When you're managing a construction project, every detail is crucial, timelines are tight, and overseeing submittals can feel like an overwhelming flow of paperwork and approvals. For project managers, this often means long hours and constant stress over ensuring compliance, maintaining quality, and coordinating effectively with various stakeholders.
A single misstep in the submittal process can result in costly delays, diminished quality, and frustrating back-and-forth with contractors.
But imagine if you could simplify this vital part of the construction process. A streamlined approach that not only keeps your project on schedule but also reduces stress and minimizes potential issues.
In this blog, we’ll dive into the crucial role submittals play in construction, identify the common pitfalls that can trip up even the most experienced project managers, and discuss strategies to transform submittals from a source of anxiety into a key component of your project's success.
Let's understand Submittals better!
What are Submittals in Construction?
Submittals in construction refer to documents, drawings, samples, or mock-ups that contractors provide to architects and engineers for approval before proceeding with the work. They serve as a critical communication tool to ensure that all project elements conform to the design intent, specifications, and quality standards outlined in the contract documents.
Purpose of Submittals:
- Verification of Compliance: Submittals allow project stakeholders to verify that the materials, equipment, and methods you propose meet the specified requirements. This ensures that the project adheres to design and quality standards.
- Quality Assurance: Through the review and approval process, submittals help you maintain quality control, reducing the risk of errors or deviations that could lead to costly rework or delays.
- Coordination and Clarification: Submittals facilitate coordination among different trades and disciplines involved in the project. They help clarify details, resolve discrepancies, and ensure that all components will work together as intended.
- Record Keeping: Approved submittals become part of the project’s official records, serving as a reference for what was actually approved and installed. This is crucial for future maintenance, repairs, or modifications.
- Legal Protection: Submittals provide a documented trail of what was proposed, reviewed, and approved, which can be important in resolving disputes or claims that may arise during or after the project.
Submittals are essential for ensuring that construction work aligns with the project’s design, specifications, and quality expectations, ultimately contributing to the successful completion of the project.
Let’s know more about the different types of submittals in construction.
8 Common Types of Submittals in Construction
Submittals in construction are essential for ensuring that materials and processes used in a project meet design specifications and quality standards. Here’s a detailed look at the common types of submittals:
1. Shop Drawings
Detailed drawings prepared by contractors or manufacturers showing how specific components of the project will be fabricated and installed.
Purpose: To provide a clear understanding of how the components will fit into the overall project, ensuring they meet design specifications and functional requirements.
Contents:
- Detailed dimensions and scales
- Materials used
- Installation methods
- Coordination with other components
Use: Shop drawings are reviewed to verify compliance with design documents and ensure that components will be constructed and assembled correctly.
2. Product Data Sheets
Documentation provided by manufacturers that contains technical information about products used in the project.
Purpose: To give detailed information about the performance, characteristics, and suitability of products.
Contents:
- Product specifications (e.g., dimensions, weight)
- Performance data (e.g., load-bearing capacity, energy efficiency)
- Compliance with standards (e.g., fire ratings, safety certifications)
Use: Product data sheets help project stakeholders verify that the products meet the required standards and specifications.
3. Samples
Physical examples of materials, finishes, or products proposed for use in the project.
Purpose: To demonstrate the look, feel, and quality of materials or finishes before they are used on-site.
Contents:
- Material samples (e.g., fabric swatches, paint finishes)
- Product samples (e.g., tiles, fixtures)
Use: Samples are reviewed to ensure that they match the design intent and quality standards. Approval of samples is often required before larger quantities are ordered.
4. Catalog Cuts
Excerpts from manufacturer catalogs that describe the products being proposed.
Purpose: To provide information on the products' features, specifications, and options available.
Contents:
- Product descriptions
- Specifications (e.g., size, material)
- Illustrations or images
Use: Catalog cuts are used to assess product options and verify that they meet project requirements. They provide a preliminary review of product choices before detailed documentation is submitted.
5. Certificates
Documentation that certifies that materials, products, or processes comply with specified standards or regulations.
Purpose: To confirm that materials and products meet industry standards or project-specific requirements.
Contents:
- Certificates of compliance (e.g., ISO certification)
- Quality assurance certificates
- Testing and inspection reports
Use: Certificates are used to validate that materials and products meet required quality standards and regulatory requirements.
6. Test Reports
Reports that provide results from tests conducted on materials or products.
