What is a Submittal in Construction?

In construction, a submittal is a document, drawing, sample, or piece of information that a contractor provides to the architect, engineer, or client before or during the construction process. Submittals are used to show how specific materials, equipment, or systems will be provided or installed on a project.

Submittals are not just a formality – they are an important part of the quality control process. They help ensure that the construction work will meet the design, safety, and performance standards expected by the client and outlined in the contract.

Common Types of Submittals

Different types of submittals are required depending on the nature of the project. Below are some of the most common types used in construction:

Shop Drawings

Contractors or suppliers create shop drawings to show the exact details of how specific components will be built or installed. These are more precise than design drawings and show how a product or system will actually be built or installed. For example, shop drawings for a steel beam might show its exact size, location of bolts, and welding points.

Product Data

This includes manufacturer information about materials, equipment, or products that will be used on the project. It often covers size, capacity, performance, and installation instructions. For example, product data for an air conditioning unit will show cooling capacity, power needs, and operating instructions.

Samples

Samples are physical examples of materials such as paint, tiles, flooring, or fabric. These help the client or architect approve the finish, color, and texture before full use on the site.

Mockups

Mockups are full-sized examples of a part of the project, like a section of a wall or a window unit, built before the actual work begins. Mockups help verify the quality, fit, and appearance of the finished product.

Engineering Calculations

These are technical calculations that support the design and safety of structural elements, electrical systems, or HVAC. For example, structural load calculations confirm that a building can handle the expected weight and stress.

Vendor Information

This includes contact details, qualifications, and certifications of suppliers and subcontractors. Contractors or suppliers create shop drawings to show the exact details of how specific components will be built or installed.

Warranties & Manuals

Warranties show the guarantee terms for products and systems being installed. Operation and maintenance manuals provide instructions on how to properly use and care for installed equipment.

As-Built Drawings

As-built drawings show the final construction, including any changes made from the original design plans. They show what was actually built on site, including any changes made during construction. They are useful for managing future repairs, upgrades, or remodeling work.

What is the purpose of submittals?

Submittals serve several key purposes in a construction project. Here’s why they are so important:

1. Confirming Design Requirements

Submittals ensure that the materials and products selected are in line with what was planned and approved in the contract.

2. Quality Control

By reviewing and approving submittals, the design team can catch errors or mismatches early, before anything is installed or built on-site.

3. Ensuring Compliance

Submittals allow architects and engineers to check that proposed materials and systems meet building codes, safety standards, and performance criteria.

4. Planning and Coordination

Shop drawings and product data help different teams (like electrical, plumbing, and HVAC) plan their work and avoid conflicts or overlaps in installation.

5. Client Assurance

Submittals give clients peace of mind, showing that approved products and quality standards are being followed on their project.

6. Record Keeping

Submittals become part of the project documentation. This is useful during inspections, audits, and future maintenance.

The construction submittal process

The submittal process is crucial for ensuring that the construction project proceeds smoothly and in accordance with the design specifications. Here’s a simple breakdown of how the process typically works:

1. The General Contractor Creates a Submittal Schedule

It is the general contractor’s duty to develop a schedule that outlines when submittals need to be submitted and reviewed. This schedule outlines the timeline for submitting the necessary documents and products for approval, helping to keep the project on track.

2. Contractors Prepare Submittal Documents

After the schedule is set, contractors begin gathering and preparing the necessary documents for submission. This includes gathering all the necessary product data, drawings, samples, and other materials needed for approval.

3. The Design Team Reviews the Submittals

The design team (architects, engineers, or project managers) then reviews the submittals to make sure everything matches the project requirements. They check for any issues with product quality, compliance with codes, or alignment with design plans.

4. The Design Team Responds to the Submittals

The design team reviews each submittal and then decides to approve it, reject it, or ask for revisions. If revisions are needed, the contractor will address the issues and submit the revised documents for further review.

This process repeats until all submittals are approved, ensuring the project is completed according to the agreed-upon specifications and standards.

Difference between an RFI and a Submittal?

While both Requests for Information (RFI) and submittals are part of the construction process, they serve different purposes.

RFI (Request for Information):
Contractors or subcontractors use an RFI to ask questions or seek clarification about unclear aspects of the project. This could be a question about the design, specifications, or any unclear instructions that might affect the construction process. The RFI helps resolve issues and ensure everyone is on the same page.

Submittal:
A submittal, on the other hand, is a formal submission of documents or materials for approval, such as product specifications, drawings, or samples. It is used to show that the contractor intends to use certain materials or methods and seeks approval from the design team before proceeding.

Key Difference:

• RFI is for asking questions or clarifications.
  
• A submittal is submitted to gain formal approval for specific materials, equipment, or construction methods before use on-site..
  

Both processes are essential for ensuring that the project meets the design standards and runs smoothly without confusion or delays.

