Submittals are essential documents, samples, or product data provided by contractors to architects, engineers, or project managers for approval before materials are purchased or work begins. They ensure that the proposed materials, systems, and equipment align with the project’s design, specifications, and safety requirements.
Purpose of Submittals
Submittals play a vital role in ensuring project quality, consistency, and compliance with design intent. Their primary objectives include:
- Confirming that materials, equipment, and systems match project specifications
- Providing architects and engineers the opportunity to verify product details before installation
- Ensuring design intent, functionality, and performance criteria are met
- Reducing potential risks by identifying discrepancies before construction progresses
Types of Submittals
Submittals vary based on project requirements, but common types include:
Product Data
- Includes manufacturer’s specifications, performance data, and installation instructions
- Provides details like dimensions, material composition, and technical properties
- Commonly required for equipment, fixtures, and specialty products
Shop Drawings
- Detailed drawings prepared by contractors, fabricators, or suppliers
- Illustrates how specific elements will be fabricated, assembled, or installed
- Common for structural steel, HVAC systems, millwork, and custom elements
Samples
- Physical examples of materials such as flooring, paint colors, or tiles
- Allows architects and designers to assess aesthetics, texture, and quality
Mock-ups
- Full-scale representations of finished work, like a section of a wall or façade
- Helps stakeholders visualize design elements and assess finishes before full implementation
Certificates
- Documents confirming compliance with building codes, regulations, or industry standards
- Often required for fire ratings, energy efficiency, or environmental certifications
Operation and Maintenance (O&M) Manuals
- Guides that provide instructions for the operation, maintenance, and servicing of installed systems
- Typically submitted during project closeout
Submittal Process
A structured submittal process ensures all materials and equipment are approved before procurement or installation. The typical process includes the following steps:
Step 1: Identification of Required Submittals
- The project specifications define which items require submittals
- Contractors review these specifications to compile a comprehensive submittal log
Step 2: Preparation of Submittals
- The contractor collects relevant documents, product data, or samples from suppliers and manufacturers
- Shop drawings are often prepared by subcontractors or fabricators
Step 3: Internal Review by the Contractor
- The contractor reviews the submittal for completeness, accuracy, and alignment with project specifications
- This step ensures errors are addressed before submitting to the design team
Step 4: Submission to the Design Team
- The contractor submits the documents to the architect, engineer, or consultant for review
- Electronic submittal platforms are often used for efficient tracking and communication
Step 5: Design Team Review
- The design team evaluates submittals for compliance with project requirements
- Possible outcomes include:
- Approved – The submittal meets all requirements
- Approved with Comments – Minor revisions are suggested, but no resubmission is required
- Revise and Resubmit – Significant issues require correction before approval
- Rejected – The submittal fails to meet project requirements and must be replaced
Step 6: Return of Reviewed Submittals
- The reviewed submittal is returned to the contractor with comments or approval status
- The contractor must ensure all revisions are incorporated before proceeding
Step 7: Distribution and Implementation
- Once approved, relevant team members such as subcontractors, suppliers, and installers receive the approved submittal
- This ensures all parties follow the approved design and material selections
Key Considerations for Successful Submittals
A well-managed submittal process helps avoid delays and costly errors. Key considerations include:
- Organization: Maintain a detailed submittal log to track each item’s status
- Timeliness: Submit items early to account for review periods and potential revisions
- Clarity: Ensure all documentation is clear, complete, and labeled for easy reference
- Compliance: Confirm all submittals align with contract specifications and industry standards
- Communication: Maintain clear communication between contractors, subcontractors, and design teams
Common Challenges in the Submittal Process
While submittals streamline project execution, some challenges can arise:
- Incomplete Submittals: Missing information or unclear documentation can delay approvals
- Late Submissions: Delays in submitting critical items can impact project timelines
- Miscommunication: Poor communication between teams may result in incorrect installations
- Uncoordinated Revisions: Failure to track changes can lead to outdated information being used on-site
Tools and Software for Submittal Management
To improve efficiency and accuracy, many construction teams use digital platforms for submittal management. Popular tools include:
- Procore
- Bluebeam Revu
- Autodesk BIM 360
- PlanGrid
- Submittal Exchange
These tools streamline document sharing, improve tracking, and provide clear communication channels throughout the submittal process.
Conclusion
Submittals are a crucial aspect of construction project management. By following a structured submittal process, maintaining clear communication, and utilizing digital tools, project engineers can ensure materials and systems meet design intent while minimizing errors and delays. Effective submittal management ultimately contributes to improved quality control and successful project outcomes.