Purpose: To verify that materials or products meet performance or safety standards.
Contents:
- Test results and data (e.g., strength, durability)
- Methodology of tests conducted
- Compliance with standards
Use: Test reports are reviewed to ensure that materials and products will perform as expected under specified conditions and meet project requirements.
7. Installation Instructions
Guidelines provided by manufacturers on the proper installation of products or systems.
Purpose: To ensure that products are installed correctly and function as intended.
Contents:
- Step-by-step installation procedures
- Required tools and equipment
- Safety and handling instructions
Use: Installation instructions are used to guide contractors in the correct assembly and installation of components, ensuring compliance with manufacturer specifications and preventing installation errors.
8. Operation and Maintenance Manuals
Documentation that provides detailed information on how to operate and maintain equipment or systems.
Purpose: To assist in the ongoing maintenance and proper functioning of installed systems.
Contents:
- Operating procedures
- Maintenance schedules
- Troubleshooting guidelines
Use: Facility managers or maintenance personnel use operation and maintenance manuals to ensure the continued performance and longevity of installed systems.
Understanding these types of submittals helps streamline the approval process, ensures that project components meet design and quality standards, and minimizes potential issues during construction and post-construction phases.
Learn more about construction management with our comprehensive guide on Construction Document Management: Essential Project Tools!
Now, let's dive into the nitty-gritty of the construction submittal process.
The Construction Submittal Process in the Workflow
The construction submittal process is a critical aspect of project management, ensuring that materials and methods used in a project comply with the specifications outlined in the contract documents. Here are the typical steps involved in managing submittals:
1. Preparation of Submittals
- Contractor’s Responsibility: The contractor or subcontractor prepares the required submittals based on the project’s specifications and requirements.
- Types of Submittals: Includes shop drawings, product data sheets, samples, test reports, etc.
- Compilation: Gather all necessary documentation, ensuring each submittal meets the requirements outlined in the contract.
2. Submission to the Design Team
- Initial Review: The contractor submits the compiled submittals to the design team or project manager for initial review.
- Documentation: Ensure all required forms and documentation are included with the submittals.
- Submission Methods: Submittals can be submitted electronically through a project management platform or physically, depending on the project's requirements.
3. Review by the Design Team
- Verification: The design team reviews the submittals to ensure they comply with design intent, specifications, and standards.
- Comments and Revisions: The design team provides comments or requests revisions if the submittals do not meet requirements.
- Approval or Rejection: The design team approves, rejects, or requests modifications to the submittals.
4. Revision and Resubmission
- Contractor’s Action: The contractor revises the submittals based on the feedback received from the design team.
- Updated Submittals: Resubmit the revised submittals to the design team for further review.
- Documentation: Ensure all comments are addressed and documented in the resubmission.
5. Approval of Submittals
- Final Review: The design team performs a final review of the revised submittals.
- Approval: Once all requirements are met, the design team provides formal approval of the submittals.
- Notification: The contractor is notified of the approval, allowing them to proceed with procurement and construction as per the approved documents.
6. Distribution and Implementation
- Distribution: Approved submittals are distributed to relevant parties, including the contractor, subcontractors, and suppliers.
- Implementation: The contractor proceeds with procurement, installation, and construction based on the approved submittals.
- Record-Keeping: Maintain records of all approved submittals for reference and compliance.
7. Ongoing Monitoring and Updates
- Tracking: Continuously monitor the implementation of submittals to ensure compliance with the approved documents.
- Updates: Address any changes or additional submittals required during the construction phase.
- Documentation: Keep track of any new submittals, revisions, or additional approvals needed throughout the project.
8. Final Review and Closeout
- Inspection: Conduct final inspections to ensure that all submittals have been implemented as approved.
- Documentation: Review all submittal records and ensure they are complete and accurate.
- Closeout: Complete any remaining documentation or approvals needed for project closeout.
This structured approach helps ensure that all materials and methods used in the project are approved, meet quality standards, and align with the design intent, ultimately leading to successful project completion.
So, how can we further improve these submittal processes?
How to Improve Submittal Processes?
Improving submittal processes in construction can enhance project efficiency, reduce delays, and ensure that all project requirements are met accurately. Here are several strategies to improve submittal processes:
1. Implement a Centralized System
- Digital Platform: Use a centralized digital platform for managing submittals. This allows for easier tracking, collaboration, and access to documents.
