The Federal Construction Submittal Process: Why an Approved Submittal Is Not Government Approval

Introduction

The submittal process is one of the most important administrative procedures governing federal construction projects. Contractors frequently interpret approved submittals as authorization to proceed with installation of materials or systems. In reality, federal construction contracts clearly state that submittal approval does not constitute Government approval of deviations from the contract requirements.

Submittal procedures are typically established in Specification Section 01 33 00 – Submittal Procedures. These procedures define how contractors must submit documentation verifying compliance with the contract requirements and how Government reviewers evaluate those submissions.

Understanding the limits of submittal approval is essential for avoiding compliance issues during construction.

Purpose of the Submittal Process

Submittals are used to demonstrate that the materials, equipment, and procedures proposed by the contractor comply with the contract requirements before the work is performed.

Typical submittals required on federal construction projects include:

• shop drawings

• product data

• material certifications

• test reports

• manufacturer installation instructions

These documents allow the Government and the Designer of Record to verify that the contractor’s proposed materials and methods are consistent with the contract specifications.

However, submittals are not intended to modify the contract requirements.

Submittal Classifications

Within the Unified Facilities Guide Specifications (UFGS) system, submittals are organized using Submittal Description (SD) classifications.

Common SD classifications include:

• SD-02 Shop Drawings

• SD-03 Product Data

• SD-06 Test Reports

• SD-07 Certificates

Each classification represents a different type of documentation required to verify compliance with the specifications.

Submittals must be prepared and transmitted in accordance with the procedures defined in Specification Section 01 33 00.

The Critical Limitation on Submittal Approval

One of the most important provisions in the submittal procedures specification addresses the meaning of submittal approval.

UFGS 01 33 00 – Submittal Procedures, paragraph 1.13 Submittal Approval, typically states:

“Approval of a submittal does not relieve the Contractor from responsibility for complying with the requirements of the contract documents.”

This provision is critical because it clarifies that Government review of a submittal does not transfer responsibility for contract compliance from the contractor to the Government.

Even when a submittal receives an “approved” or “approved as noted” status, the contractor remains responsible for ensuring that the materials and installation procedures comply with the contract requirements.

Why This Clause Exists

Federal construction projects involve large volumes of technical documentation. Government reviewers evaluate submittals to confirm that proposed materials and systems appear to meet the contract requirements.

However, submittal review is not intended to function as a redesign of the project.

Because the contractor is responsible for selecting materials and performing the work in accordance with the contract requirements, the contract makes clear that submittal approval cannot be interpreted as authorization to deviate from the contract.

This ensures that responsibility for contract compliance remains with the contractor.

Submittals vs Contract Variations

A common misunderstanding occurs when contractors attempt to introduce alternative materials through the submittal process.

If a proposed product or material differs from the contract requirements, the issue is not simply a submittal review.

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

Federal construction contracts address substitutions through FAR 52.236-5 – Material and Workmanship, which states that the determination of whether a proposed substitute is acceptable rests in the judgment of the Contracting Officer.

Submittal approval alone does not authorize such substitutions.

The Contractor’s Responsibility

Because submittal approval does not modify the contract requirements, contractors remain responsible for verifying that their proposed materials and procedures comply with the contract documents.

This responsibility includes:

• reviewing the contract drawings and specifications carefully

• verifying that submittals match the specified requirements

• identifying discrepancies before installation occurs

• requesting clarification when conflicts are identified

If a contractor installs materials that do not comply with the contract requirements, the Government may require removal and replacement of the work.

Why This Issue Creates Disputes

Disputes frequently arise when contractors rely on submittal approval as evidence that the Government approved a deviation from the specifications.

However, federal construction contracts explicitly state that submittal approval does not relieve the contractor of responsibility for contract compliance.

Because of this provision, the Government may require correction of work even when the associated submittal was previously approved.

Conclusion

The submittal process allows the Government to verify that proposed materials and procedures appear to comply with the contract requirements. However, federal construction contracts make clear that submittal approval does not modify the contract or transfer responsibility for compliance to the Government.

Specification Section 01 33 00 – Submittal Procedures, particularly paragraph 1.13 Submittal Approval, reinforces that the contractor remains responsible for ensuring that construction work complies with the contract documents.

Understanding this limitation helps prevent misunderstandings regarding the purpose of submittal approval and reduces disputes during construction.