM schedule and track required-by dates, not just submission dates.
• Incomplete or piecemeal submittals waste review cycles. Best practice: require complete packages per specification section and return incomplete items immediately.
• Slow design reviews create delay exposure for the owner. Best practice: establish contractual review durations, monitor them, and escalate early.
• Unflagged deviations lead to disputes. Best practice: require a deviation statement on every transmittal and train inspectors to compare installed work against approved submittals.
• Substitution requests disguised as submittals circumvent the substitution procedure. Best practice: enforce the Division 01 substitution process with its own form, justification and owner approval.
• RFIs used as a claims tool. Best practice: screen for legitimacy, answer promptly, and document when the information requested was already available in the documents.
• RFI responses that create scope. Best practice: the CM evaluates every response for change implications and triggers the change process rather than letting the contractor proceed on an RFI alone.
• Poor records. Best practice: maintain electronic logs in the PMIS with dates, durations, action codes and impact determinations; these logs support schedule analysis and dispute resolution.

Part 8: Exam Tips: Answering Questions on Submittals, Shop Drawings and RFIs

Tip 1 - Remember that shop drawings are not contract documents. Any answer choice suggesting that an approved shop drawing modifies the contract, overrides the specifications, or entitles the contractor to extra payment is wrong. Only a change order changes the contract.

Tip 2 - The designer's review is limited to design intent. If a question asks what the architect is checking, the answer is conformance with the design concept and the information in the contract documents, not dimensions, quantities, means and methods or safety. If an answer choice has the designer verifying field dimensions, eliminate it.

Tip 3 - Approval does not relieve the contractor. When a scenario describes a defect that was present in an approved shop drawing, the contractor remains responsible unless the deviation was specifically and clearly identified in writing and specifically approved. Watch for the word 'specifically.'

Tip 4 - The contractor must review first. A submittal arriving without the contractor's review stamp should be returned without review. The CM does not do the contractor's coordination for them.

Tip 5 - An RFI is a clarification, not a change order. When a scenario describes an RFI response that adds work, the correct CM action is to evaluate the response for cost and time impact and initiate the change management process, then advise the owner. The wrong answers will have the contractor proceeding and billing later, or the CM telling the contractor it is included in the contract without analysis.

Tip 6 - The agency CM facilitates; it does not assume design or construction liability. If an answer has the agency CM approving shop drawings for conformance with design intent, directing means and methods, or redesigning a detail in an RFI response, it is almost certainly wrong. The CM screens, logs, routes, tracks, expedites, evaluates impact and documents.

Tip 7 - Timeliness equals schedule risk. Questions that mention review durations are usually testing whether you link late reviews to potential time extension entitlement and to the CM's duty to monitor and escalate. The CM should compare actual turnaround against contract-specified durations and against the CPM schedule's need dates.

Tip 8 - Know the action codes and their consequences. 'Approved as Noted' allows work to proceed with corrections; 'Revise and Resubmit' does not allow work to proceed. 'Reviewed' or 'No Exceptions Taken' is used deliberately to limit liability and is functionally equivalent to approval for the purpose of proceeding.

Tip 9 - The log is the record. When a question asks what the CM should do first upon receiving a submittal or RFI, 'log it and check for completeness' is usually a strong candidate before 'forward to the designer.' When a question asks what document supports a delay analysis or dispute, the submittal and RFI logs are frequently the answer.

Tip 10 - Distinguish substitutions from submittals. If a contractor submits a product other than the one specified, that is a substitution request subject to the Division 01 substitution procedure and typically owner approval, not a routine product data submittal. Answer choices that treat an 'or equal' proposal as a normal submittal are traps.

Tip 11 - Watch the delivery method. If the question says CM-at-Risk, the CM holds the trade contracts and carries general contractor responsibilities for submittals and RFIs. If it says agency CM or CM as advisor, the CM is the owner's representative administering the process without construction liability.

Tip 12 - Choose the proactive, documented, process-based answer. CMAA exam answers consistently favor the response that establishes or follows a written procedure, communicates through the designated single point of contact, documents in writing, evaluates impacts before proceeding, and keeps the owner informed. Answers that are informal, verbal, reactive or that bypass the designer or owner are usually distractors.

Sample Question Walkthrough

Scenario: A structural steel shop drawing was returned 'No Exceptions Taken.' During erection, the inspector finds that a beam connection shown on the shop drawing had fewer bolts than required by the contract drawings, and the shop drawing did not identify this as a deviation. The contractor claims the approved shop drawing governs. What should the CM do?

Analysis: Shop drawings are not contract documents; the designer's review was for general conformance with design intent and did not relieve the contractor of responsibility; the deviation was not specifically flagged. The CM should document the nonconformance, notify the contractor and the engineer of record, require the contractor to correct the work at the contractor's cost to comply with the contract documents, and update the logs. The correct answer will reflect that the contract documents govern and the contractor bears the cost. Distractors will have the owner paying because the drawing was 'approved' or the CM accepting the lesser connection without the engineer's involvement.

Scenario: A contractor submits an RFI asking for a detail at a condition not shown on the drawings. The architect responds with a sketch that requires additional framing and blocking. The contractor installs the work and submits a change order request two weeks later. What should the CM have done upon receiving the architect's response?

Analysis: The CM should have evaluated the response for scope, cost and schedule impact before distribution, recognized it as a potential change, notified the owner, and initiated the change management process so pricing was established before the work proceeded. The correct answer emphasizes impact evaluation and change initiation at the time of the response, not after the fact.

Summary

Submittals, shop drawings and RFIs are the formal communication tools of contract administration. Submittals and shop drawings demonstrate how the contractor intends to comply with the design; RFIs resolve questions about what the design requires. Neither changes the contract. The design professional reviews for design intent only, the contractor retains responsibility for the accuracy of its own submittals and for means and methods, and the Construction Manager owns the process: procedures, logs, screening, routing, turnaround tracking, impact evaluation, escalation and documentation. Master these boundaries and the procedural sequence, and you will handle any question the CCM exam presents on this topic with confidence.