Construction Submittals: definition, process and examples

Construction projects, regardless of their size, require detailed planning and accurate document management. Among the various tools used in the document management process, submittals play a fundamental role.

Submittals refer to all those documents that approve phases, activities, and project details and without which it is not possible to proceed with execution.

Let’s take a closer look at what submittals are and why they are so strategic in the construction sector.

The meaning of a Submittal in Construction: definition

In the AECO industry, a submittal is a specific type of document submitted to designers, generally by the contractor, to outline the details of the resources they intend to use for a particular job and to request the approval or review of that specific step or project detail.

Since submittals are documents used to request approval, it will be necessary to accompany these requests with as many details as possible. The details, useful for the designers’ evaluation of the approval requested by the contractor, may concern:

• calculations, often required to demonstrate that the work provided by a company is suitable. For example, electricians may be asked to verify voltage drops or short circuits to ensure that the electrical system to be implemented is appropriate;
• construction details, which reflect the final product as it will actually be built;
• Photos and videos, to ensure continuous visual monitoring of progress and compare the actual state of the project with what is documented through construction photographic documentation;
• technical details, which specify all the various construction nodes of the materials to be used;
• details on costs and timelines, related to specific construction types to be implemented or materials to be used;
• specifications on materials and equipment, often accompanied by physical samples of the materials, to verify consistency, color, quality, or required structural specifications;
• executive details.

They represent an essential tool in pull planning in construction planning, as they aim to facilitate efficient project coordination, helping teams create smoother workflows. These documents, from material samples to technical data, serve as a template to translate design ideas into reality. Furthermore, they ensure that quality standards are met:

1. contractors must have the correct materials, products, tools, processes, or prefabricated parts for the project;
2. the documents also ensure that time is not wasted redoing or repairing an element that was not compliant with the specifications.

The contractor, therefore, prepares a submittal and submits it for review to ensure that the project’s purpose is compliant with contracts, documents, and project specifications.

Depending on the specificity of the case, submittals may be required:

• before the start of work, during the project planning in the pre-construction phase if it is a request for approval;
• during the work, if it is a request for review.

The submittal is often confused with the transmittal, and the two terms are therefore used interchangeably. In reality, the two documents differ in purpose and consequently in content:

• the submittal, as we have seen, is a detailed document whose purpose is to request approval from designers;
• the transmittal is a document that accompanies another document, and its purpose is to acknowledge the sending of information.

In an AECO sector increasingly oriented towards digital, document management is also moving towards the elimination of paper and towards the use of document management software specific to the AECO sector to easily create, organize, and share all project documents.

Digital management of submittals

The three main types of submittals

Depending on the type of project, there are many types of submittals; however, three of them are the most common and frequently used, and they are:

1. product data: product data includes technical specifications, information about the manufacturer, and all materials to be used in the construction project. Product data submittals may include: manuals, technical data sheets, quality standards, or warranty information;
2. drawings: let’s remember that the submittal is a document through which approval is requested; for this reason, technical drawings are a fundamental detail to present to the designer. The purpose is to communicate useful details to the designer for evaluating the proposal, so the drawings may include: dimensional details, sections with related stratigraphies, and information about materials as well as informative details for correct installation or laying;
3. samples: samples refer to physical samples of the actual materials used in the project. Examples may include flooring, tiles, paints, plasters, etc. These samples are vital for the quality review process, performance, and project standards.

The ones just listed are, as we anticipated, the three most common submittals. Among the many other types of submittals that can be processed, it is worth mentioning:

• models and prototypes: full-scale replicas or prototypes of a part of a construction project aimed at reproducing the functionality and appearance of the final product;
• test reports: reports received from third parties regarding tests and trials conducted on materials and equipment;
• calculations: calculations are useful to demonstrate how materials and equipment meet project requirements. For example, a contractor may prepare calculations to verify and demonstrate the load capacity of a material or the energy efficiency of a piece of equipment.