- Document Management Software: Invest in robust document management software that integrates with other project management tools.
2. Standardize Procedures
- Clear Guidelines: Develop and implement standardized procedures for preparing, submitting, and reviewing submittals.
- Templates: Use standardized templates for different types of submittals to ensure consistency and completeness.
3. Automate Workflows
- Automated Routing: Use automated workflows to route submittals to the appropriate reviewers based on predefined criteria.
- Notification Systems: Implement automated notifications for submission deadlines, review statuses, and required actions.
4. Improve Communication
- Regular Updates: Provide regular updates on the status of submittals to all stakeholders.
- Feedback Channels: Establish clear channels for providing feedback and addressing issues related to submittals.
5. Enhance Review Efficiency
- Streamlined Review Process: Simplify the review process by limiting the number of review stages and ensuring that all reviewers are aligned.
- Training: Provide training for reviewers to ensure they understand the criteria and expectations for evaluating submittals.
6. Maintain Detailed Records
- Tracking: Keep detailed records of all submittals, including submission dates, review comments, and approval statuses.
- Audit Trails: Implement audit trails to track changes and updates to submittals for transparency and accountability.
7. Address Common Issues
- Clear Instructions: Provide clear instructions for submitting documentation to minimize errors and omissions.
- Checklists: Use checklists to ensure that all required information and documentation are included in the submittal.
8. Leverage Technology
- BIM Integration: Integrate Building Information Modeling (BIM) with submittal processes to improve accuracy and coordination.
- Mobile Access: Enable mobile access to submittal systems to facilitate on-the-go submissions and reviews.
9. Set Realistic Deadlines
- Timely Submissions: Set realistic deadlines for submittals and review processes to avoid delays and ensure timely approvals.
- Buffer Time: Allow for buffer time in the schedule to accommodate potential revisions and resubmissions.
10. Evaluate and Improve
- Performance Metrics: Monitor and evaluate the performance of the submittal process using key metrics such as review times, approval rates, and error rates.
- Continuous Improvement: Regularly review and refine submittal processes based on feedback and performance metrics to identify areas for improvement.
By implementing these strategies, construction projects can achieve a more efficient, transparent, and effective submittal process, ultimately leading to smoother project execution and better outcomes. Additionally, let's explore the potential approval workflows in construction.
Significant Potential Approval Workflows in Construction
Approval workflows for construction submittals can vary depending on the project’s complexity, size, and organizational structure. Here are several potential approval workflows, each designed to ensure thorough review and compliance:
1. Basic Approval Workflow
- Contractor Submission: The contractor submits submittals to the design team.
- Design Team Review: The design team reviews the submittals for compliance with project specifications.
- Approval or Rejection: The design team approves or rejects the submittals.
- Notification: The contractor is notified of the approval or required revisions.
2. Multi-Tiered Approval Workflow
- Contractor Submission: The contractor submits submittals to the project manager.
- Initial Review by Project Manager: The project manager performs an initial review for completeness.
- Design Team Review: The design team reviews the submittals for compliance with design specifications.
- Additional Approvals (if needed): Submittals may require additional approvals from specialized consultants or stakeholders.
- Approval or Rejection: The final review team approves or rejects the submittals.
- Notification: The contractor is notified of the approval or required revisions.
3. Integrated Approval Workflow
- Contractor Submission: The contractor submits submittals to a centralized project management system.
- Automated Routing: The system automatically routes submittals to the appropriate reviewers based on predefined criteria.
- Review Process: Design team members, project managers, and consultants review the submittals.
- Comments and Revisions: Reviewers provide comments and request revisions as needed.
- Final Approval: Submittals are approved once all comments are addressed.
- Notification: The contractor is notified through the system of the approval or required revisions.
4. Collaborative Approval Workflow
- Contractor Submission: The contractor submits submittals to a collaborative platform.
- Team Review Meetings: Reviewers conduct team meetings to discuss and review submittals collectively.
- Comments and Revisions: Feedback is shared in real-time, and revisions are made collaboratively.
- Final Approval: The submittal is approved after consensus is reached among all reviewers.
- Notification: The contractor receives notifications of approval or required revisions.
5. Sequential Approval Workflow
- Contractor Submission: The contractor submits submittals to the design team.