Key factors that affect submittals

Several factors can influence the quality, timing, and success of construction submittals. Understanding these can help teams plan better and avoid delays.

1. Project Scope and Complexity

Larger and more complex projects often require more submittals. The more elements involved – such as custom materials or systems, the more detailed the submittal process becomes.

2. Contract Documents

The contract documents define what submittals are required and the standards they must meet. Missing or unclear information in these documents can slow down the review process.

3. Specifications

The specifications of the project define which materials and construction methods are allowed and expected to be used. If submittals do not meet these specs, they may be rejected, leading to rework or delays.

4. Submittal Preparation & Testing

If a submittal involves special testing (like safety or performance checks), additional time may be needed to complete and include test results. Poor preparation can lead to rejection or requests for more details.

5. Lead Times

Some materials have long manufacturing or delivery times. If submittals for these items are delayed, it can affect the overall construction timeline.

6. Stakeholder Availability

Submittals often require review and approval from multiple people. If key stakeholders are unavailable or slow to respond, the process can stall.

7. Regulatory Requirements

Projects that need approval from government agencies or local authorities may face extra reviews. This can add time and complexity to the submittal process.

8. Construction Schedule

Submittals must align with the overall project timeline. Late or poorly planned submittals can disrupt the flow of construction and push back important milestones.

Process roles & responsibilities

Many people are involved in the submittal process. Each one plays a specific role to ensure smooth communication and project success.

1. The Project Owner

The owner oversees the project and may review certain submittals to ensure they align with their goals, especially for design or budget-related decisions.

2. The Design Team

This includes architects and engineers who are responsible for reviewing submittals. They check whether materials and methods meet the project’s design intent and technical standards.

3. Construction Manager or Owner’s Representative

They often help coordinate between the owner, design team, and contractors. They may track submittal schedules, follow up on reviews, and ensure all parties stay on the same page.

4. General Contractor

The general contractor manages the overall submittal process. They prepare the submittal schedule, collect documents from subcontractors and vendors, and submit everything to the design team for approval.

5. Subcontractor

Subcontractors are responsible for preparing and sending submittals related to their specific trade, such as electrical, plumbing, or HVAC.

6. Suppliers and Fabricators

They provide product data, shop drawings, test reports, and other technical details needed to complete the submittal. Their input is essential for accuracy.

Solving common submittal challenges

Construction teams often face difficulties when managing submittals. Here are some common challenges and how to solve them:

1. Missing or Incomplete Information

Sometimes, submittals are sent without all the required details. This can cause hold-ups and repeated exchanges between teams to clarify or correct information.
Solution: Use a checklist to make sure each submittal includes everything needed before submitting.

2. Late Submissions

If submittals are not prepared or reviewed on time, it can disrupt the overall construction schedule.
Solution: Develop a detailed submittal schedule early in the project and track progress regularly.

3. Poor Communication

Misunderstandings between contractors, designers, and vendors can lead to rejected submittals.
Solution: Keep communication clear and organized using a shared platform or tracking system.

4. Review Bottlenecks

When too many submittals are sent at once, the design team may struggle to review them all in time.
Solution: Stagger submittals based on priority and construction phases.

5. Regulatory Delays

Approvals from local authorities can take time.
Solution: Identify which submittals need regulatory review early on and submit them as soon as possible.

How Can You Improve Your Submittal Process?

Improving your submittal process can save time, reduce errors, and keep your construction project on schedule. Here are some practical tips:

1. Create a Submittal Schedule Early

Plan the submittal timeline as soon as the project begins. This helps everyone know what is expected and when.

2. Use Digital Tools

Construction management software allows teams to track submittals, set reminders, and share updates in real-time. This reduces delays caused by miscommunication.

3. Follow a Clear Format

Use consistent templates and naming conventions for all submittals. This makes it easier for reviewers to find and understand what they’re looking at.

4. Assign Clear Responsibilities

Clearly define responsibilities so each person understands who is handling the preparation, review, and follow-up of submittals. This avoids confusion and delays.

5. Double-Check Before Submitting

Review the submittal for accuracy and completeness before sending it. Missing documents or wrong details often lead to rejections.

6. Track and Monitor Progress

Maintain a log of all submittals – submitted, approved, pending, or rejected. This keeps the project team informed and helps resolve issues faster.

FAQs

Who is responsible for preparing submittals?
Submittals are usually prepared by subcontractors or suppliers and submitted to the general contractor for review before going to the design team.

Are submittals required for every construction project?
Most commercial and large-scale construction projects require submittals. Smaller projects may need fewer or simpler submittals.

What happens if a submittal is rejected?
The contractor must revise the submittal based on the feedback and resubmit it for approval. Work should not proceed until approval is received.

Can construction begin before submittals are approved?
Ideally, no. Starting work before submittal approval can lead to costly rework if the materials or methods are not accepted.

Are submittals part of the project contract?
Yes. Submittals help prove that the contractor is following the specifications in the contract documents.