Management of Construction Submittals

Construction Submittals

This section explains how Construction Submittals work, and provides some strategies to manage them effectively.

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What are Construction Submittals?

A construction submittal is a document created by a contractor or a subcontractor to outline details of the resources they intend to use in a particular job. Submittals can consist of multiple elements, including technical data, samples, shop drawings, production specifications and other written and physical information that will help the engineers, designers, and architects of a project ensure that the correct materials are used in the job.

Other submittal components include product cut sheets that identify the manufacturer, specifications and model number, colour and finish selections, colour charts, and even finished product components.

Submittals play a crucial role in ensuring that the project meets the required specifications, standards, and design intent. The following are some of the key aspects and purposes of construction submittals:

Documentation and Verification
Submittals serve as a means to document and verify that the proposed materials, equipment, and systems align with the project requirements, design drawings, and specifications. They provide an opportunity for the project team to review and confirm that the chosen products or components meet the necessary performance criteria.

Quality Control
Submittals play a vital role in maintaining quality control throughout the construction process. By reviewing and approving submittals, the architect or engineer can ensure that the products and materials selected by the contractor are of acceptable quality, comply with relevant codes and standards, and are suitable for the intended use.

Design Coordination
Submittals help in coordinating the design intent with actual construction. They allow the project team to identify any discrepancies or conflicts between the design drawings and the proposed materials or equipment. This coordination ensures that the construction aligns with the intended design, preventing potential rework.

Compliance with Regulatory Requirements
Construction submittals are essential for complying with local, state, and federal regulations. They help ensure that the construction project meets all necessary legal requirements, building codes, safety standards, and environmental regulations. By thoroughly reviewing submittals, the architect or engineer can confirm compliance and avoid potential liabilities.

Communication and Collaboration
Submittals facilitate effective communication and collaboration among project stakeholders. They serve as a means for contractors, suppliers, manufacturers, and designers to exchange information, clarify specifications, and address any concerns or questions. This collaborative approach helps streamline the construction process, reduce conflicts, and ensure everyone is on the same page.

What is the submittal process?

During the submittal phase of a construction project, contractors communicate information about the materials they intend to use. In order for the proposed project to go ahead, the engineers and architects must approve the materials for compliance with the owner’s contract. They must also approve the materials for appearance, safety and quality.

On large projects, the submittal process is usually formal and clearly defined. The contract and project specifications for big construction projects will require the contractor to hand over construction submittals to the engineer or architect for approval before proceeding. We can break construction project management down into four stages to make it easier to understand how submittals play a vital role from start to finish.

The steps involved in the submittal process

Once a submittal is created, the Submitter, usually the Subcontractor, will submit the required documentation on or before their due date. It will then be passed on to the next in line who reviews the submitted documents and provide a response, for example, Approved or Revise and Re-submit. Once the entire workflow has been reviewed and responded to, the submittal can be closed and the Subcontractor can then proceed with the approved requirements. The general steps involved are as follows:

Pre-construction meeting
In the pre-construction phase, stakeholders must meet to discuss the project and clarify the submittal process.

Construction schedule
In this phase, a schedule for the submittals must be defined in collaboration with the architects and engineers for the project, who will be in charge of analyzing and approving them.

Preparation of submittals
The subcontractors prepare their submittals with all required documentation as outlined at the pre-construction meeting. All agreed samples, drawings etc. must be created or sourced.

Review phase
In the review phase, the architect’s team looks at the materials list and all supporting documentation to determine the effect of the material on the project. Once the submittal is approved or disapproved, the subcontractor will either need to resubmit new materials or can prepare to start work.

Why are construction submittals important?

Quality Assurance
Construction submittals play a crucial role in ensuring the quality of materials, equipment, and workmanship used in a project. By requiring contractors and suppliers to submit detailed information about the products they intend to use, submittals allow project stakeholders to review and assess the suitability, compliance, and performance of these items. This helps ensure that only high-quality materials and equipment are used, reducing the risk of defects, failures, or safety issues.

Compliance with Design Intent
Submittals enable the project team to verify that the specified materials and equipment align with the project’s design intent. By reviewing submittals, architects, engineers, and other stakeholders can ensure that the selected products meet the project’s performance requirements, aesthetic goals, and functional specifications. This verification process helps maintain design integrity and ensures that the final product matches the project’s vision.

Coordination and Integration
Construction submittals provide an opportunity for different project stakeholders to coordinate and integrate their work. When reviewing submittals, various disciplines such as architecture, structural engineering, mechanical engineering, and electrical engineering can identify any potential conflicts or coordination issues. This early detection allows for necessary adjustments or modifications, avoiding costly rework, conflicts, or delays during construction.

