What are submittals, and why do we need them?
Submittals in construction refer to the process of submitting construction documents and materials to the project owner or architect for review and approval. These documents and materials can include product data, samples, shop drawings, calculations, and other information related to the construction project.
We need submittals in construction to ensure that all materials and products used in the project meet the project specifications, building codes, and other requirements. The submittal process helps identify any potential issues before construction begins, reducing the risk of delays or costly changes later on. It also ensures that all parties involved in the construction project are aware of the materials and products being used, which is essential for maintaining safety and quality standards.
How do I know what submittals I need for my project?
The specific submittals required for a construction project can typically be found in the specifications. The contractor, usually the Project Engineer, is responsible for reviewing the project specifications and contract documents carefully and identifying the submittals required. Subcontractors are informed of what submittals they must provide and when they are needed to avoid delays to the project schedule. Once the subcontractor generates the requested submittal, it is reviewed by the project team and forwarded to the project owner or architect for review and approval.
It's important to note that the submittal process is critical to the construction process. Failure to submit required submittals can lead to project delays and other issues. Therefore, it's essential to thoroughly review the project specifications and contract documents and ensure that all the necessary submittals are identified and submitted in a timely manner.
But there are so many spec sections and submittals. So how do I keep track of all this?
Keeping track of all the submittals required for a construction project can be challenging, particularly for larger or more complex projects. Here are some tips and non-negotiable systems to utilize:
Create a submittal log: A submittal log is a spreadsheet or document that lists all the submittals required for the project, along with their status (e.g., submitted, approved, rejected, etc.), due dates, and any other relevant information. Excel works well, but you must manually update this every time there is a submittal update.
Use the following numbering system. Spec section Number - Submittal relative to that section number - Revision number. For example, if we wanted to make a submittal for our concrete mix designs and there are four submittals needed for the CIP Concrete Spec Section, and this was the first submittal we are creating, it would be as follows 033000-01-00. The spec section is 033000. The 01 is because it's the first of four, and the 00 is because it has not had any revisions. If the submittal returned from the architect is marked as "revise and resubmit," the revised version would be numbered 033000-01.01. See, easy!
Use technology: Several software tools can help streamline the submittal process and keep track of all the required documents. Plangrid and Procore offer submittal management tools that can generate a submittal register and automatically track every submittal's progress.
Seek help from professionals: If you're overwhelmed with the submittal process, consider hiring a consultant or submittal coordinator to help manage the process and ensure that all required submittals are submitted on time. It can be cost-effective to outsource submittal management to a 3rd party. You can even contact us. We are here to help and can offer solutions to all your submittal needs. `
What are the different types of submittals?
There are several types of construction submittals that may be required for a construction project. Here are some of the most common types:
Product data submittals: These submittals include information about the materials or products being used in the project, such as specifications, installation instructions, and performance data.
Shop drawing submittals: Shop drawings are detailed drawings that show how specific parts of the project will be constructed, such as steel framing, windows, or electrical systems.
Samples: Samples are physical examples of the materials or products being used in the project, such as tiles, carpets, or paint colors.
Calculations: These are technical documents showing how the project will meet specific requirements, such as load-bearing capacity or energy efficiency.
Mock-ups: Mock-ups are full-scale replicas of a portion of the project constructed to show how specific materials or products will be used and to allow for testing and evaluation.
As-built drawings: As-built drawings show the final location of all building components, including mechanical, electrical, underground utilities, and plumbing systems, as they were installed during construction
Operations and maintenance manuals: These manuals provide detailed instructions for operating and maintaining the building's systems and equipment, including HVAC, plumbing, and electrical systems. Pro Tip - organize these well and spend time with the owner's facilities maintenance department to review this submittal package. It will save you a lot of calls in the future when you have moved on to other projects, and the end user cannot figure something out. Remember, you will be the first person they call whenever they have a problem!
Warranties: Warranties are documents that provide assurances from the contractor or subcontractor that the work performed is free from defects and that the materials used are of acceptable quality. Warranties typically have a specific duration, which can vary depending on the work type and materials used. The duration of the warranty is outlined in the project specifications. If an issue arises during the warranty period, the contractor and subcontractor are responsible for addressing and correcting the issue. Warranties are a big deal, and the topic deserves a dedicated page. See here for more on warranties and assurances.
Attic Stock: Attic stock submittal is a term used in construction to refer to the submission of extra materials or products that are kept in reserve, typically in the attic or other storage areas of a building. These materials are usually used for future repairs or replacements in case any issues arise after the construction is completed. These typically include extra paint, ceiling tiles, flooring, casework hardware, door hardware, and any unique finishes.
Keys and Access Cards Submittal: You may not see this submittal noted in the specifications but believe me, it's as essential as all the others mentioned above. Think of all the keys for electrical panels, casework, access hatches, windows, gates, restroom furnishings, etc.. needed for a large project like a school or a hospital. These will be used during construction and tend to go missing at the end of the project. Typically the subcontractor will leave them at the door they are serving. It is critical you request a transmittal and a physical key for every key a given subcontractor has provided. It is equally as vital that these keys a submitted to the owner with a transmittal that lists acceptance of each key. Pro Tip - Attach a photograph of each key the owner is signing for. Owners are just as likely to lose them or mix them up. They will call you for help!