- Sequential Reviews: Submittals are reviewed in sequence by different team members or departments (e.g., architect, structural engineer, MEP engineer).
- Comments and Revisions: Each reviewer provides feedback, and the contractor revises the submittals accordingly.
- Final Review and Approval: The final reviewer gives the final approval once all revisions are complete.
- Notification: The contractor is notified of the final approval or required revisions.
6. Fast-Track Approval Workflow
- Contractor Submission: The contractor submits submittals to a designated fast-track review team.
- Expedited Review: The review team performs an expedited review process to speed up approval.
- Conditional Approval: Conditional approval may be granted to allow for immediate procurement while final details are addressed.
- Final Confirmation: Final confirmation is provided once all conditions are met.
- Notification: The contractor is notified of both conditional and final approvals.
7. Project-Specific Approval Workflow
- Contractor Submission: The contractor submits submittals to the project-specific review committee.
- Customized Review Process: The review process is tailored to the specific requirements and stakeholders of the project.
- Multi-Disciplinary Review: Various disciplines (design, engineering, safety) review submittals based on their expertise.
- Approval or Rejection: The review committee provides final approval or requests revisions.
- Notification: The contractor is notified of the approval or required revisions.
8. Regulatory Approval Workflow
- Contractor Submission: The contractor submits submittals to the project manager.
- Regulatory Review: Submittals are reviewed by regulatory agencies or inspectors for compliance with local codes and regulations.
- Comments and Revisions: Feedback is provided, and the contractor makes necessary revisions.
- Final Approval: Regulatory agencies provide final approval once compliance is confirmed.
- Notification: The contractor receives notification of approval or required changes.
Each of these workflows can be customized to fit the project's specific needs and complexities. The choice of workflow depends on factors such as the size of the project, the number of stakeholders involved, and the level of detail required for approval. Implementing an efficient approval workflow helps ensure that submittals are processed smoothly and that the project remains on track. Just as important, it's crucial to distinguish submittals from RFIs.
Submittals vs. RFIs
Definition and Purpose
Submittals:
- Definition: Documents or samples provided by the contractor for approval, including drawings, product data, and materials.
- Purpose: To ensure that materials and methods comply with contract specifications before they are used.
RFIs:
- Definition: Formal inquiries submitted by the contractor to clarify issues or discrepancies in contract documents.
- Purpose: To seek clarification or additional information to resolve uncertainties and keep the project on track.
Timing and Use
Submittals:
- Timing: Prepared and submitted before or during construction to confirm compliance with contract requirements.
- Use: Used to review and approve materials and methods to ensure they meet the design specifications.
RFIs:
- Timing: Submitted as needed during construction when issues or questions arise.
- Use: Used to request clarification or additional information to address issues impacting project execution.
Documentation and Approval
Submittals:
- Documentation: Includes product data sheets, shop drawings, and material samples.
- Approval: Must be approved by the project owner or architect before the related work proceeds.
RFIs:
- Documentation: Contains a formal request for clarification, referencing relevant contract documents.
- Approval: Reviewed and answered by the project owner or architect to provide necessary information.
Impact on the Project
Submittals:
- Impact: Ensures materials and methods meet requirements, impacting project quality. Delays in approval can affect the project schedule.
RFIs:
- Impact: Addresses issues that could lead to delays or rework if not resolved promptly, impacting the project’s progress and schedule.
In essence, submittals confirm compliance with contract requirements, while RFIs resolve questions or issues related to contract documents. Both are crucial for maintaining project quality and progress.
Essential Read: Document Management In Construction: Benefits & Best Practices!
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Conclusion
In construction, every detail is crucial, and managing submittals can often feel like an overwhelming task. Tight timelines and complex approval processes can lead to stress and potential delays, impacting project quality and coordination.
Fortunately, there are ways to simplify and streamline the submittal process. By adopting efficient strategies and tools, you can ensure that your project stays on track, minimizing headaches and delays.
Sonarlabs offers a solution to transform the submittal process from a source of stress into a driver of project success. By leveraging advanced document management and automation tools, Sonarlabs helps you manage and streamline submittals efficiently, ensuring that compliance, quality, and coordination are seamlessly handled. In fact, we help you reduce document search time by up to 80%. This way, you can focus on the big picture and let technology take care of the details.
Book a demo to enhance your submittal processes and turn challenges into opportunities for smoother project execution and better outcomes.