The 3 main submittals

Construction Submittal Process Step-by-Step

The process of developing and submitting submittals involves a sequence of steps and activities related to the submission and review of documents by contractors and designers. In fact, the entire approval process that follows this particular type of document depends on the scope of the project, what the specific submittal pertains to, and how many people need to review and approve it. Generally, however, the steps that all submittals go through are:

1. review of project documents: this step, which precedes the actual preparation of the document, is essential to clarify the project requirements, client requests, and quality standards to be met. At this stage, it is very important to prepare the construction management plan, which defines an overall overview of the construction work, the methods of carrying out the work, and how the company intends to manage what is planned in the project;
2. preparation of the submittal: based on what was deduced from step 1 and the details available (drawings, tests, calculations, etc.), the document is prepared. Depending on the work and the various types of intervention, the contractor may decide to send individual submittals, some before and others after, if there is a need to obtain approval more urgently for certain phases of the work compared to others;
3. submission of the submittal: at this point, the submittal is presented, after careful review by the General Contractor. This phase follows precise procedures regarding timing, delivery methods, and the number of copies;
4. waiting for review/approval: during this step, we can only wait for the evaluation from the designers, who may request an integration of the document. In fact, if the submitted documents correspond to what is specified in the contract and in the design documents, the designers will approve the submitted documents and return them to the company so that work can actually begin. If the request is rejected, if the information sent is not consistent with what is defined in the project, integration or resubmission of the submittal will be necessary;
5. integration/revision and resubmission of the submittal: if the request is denied, it is important to analyze the reasons for the denial, make the necessary changes, and develop a correct revision process for the submission of the submittal. To avoid wasting time, it is important for the company to ensure that what is submitted is in line with the project and with the observations made by the designers;
6. identification of necessary resources: once the submittal has been approved, it is possible to start the procurement process for materials and equipment necessary for the project and thus begin the execution phase.

Construction Submittals Examples and Templates

The creation of a submittal generally follows established templates, as these presentation documents provide important information about the document itself, the author, the review process, and the dates of submission and receipt of items.

A submittal typically presents with a cover page, a cover template, which serves as a transmission sheet and is important for clearly and schematically outlining all the submitted documents. It generally contains:

• name of the reference project;
• contracting company and responsible for submission;
• submission date;
• submission number;
• revision number;
• receipt date;
• approver;
• response;
• comments;
• notes.

How to Digitally Manage Submittals in the Construction Industry

We have seen how the submission/approval process of submittals is a procedure through which documents related to materials, equipment, or other elements necessary for a construction project are submitted and subjected to approval by stakeholders, such as architects, designers, and clients. This process is essential to ensure that all elements used in the realization of the project meet the specified quality, safety, and compliance requirements, and that they are in accordance with client requests and industry standards.

To best manage this important process, it is essential to use a construction project management software that allows you to digitize and optimize processes, improve communication, and ensure compliance with project requirements efficiently and effectively.

This tool offers a range of advantages and tools that enhance the efficiency and transparency of the process:

• clear visualization of the workflow: using the “board” mode, it is possible to clearly visualize the workflow of the submittal review/approval process. Each phase of the process, from the preparation of the submittal to its submission, review, integration, and approval, can be represented as a column on the board. This allows all team members to have an overview of the process and monitor the progress of individual submittals in real-time;
• activity tracking: it is easy to track the activities associated with each submittal and account for any changes, integrations, or review requests. Each submittal can be integrated with all relevant information and comments related to the review/approval process;
• deadline management: specific deadlines can be set for each submittal and monitored in real-time. Automatic notifications can be sent to team members, ensuring that no submittal is overlooked or delayed;
• effective collaboration and communication: team members can collaborate efficiently by adding comments, attachments, and notes to individual submittals directly in the chat attached to the task. This facilitates communication among team members and reduces the risk of misunderstandings or errors during the review/approval process.

Management of the submission/review process of submittals | usBIM.resolver

How to enhance the submittal process?

As we have mentioned before, the digitization process remains one of the fundamental steps in simplifying and supporting construction management. Specifically, document management can be complex and chaotic if approached in a traditional manner, and the same applies to the submittal process. Recognizing the need to manage project documents digitally and with the support of software will contribute to bringing evident advantages.

Focusing on the submittal process, here are some tips to make it more efficient and effective:

• • store and organize documents in the cloud: thanks to collaborative platforms specific to the construction sector, you can reduce time and avoid delays, improving the organization, management, and archiving of all documents. This way, documents are easily accessible, consultable, and shareable in an open and transparent perspective of construction processes;

Archiving and management of AECO documents |usBIM

• digitalize and monitor the submission/review process of submittals: through construction management software, the stakeholders involved in the process can automate the submission/review process of submittals and see at which stage of the approval request the specific submittal is and the subsequent steps that must be taken.

The tips we presented are united by the implementation within your work team of specific solutions that will allow you to store all documents in a single centralized location and automate the submittal management process. All you have to do is try them for free!