1.0. Introduction
As a General Contractor (GC), a thorough review of submittals is very important, not just to avoid a resubmittal review process, but also to help identify all contractual obligations, as the submittal review process is one of the first (and most important) opportunities to ensure that all scope-gaps are filled. Whether it is product data, shop drawing, or informational submittal, GC is responsible for ensuring that a complete and accurate submittal package is provided for architects’ or engineers’ (A/E) reviews.
2.0. Types of Submittals
Shop Drawings: Detailed plans, illustrations, and drawings, known as shop drawings, demonstrate how specific project components will be manufactured and installed. These are often required for custom-built equipment and specially fabricated materials to ensure that they align with design specifications and functions as intended. For instance, contractors specializing in HVAC systems often provide shop drawings for custom ductwork. These drawings serve multiple purposes: to verify compliance with the design requirements, demonstrate adequate airflow, and illustrate the ductwork path throughout the structure.
Product Data: This contains technical information on the material or equipment, which is usually provided by the manufacturer. These documents include the dimensions, performance data, warranty, etc. Material certificates or test reports may also be required to verify whether an item meets or exceeds specified standards.
Samples/Mockups: Samples are physical examples of products to be installed. The samples include flooring, tiles, paint, and other finished products are very common.
Sometimes, it is a mockup. Mockups are physical examples of what will actually be constructed. Mock-Ups for brick veneers, along with other exterior façade elements, are very common.
Engineering Calculations: Calculations may be required to demonstrate that the work a contractor provides is sufficient for the intended application. For Example, Structural Steel subcontractors are usually asked for structural calculations for all joint/node designs that are part of their delegated design package; these are often accompanied by shop drawings. Another example would be where electrical contractors submit coordination studies and short-circuit studies to ensure that the switch gear is designed appropriately and can handle the expected demands.
Warranties and Manuals: In construction projects, it is common for contractors and suppliers to be asked to provide documentation detailing warranty coverage for the products, materials, or equipment utilized. In addition, they may need to supply operation and maintenance manuals that offer comprehensive guidance on how to use and upkeep various building components or systems. These manuals may be examined during the submittal construction process. Furthermore, during the closeout submittal phase, contractors and suppliers are required to furnish the actual executed warranties for the project along with the maintenance manuals.
As-Built Drawings: “As-builts,” or as-built drawings, are the ultimate diagrams that contractors provide after finishing their work. This documentation, along with other similar records, is considered a closeout submission and is delivered at the project’s conclusion. Unlike shop drawings, which are submitted prior to installation, as-built drawings showcase the end result by incorporating any authorized modifications to the specifications and positioning of products, components, and assemblies.
3.0. What does the Construction Specification Require?
The submittal process begins by creating a submittal log that lists all the submittal deliverables required by the project specification. When reviewing the submittal, the initial task involves accurately identifying the specification numbering according to the CSI standard section or the project’s Specification Document. This document is typically divided into two main sections: Volume 1, which encompasses General Specs, Concrete, Masonry, Structural, Woodwork, Sealants & Roof, Wall Openings, Architectural, and Finishes, and Volume 2, covering conveyance, fire sprinklers, plumbing, mechanical, electrical, communication, and civil/situation components. During the evaluation of a Submittal against its corresponding Specification section, it is crucial to verify that the Submittal encompasses all the required documentation. This includes ensuring that all specified items, such as product data, shop drawings, certifications, and test reports, are included, as outlined in the Specification. When a document listed in the “Submittals” section is not provided, the Architect is notified that the document will be submitted separately, which is typically the case for “Samples.”
4.0. Substitution Request:
In the submittal review process, the subsequent phase involves verifying that the manufacturer is listed on the specification or falls under the “other listed” approved manufacturers. If the manufacturer is not mentioned in the construction documents, it is essential to request A/E to approve the substituted product as equivalent to the one specified. In certain instances, the Specification requires the completion of a “Substitution Request” form when proposing an unspecified manufacturer or model as a substitute. It is also imperative to ensure that the substituted product/equipment does not adversely affect other moving parts with which it will interact, both during and after construction. It is always safe to submit a product that is the “Basis of Design,” which mitigates certain coordination issues that could possibly trickle down due to substitution. However, in certain pressing conditions, be it supply chain challenges OR be it cost-saving Value-Engineering measure, substitution is suggested and approved by A/E.
5.0. Always coordinate with Contract Drawings:
When checking against the contract drawings, the most important thing to do is the verification of the quantities and locations of the submitted item with adjacent construction elements to fit and work together. This facilitates effective coordination between the respective subcontractors performing the job. For this coordination to be successful, a deep understanding of what is being reviewed and the coordination of its contents with other appropriate trades is very important.
6.0. What to do when the Submittal is Returned?
As soon as a submittal is returned by the A/E, the GC distributes it to all concerned parties who are directly or indirectly affected by information on the submittal. If BIM coordination is implemented on the project, it is imperative that the approved submittal/shop drawings are shared with the Virtual Design team to be incorporated into the federated 3D model to check for clashes with other elements of construction. This is distributed to all trades involved for efficient coordination between different scopes.
Typical submittals return remarks are listed below.
- Approved: Indicates that the work may proceed.
- Approved as Noted: This means that work can proceed, as long as it adheres to the annotations or modifications outlined in the submission and contract documents.
- For Record Only: Indicates that the submission has been accepted and stored for documentation purposes.
- Rejected: Indicates that the submission does not conform to the contractual requirements and work may not proceed on the submittal.
- Revise & Resubmit: Indicates that the submission does not conform to the contractual requirements, and further work cannot commence until revision is resubmitted for approval.
7.0. Conclusion
Like everything else in the current fast-paced construction projects, time is of essence, and a General Contractor must ensure that submittals for critical path activities are prioritized to ensure on-time delivery of material onsite. It is essential to have a streamlined submittal process, which in turn will mitigate delays due to resubmittal or missed review deadlines.
In construction projects, submittals play a vital role as a crucial link between design and construction teams. The submittal process requires meticulous planning, effective communication, and precision to avoid expensive errors or project setbacks. Although challenging, a well-managed submittal system serves as an invaluable means of executing construction projects, regardless of their complexity. When implemented effectively, this process can significantly enhance the project outcomes and efficiency.
