Submittals in Construction Management

Construction management

Construction Project Management is the overall planning, coordination and control of a project from inception to completion aimed at meeting a client’s requirements in order to produce a functionally and financially viable project that will be complete mingement is project management that applies...

are shop drawing

Shop drawing

A is a drawing or set of drawings produced by the contractor, supplier, manufacturer, subcontractor, or fabricator. Shop drawings are typically required for pre-fabricated components. Examples of these include: elevators, structural steel, trusses, pre-cast, windows, appliances, cabinets, air...

s, material data, samples, and product data. Submittals are required primarily for the architect

Architect

An architect is a person trained in the planning, design and oversight of the construction of buildings. To practice architecture means to offer or render services in connection with the design and construction of a building, or group of buildings and the space within the site surrounding the...

 and engineer

Engineer

An engineer is a professional practitioner of engineering, concerned with applying scientific knowledge, mathematics and ingenuity to develop solutions for technical problems. Engineers design materials, structures, machines and systems while considering the limitations imposed by practicality,...

 to verify that the correct products will be installed on the project.

This process also gives the architect and sub-consultants the opportunity to select colors, patterns, and types of material that were not chosen prior to completion of the construction drawings. This is not an occasion for the architect to select different materials than specified, but rather to clarify the selection within the quality level indicated in the specification.

For materials requiring fabrication, such as reinforcing steel and structural steel

Structural steel

Structural steel is steel construction material, a profile, formed with a specific shape or cross section and certain standards of chemical composition and mechanical properties...

, the architect and engineer need to verify details furnished by the fabricator. The details from the fabricator reflect both material availability and production expediency. One tragic example of a submitted alternate design is the suspension rod and bolting details resulting in the Hyatt Regency walkway collapse

Hyatt Regency walkway collapse

The Hyatt Regency hotel walkway collapse was a collapse of an interior suspended skywalk system that occurred on July 17, 1981, in Kansas City, Missouri, United States, killing 114 people and injuring 216 others during a tea dance. At the time, it was the deadliest structural collapse in U.S...

. The steel fabricator was unable to produce lengths of steel as originally designed and proposed using shorter lengths. The proposed alternate compounded the loads on the bolts, which resulted in the skywalks collapsing on July 17, 1981. 114 people were killed.

The contractor also uses this information in installation, using dimensions and installation data from the submittal. The construction documents, specifically the technical specifications, require the contractor

General contractor

A general contractor is responsible for the day-to-day oversight of a construction site, management of vendors and trades, and communication of information to involved parties throughout the course of a building project.-Description:...

 to submit product data, samples, and shop drawings to the architect and engineer for approval. This is one of the first steps that is taken by the contractor after execution of the construction contract and issuance of the "Notice to Proceed".

The submittal process affects cost, quality, schedule, and project success. On large, commercial projects the submittal process can involve thousands of different materials, fabrications and equipment. Commercial buildings will often have complex pre-fabricated components. These include: elevators, windows, cabinets, air handling units, generators, appliances and cooling towers. These pieces of equipment often require close coordination to ensure that they receive the correct power, fuel, water and structural support. The submittal process gives another level of detail usually not included as part of the design documents.

An "approved" submittal authorizes a material or an assembly to be released for fabrication and shipment. In essence, this is the final quality control mechanism before a product arrives on-site.

Product Data Submittal

The product data submittal usually consists of the manufacturer’s product information. The information included in this submittal are:

• Manufacturer, trade name, model or type number: This information is necessary to compare the submitted item with the specified products and acceptable products listed, in the specification and addenda.
• Description of use and performance characteristics: Information should be furnished describing the normal use and expected performance of the product. The architect and contractor reviews this information to confirm that the product is appropriate for the intended use.
• Size and physical characteristics: The size and physical characteristics, such as adjustment capabilities, which is reviewed by both the contractor and architect. The contractor has the most available information for comparing adjoining materials and equipment. The contractor also needs to know the size and weight of the equipment for lifting and handling considerations.
• Finish characteristics: The architect reviews the available finishes and selects the appropriate finish, if the finish was not previously specified in the documents. The contractor should confirm that finish requirements in the specification are being met by the product.
• Specific request for jobsite dimensions: Some material is custom-fabricated to job conditions, requiring dimensions from the jobsite. These jobsite dimensions are provided by the contractor, prior to release of the product for manufacture.

