Part 1: Why Terminology Matters
How do we review submittals? Well, that’s easy (sort of), but first, let’s reinforce some basic terminology.
What is a submittal?
A submittal is a piece of written or physical information provided by a subcontractor or vendor to the general contractor (GC), who reviews it for conformance to project documents. If deemed acceptable, the GC then transmits the submittal package to the design team for approval before fabrication or procurement of deliverables to the project.
There are many types of submittals, including but not limited to: shop drawings, physical material samples, engineering calculations, product data cut sheets, and mock-ups. The most common submittals are product data, shop drawings, and physical material samples, so that’s what we will be covering how to review, because each one should be handled a little bit differently.
Before submitting, the GC should ensure all submittals meet the requirements outlined in Spec (013300) for job-specific submittals. Besides reviewing the specs, it’s important to communicate with the Owner/Architect/Contractor (OAC) team, and specifically with the architect, regarding expectations and procedures. Clarify who will be the main recipient of the submittals and who should be copied on emails. Determine how much time the architect and third-party consultants need to review the submittals. Ask if submittals can be expedited if necessary. Ask questions and establish team expectations early.
Once procedures and expectations are established, you are ready to begin reviewing submittals. The correct way to review a submittal depends on what type of submittal it is; however, there are a few key documents that will be utilized during submittal review regardless of the submittal type. These are the Project Documents and are comprised of the Plans, Specifications, and Assumptions & Clarifications.
Plans & Specs
Spec books are detailed documents that outline the technical requirements, materials, workmanship standards, quality criteria, and installation methods for a construction project. Specifications should always be reviewed, except on design-build projects where typically no spec is provided for that specific division. On design-build projects, the plans are the spec.
Plans can and will include dimensioning, sizing, details, product call-outs, and finishes to name a few. Often, the plans and specs will have a lot of crossover or duplicate information. There is no issue there, unless they are in conflict and call out two different products, sizes, or finishes. When plans and specs are in conflict, you need to know the order of precedence: what supersedes what. Typically, plans supersede specs.
Assumptions & Clarifications
What supersedes both plans and specs is the Assumptions and Clarifications, or A’s & C’s. This document is used for a few different reasons, but in terms of submittal review, it can provide insight in a couple of different ways. The first way it is useful is for value engineering that was done prior to the project starting. Plans and specs call for x product, but to make the project pencil, certain cost-related changes were made. A’s & C’s clearly list and identify any changes to project documents. Additionally, the A’s & C’s can provide insight where there may be ambiguity within the plans. For example, if no finish is called out for the exterior railings, the A’s & C’s can cover gaps in scope like this and provide a basis of design or better explain to the design team what has been included in the general contractor’s estimate. This makes the A’s & C’s the first place you should look when starting a submittal review. Then plans, and then specs. But again, make sure you know the order of precedence.
Why Are Submittal Reviews Important
Submittal reviews are the most cost-effective chance to catch mistakes before they happen. An RFI (Request For Information) is better than a change order. Finding out the sink doesn’t fit in the cabinet base, or that an ERV doesn’t fit in a joist bay, are a couple of easy examples of change orders that can be avoided with proper review and planning. Sometimes these mistakes can be big ones, such as two waterproofing elements of a rainscreen “system” that, when used together, void each product’s warranty.
Submittals are planning tools, not just conformance checks. You need to know that hot rubber waterproofing cannot be installed on the specified exterior wall substrate BEFORE it is installed, or that your bathtub/shower surround combo CAN fit through the doorways between the delivery area and the unit. When properly used, submittals are great problem solvers.
This is the first of three articles that deep dive into the world of submittal reviews and how our process directly benefits our construction projects.
Part 1 – Why Terminology Matters
Part 2 – Three Common Types of Submittals
Part 3 – Problems Solved