What Is a Submittal in Construction?

In the AEC industry, a submittal is a vital document or sample provided by contractors to architects, engineers, or project managers for approval before specific materials, equipment, or methods are used in the project. This process ensures that the materials or systems selected align with the project’s design, specifications, and safety standards. It is a checkpoint that guarantees everything meets the project’s requirements before implementation.

Submittals come in various forms, including shop drawings, material samples, product data sheets, or mock-ups, each serving a different purpose. These documents or samples are reviewed to ensure that they meet the required standards in terms of functionality, aesthetics, and compliance. By requiring approvals before installation or use, submittals help maintain project quality and consistency.

Why Submittals Matter

Submittals are essential in preventing costly mistakes and ensuring that the project is completed according to design intent. Without an organized submittal process, construction errors may not be identified until after materials are installed, potentially leading to delays and rework. Submittals function as a safeguard, ensuring that the components selected are appropriate for the project’s requirements.

For example, if a contractor submits a material sample, it is up to the architect or project manager to review it against the project specifications. They verify that it meets all necessary criteria such as durability, appearance, and compliance with regulations. If the sample is approved, it’s good to go. If not, adjustments are made before installation, saving time and resources in the long run.

The process also fosters communication and collaboration between the various teams involved in the project, including contractors, architects, and engineers. Having this shared responsibility creates a smoother process and ensures that any discrepancies or potential issues are flagged before they become major problems.

The Submittal Process in Action

Submittals typically begin during the preconstruction phase and continue throughout the project. Contractors prepare them based on the requirements outlined in construction documents such as blueprints, specifications, and contracts. Once ready, submittals are sent to the appropriate stakeholders—usually architects, engineers, or consultants—for review and approval.

Upon receiving a submittal, architects and engineers assess whether the proposed materials or methods meet the required specifications, performance standards, and aesthetic needs. Sometimes, they may be returned for revisions if they fail to meet these criteria. This ensures that only the most appropriate materials and methods are used, helping to maintain the overall integrity of the project.

Once approved, submittals become part of the project’s official documentation. Tracking these documents helps in avoiding misunderstandings later in the project, and provides a reference point if any issues arise in the future. This record-keeping is particularly valuable when addressing claims or warranty-related concerns after the project is completed.

Submittals and Contract Administration

Submittals, along with Requests for Information (RFIs), are closely tied to contract administration. The contract administration team oversees the entire process to ensure that submittals are reviewed, approved, and processed according to the contractual terms. They play a critical role in making sure that all the materials and methods used are in compliance with the agreed-upon specifications and legal requirements.

Effective contract administration ensures that the submittal process is transparent, and that approvals or rejections are handled in a timely and organized manner. Without proper contract administration, delays in approvals can occur, which can lead to project delays or cost overruns. Therefore, the contract administration team helps maintain the schedule and budget by managing this crucial part of the construction process.

The Link Between Submittals and Change Management

As construction projects evolve, changes to the original design or materials may arise. When changes occur, updated submittals are required. These revised documents or samples are then resubmitted for approval, ensuring that all alterations meet the necessary standards.

For instance, if a material specified in the original design is no longer available or if a change is requested due to unforeseen conditions, contractors must submit revised product data sheets or samples. Change management and the submittal process work hand in hand to manage alterations effectively and ensure that these changes are well-documented and reviewed before being implemented.

This continuous cycle of submittal review and change management ensures that all parties involved are aligned and that the project proceeds smoothly without unexpected hurdles.

Streamlining Submittal Management

Managing submittals can be a challenging task, especially in large or complex projects. Issues like incomplete submissions, missed deadlines, or lost documents can create confusion and project delays. To streamline this process, many construction teams now use digital platforms to manage submittals.

Construction management software can centralize the submittal process, allowing for real-time collaboration, automated workflows, and easy document tracking. With these platforms, project teams can monitor the status of each request, ensuring that approvals are handled promptly and efficiently. Digital tools also make it easier to maintain comprehensive records of all submittals, creating an audit trail for future reference.

Digital transformation in submittal management is vital for reducing errors and inefficiencies, improving communication between team members, and ensuring that each one is processed as quickly and accurately as possible.