Samples

Many products require submission of samples. A sample is a physical portion of the specified product. Some samples are full product samples, such as a brick or section of precast concrete

Precast concrete

By producing precast concrete in a controlled environment , the precast concrete is afforded the opportunity to properly cure and be closely monitored by plant employees. Utilizing a Precast Concrete system offers many potential advantages over site casting of concrete...

, or a partial sample that indicates color or texture. The product sample is often required when several products are acceptable, to confirm the quality and aesthetic level of the material. The size or unit of sample material usually is specified.

For some materials, a mock-up or sample panel is necessary. A common example of a sample panel is a wall mock-up. This is a full size mock-up of a wall assembly and can include window, exterior veneers and waterproofing. The mock-up serves as both an aesthetic review, but also provides the contractors the opportunity to field test the assembly before full-scale assembly. The mock up may be required to be tested for water tightness and lateral forces. The mock-up panel might be 10 feet wide by 12 feet high, showing the full wall span from floor to floor.

Samples usually are required for finish selection or approval. Color and textures in the actual product can vary considerably from the color and textures shown in printed material. The printed brochure

Brochure

A brochure is a type of leaflet. Brochures are most commonly found at places that tourists frequently visit, such as museums, major shops, and tourist information. Brochure racks or stands may suggest visits to amusement parks and other points of interest...

 gives an indication of available colors, but the colors are rendered in printer’s ink, rather than in the actual material. A quality level may be specified, requiring a selection of color and/or texture from sample pieces of the material. Several acceptable manufacturers may be listed in the specification and a level of quality also may be specified. The contractor, subcontractor, or supplier may have a preference for one of these products, based on price, availability, quality, workability, or service.

Samples are usually stored at the jobsite and compared to the material delivered and installed. Comparison of samples with the product received is an important part of project quality control.

Review of Submittals

Processing time is required to produce and review submittals, shop drawings, and samples. The procedures can seem very cumbersome and time consuming, however, there are substantial reasons for review steps by all parties. The designer is ultimately responsible for the design of the facility to meet occupancy needs and must ensure that the products being installed are suitable to meet these needs. Any change in material or fabrication needs to be reviewed for its acceptability with the original design. Both the architect and contractor need to be able to coordinate the installation of the product with other building systems.

Each level must review, add information as necessary, and stamp

Rubber stamp

Rubber stamping, also called stamping, is a craft in which some type of ink made of dye or pigment is applied to an image or pattern that has been carved, molded, laser engraved or vulcanized, onto a sheet of rubber. The rubber is often mounted onto a more stable object such as a wood, brick or an...

 or seal

Seal (device)

A seal can be a figure impressed in wax, clay, or some other medium, or embossed on paper, with the purpose of authenticating a document ; but the term can also mean the device for making such impressions, being essentially a mould with the mirror image of the design carved in sunken- relief or...

that the submittal was examined and approved by that party. After the submittal reaches the primary reviewer, it is returned through the same steps, which provides an opportunity for further comment and assures that each party is aware of the approval, partial approval, notes, or rejection. This approval process is cumbersome and time-consuming. However, modern software products like ProgramNetInc's CMBoost can greatly simplify and improve the efficiency.

Typically, the architect will review the submittal for compliance to the requirement in the construction documents. Revisions may be noted on the submittal. Colors and other selection items will be made by the architect during this review. Sometimes the architect will reject the entire submittal and other times will request resubmittal of some of the items. The architect also will make corrections, which normally do not need to be resubmitted, but that do need to be applied to the product. While the architect and engineers review products for performance and design intent, the contractor must review the product for preparation and installation requirements.

The contractor should manage the submittal process just like any other process in the construction cycle. The submittal process requires lead-time consideration to produce the submittal, shop drawing (engineering), review and revise and the shop fabrication period. Careful planning is necessary to ensure that the products are ordered and delivered within the construction schedule, so as not to delay any activities. The contractor must prioritize the submittal process, submitting and obtaining approval for materials needed for the first part of the project.