Regulatory Compliance
In many construction projects, compliance with regulatory codes and standards is essential. Submittals play a vital role in ensuring that all materials, equipment, and systems meet the required regulatory standards. By reviewing submittals, project stakeholders can verify compliance with local building codes, fire safety regulations, environmental regulations, and other applicable standards. This ensures that the project meets legal requirements and avoids potential legal and financial liabilities.

Risk Management
Construction submittals assist in mitigating risks associated with material and equipment selection. By thoroughly reviewing submittals, project stakeholders can identify potential risks, such as compatibility issues, inadequate performance, or insufficient warranties. This allows for timely interventions, such as requesting additional information, conducting tests, or seeking alternative options, to mitigate these risks before they impact the project’s progress or quality.

Documentation and Accountability
Submittals provide a comprehensive record of the materials, equipment, and systems used in a construction project. This documentation is essential for future reference, such as during post-construction maintenance, warranty claims, or renovations. Submittals also serve as evidence of compliance with project specifications and requirements, providing a basis for accountability and dispute resolution if any issues arise during or after the project.

Project Schedule Management
Efficient submittal management is crucial for maintaining project schedules. Submittals that are not reviewed or approved in a timely manner can cause delays in procurement, fabrication, and construction activities. By establishing clear submittal requirements and monitoring their progress, project stakeholders can ensure that submittals are processed promptly, allowing for smooth project execution and timely delivery.

Effective Management of Submittals

In the construction industry, submittals play a crucial role in ensuring that projects adhere to design specifications, quality standards, and regulatory requirements. Efficient management of construction submittals is vital to maintaining project timelines, minimizing delays, and achieving overall project success. The following are some of the strategies that can be employed to effectively manage the submittal process.

Clear Submittal Requirements
To ensure efficient submittal management, clear and well-defined submittal requirements should be established in the project specifications and contract documents. Construction contracts should clearly identify the types of submittals required, submission deadlines, format, and any specific review or approval processes.

This clarity helps to streamline the submittal management process, and ensures that all project stakeholders understand their responsibilities and that the necessary information is provided in a timely manner, reducing the chances of rework or delays.

Standardization and Templates
Standardization of submittal documents and the use of templates can significantly improve efficiency in managing construction submittals. By establishing standardized formats, construction contractors can streamline the review and approval process.

Templates can be created for common submittal types, such as material data sheets or shop drawings, reducing the time and effort required to prepare and submit documents. Standardization also facilitates easier comparison and evaluation of submittals, improving consistency and accuracy throughout the project.

Digital Submittal Management Systems
Adopting digital document control systems greatly enhances efficiency in handling construction submittals. These systems help to centrally organize, store, and retrieve submittal documents, making it easier to track and manage the review and approval process. Document control systems also provide version control, ensuring that the most up-to-date submittal documents are available to the project team.

Digital systems enable real-time communication between project stakeholders, reducing the need for physical paperwork and minimizing the chances of miscommunication or lost documentation. Automated notifications and reminders can also be set up to ensure timely submissions and reviews.

Streamlined Review and Approval Process
Efficient submittal management requires a streamlined review and approval process. Construction professionals should establish clear timelines for reviewing and approving submittals and communicate these deadlines to all parties involved.

Regular progress meetings can be scheduled to address bottlenecks or issues that may arise during the review process. Streamlining the process helps prevent unnecessary delays and ensures that submittals are promptly reviewed and approved, keeping the project on track.

Non-compliant submittals should be promptly addressed and resubmitted as per the established process to maintain project schedule and quality.

Collaboration and Communication
Effective collaboration and communication among project stakeholders are vital for efficient submittal management. Construction professionals should foster a collaborative environment, encouraging open dialogue between contractors, subcontractors, and design professionals.

Clear channels of communication should be established to address any questions or concerns related to submittals. Regular meetings should be held to discuss submittal progress, address concerns and resolve any issues promptly. This will help keep everyone informed and aligned, enhancing coordination and minimizing potential delays.

Using technology platforms such as project management software or collaboration tools also facilitate real-time communication and document sharing.

Documentation and Tracking
Proper documentation and tracking of submittals are essential for efficient management. Construction professionals should maintain a comprehensive record of all submittals, including submission dates, review comments, approvals, rejections, and any associated correspondence.

This documentation helps track the progress of each submittal and ensures that any outstanding issues are addressed promptly. By maintaining a centralized database of submittals, construction professionals can easily access and retrieve information when needed, reducing time wastage and potential errors, mitigating potential risks, and ensuring transparency and accountability.

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