How do I know when each submittal is due?
Review the project schedule. The project schedule can help identify when each submittal is due and ensure that all submittals are submitted in a timely manner. It's also critical to understand your project's long lead items. You want to prioritize these submittals at the early stages of pre-construction. Pro Tip - Identify and communicate long lead items during prime contract negotiations with the owner. They will typically authorize the release and early payment of these items upfront to avoid schedule impacts.
The subcontractor is ignoring my requests for submittals. What can I do?
Welcome to the world of nasty grams, 24hr notices, back charges, and come-to-Jesus discussions! Unfortunately, the low-bidding subs we sign up for a given scope of work can sometimes keep their bids low by minimizing their overhead costs to maximize their profit. That overhead cost saving can be the staffing needed to execute submittals. Also, in some cases, subcontractors think submittals are a waste of time. They believe you are only asking for it to tick an administrative box.
How do I get them to submit if they are not prioritizing submittals?
The following approach has always worked for me, but it takes some upfront work.
Before you issue them a subcontract, be clear that submittals are a requirement. Communicate the importance of receiving them early and help them understand you are partners in this project and want to work together on future opportunities.
Pro Tip- in addition to the above, have all subcontractors submit their schedule of values (SOV) for their project billing for your review. I typically revise this SOV to show two line items in addition to the other listed scopes. These line items are "Submittals" and "Closeout Submittals." I am generous with the value associated with these.
When the subcontractor sees they can get paid 5-10% of their contract value by taking care of the paperwork, they will typically jump on submittals with minimal effort on your part to get an early pay application in.
If this approach fails, the clock is ticking, and you've been getting the old "I'll have them next week" lip service for a while, you must be a squeaky wheel. Set a recurring reminder to call daily and send emails until you make progress. Escalate up the chain of command to the company's owner and copy them on all email requests for submittals. If they are local, show up at their office and sit down face-to-face. Additionally, reach out to your estimating department to see if they are bidding other projects. Have your estimator speak with them too. This usually closes the deal.
If they get annoyed at you (which they likely will), remind them that we have paid them for submittals, not just the physical labor and material costs they provide.
All of the above has failed. Now what?
Suppose all of the above fails, and you feel you have exhausted every option. In that case, you may have to issue a 48hr notice notifying them of the potential termination of their contract. When giving this notice, remind them that they will be legally responsible for covering all your costs while you find a replacement subcontractor to complete their scope, as well as the cost of all associated schedule impacts and liquidated damages resulting from their breach of contract.
Unfortunately, I have had to pull out the 48hr notice threat a few times on projects. It finally got the submittals we needed. However, it is not a nice position to be in before the subcontractor arrives on-site and should be used only as a last resort.
Lastly, remember money is the motivator. You hold the money and the legal entitlement to terminate them and therefore have the leverage. You are not the bad guy here. The subcontractor entered into a legal agreement and is reneging on that agreement by not providing the submittals you need for the project.
Any other tips for me regarding submittals?
Of Course, here are some additional nuggets of information that will see you excel at submittal management.
All submittals are essential, but some are more important than others and can significantly impact your project if you get it wrong. You need to identify which submittals to take extra care of when reviewing to ensure everything is in order. These include structural shop drawings for concrete, rebar, and steel. An error here will likely have high cost and schedule impacts. Double-check your architect's and structural engineers' review after your initial pass. They are only sometimes great at catching dimensions to be verified before fabrication.
Mock-Ups are another great way to sink your project's profits real quick if the process is not followed correctly. I have seen it multiple times where the owner reviews a mock-up and verbally agrees to approval, but the paperwork to close out the submittal never gets completed. A few months later, you have a building, and the owner or some other stakeholder doesn't like the color or texture and wants a change as it is different from how they imagined the finished product would look. Finishes are very subjective to every individual. If you do not have your ducks in a row, you could find yourself going through another round of mock-ups and color changes to the building at cost to you. Believe me, friendships with owners can turn sour very quickly. Even if you think you can trust the owner to stay true to their word, you need the paperwork, always. Make this gospel, and you will be doing just fine.
Closeout Submittals: Never release the last payment to a sub, even if you have their retention. You pay them 100% less retention only after they provide closeout documentation.
If you are a newer Project Engineer or Intern and you still need to fully grasp all the concepts, means, and methods or the overall picture of what you are building, reviewing submittals is a great way to learn. Pro Tip - Lose the ego and get out of the job trailer and onto the site. Take the shop drawings with you and watch the subcontractor as they are installing the work. Ask them questions and have them help you understand what is going on. There is no better way to learn construction practices than being out there as much as possible with the guys in the field performing the work. They are usually receptive to helping you learn if you are open and transparent.
Technology: As mentioned earlier, several construction software management tools are at your disposal. Having all your submittals in one place, well organized, and available on your iPad or phone for quick reference in the field is an incredibly efficient way to resolve problems and stop RFIs in their tracks.
Thanks for reading. I hope this was helpful.
Comments