RFI vs Submittal vs Variation Request in Federal Construction

Introduction

In federal construction, confusion often arises between three common processes: the Request for Information (RFI), the submittal process, and requests to vary from contract requirements. These processes serve different purposes within the contract administration framework, yet they are frequently misused interchangeably. Misunderstanding these procedures can lead to rejected requests, project delays, and disputes between contractors and the Government.

Understanding the proper role of each process requires examining the governing contract documents, including Federal Acquisition Regulation (FAR) clauses, specification requirements, and Division 01 administrative procedures.

The Purpose of a Request for Information (RFI)

A Request for Information exists to request clarification of the contract documents when requirements appear unclear, conflicting, or incomplete. RFIs are not approval mechanisms and do not authorize changes to the contract.

RFIs are typically used when a contractor encounters:

• conflicting information between drawings and specifications

• unclear design intent

• missing dimensions or details

• coordination questions between disciplines

Under federal construction contracts, the authority to interpret contract requirements ultimately rests with the Contracting Officer.

FAR 52.236-5 — Material and Workmanship, paragraph (b) states:

“The Contracting Officer shall decide any question of fact arising under the contract.”

This means responses provided by designers or technical representatives during the RFI process do not modify contract requirements unless the Contracting Officer authorizes the change.

RFIs are therefore a clarification tool, not a mechanism for requesting substitutions or design changes.

The Purpose of Submittals

Submittals serve a completely different purpose than RFIs. Submittals are used to demonstrate that the contractor’s planned materials, equipment, or procedures comply with the contract requirements.

Federal construction contracts typically require submittals for:

• product data

• shop drawings

• material certifications

• test reports

• manufacturer installation instructions

Submittal procedures are defined in Division 01 specifications, commonly under sections addressing submittal procedures or administrative requirements.

Within the UFGS system, submittal requirements are typically identified using SD (Submittal Description) classifications, such as:

• SD-02 Shop Drawings

• SD-03 Product Data

• SD-06 Test Reports

• SD-07 Certificates

Submittals allow the Government to verify that proposed materials and systems meet contract specifications before installation occurs. However, approval of a submittal does not authorize deviation from the contract requirements unless the contract specifically allows substitutions or approved equals.

Requests to Vary From Contract Requirements

When a contractor proposes a product, material, or method that differs from the specified requirement, the request is not properly handled through an RFI or a standard submittal.

Instead, the contractor is requesting to vary from the contract requirements.

Federal construction contracts address this situation under FAR 52.236-5 Material and Workmanship, which permits contractors to propose alternative materials when the contract references specific products. However, the clause makes clear that acceptance of any substitute is solely within the judgment of the Contracting Officer.

The clause states that the Contracting Officer may determine whether the proposed material is equal in quality and performance to the specified item.

This determination cannot be made through an RFI response or a routine submittal review. It requires formal evaluation and acceptance by the Government through the contract administration process.

Why These Processes Are Often Confused

On many projects, contractors attempt to use RFIs to request approval of substitutions or design changes. This misuse occurs because RFIs are often perceived as a general communication tool rather than a process intended specifically for contract clarification.

Similarly, contractors may attempt to submit alternative materials through standard submittals without formally requesting approval to vary from the contract requirements.

These approaches create administrative problems because they bypass the contract authority structure. Technical reviewers, inspectors, and designers do not possess authority to modify contract requirements.

Only the Contracting Officer may authorize a change to the contract.

Practical Guidance for Contractors

Understanding the distinction between these processes helps ensure that requests are handled efficiently and within the proper contract framework.

Use an RFI when:

• clarification of the contract documents is needed

• drawings and specifications appear inconsistent

• design intent is unclear

Use a Submittal when:

• demonstrating compliance with specified materials or equipment

• providing shop drawings or product data required by the specifications

• submitting documentation required under Division 01

Use a formal request to vary from contract requirements when:

• proposing substitution of a specified product

• proposing an alternate material

• proposing deviation from specification requirements

Submitting requests through the correct process helps prevent delays, ensures proper contract authority is maintained, and reduces the risk of rejected submissions.

Conclusion

RFIs, submittals, and requests to vary from contract requirements each serve distinct roles within federal construction contract administration. Treating these processes as interchangeable can lead to confusion and administrative delays.

Federal construction contracts establish a structured framework in which clarification, compliance verification, and contract modifications must occur through the appropriate channels. Understanding this structure allows contractors, inspectors, and project managers to communicate effectively while maintaining compliance with the governing contract documents.