Project Delivery

We are in the process of evaluating the number and types of submittals that are required through our standard specs.  We have found that over the past several years we've been asking for more and more submittals which takes us more time to review.

Does anyone have some basic guidelines for which submittals to require?  Is it really necessary to require in-depth submittals for a product identified by name in the specs?  What is the best way to decide which submittals are required and which could be deleted from the specs?

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Julie Montgomery AIA
The Portico Group
Seattle WA
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In my firm, I am of the mindset of the more submittals the merrier.  Remember that submittals serve basically three main purposes:  1.  Verification that the Contractor is providing and installing what you specified; 2.  For use by the Contractor, the superintendent, and sub-contractors and others during construction for information on scheduling, installation, and coordination with the different trades; and 3.  For inclusion into a set of Record Submittals/O&M Manuals to give to the Owner at the conclusion of construction. 

We typically require five (5) copies of each submittal distributed as follows after our review:  1.  Architect copy retained upon review; 2.  Contractor's Office Copy; 3.  Contractor's Field Superintendent Copy; 4.  Sub-Contractor/Installer Copy; 5.  O&M/Record Submittal Binder for Owner at end of Project.  In our Project Manual, we require that the submittals be kept in a large 3-ring binder with tabs divided per Specification Divisions.  This binder is to be kept in the Contractor's Office and a copy with the on site Superintendent.  I cannot count the number of times over the years a Contractor has called me as asked me about connections to a piece of equipment, or a mounting height, or some other issue related to a product or installation.  99 times out of 10 it is in one of the submittals.

When we have a pre-construction conference, I bring a binder from one of our past projects and show the contractor what we expect and what is stated in the Project Manual for organization of submittals.  Believe it or not, we have had great success with the Contractors accepting our procedure.  Our call backs questions we have had in the past have been reduced to almost nil.  The Contractors have put more pressure on the superintendents to organize themselves and the sub-contractors and installers can go to the job shack find what they need very quickly in "The Binder" as we call it.  Now, if we receive an RFI or a call from the Superintendent or sub, all we usually need to say is have you looked in "The Binder."

In summary, the high volume of submittals does seem daunting in the very beginning of construction of a project.  But, I believe with all my being that they are a an essential part of a smooth construction process.  If you want to discuss our process more, please feel free to call me at 318-219-7388.  Hope this helps.
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Brian McNew AIA
McNew Architecture, APAC
Shreveport LA
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Michael Clark AIA
Director Of Design
H&H Design-Build
New Albany IN
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It is all about risk and delays.  
I provide open and proprietary specifications in the same specification book to try to control time spent on submittals.  Drywall might be proprietary, listing 2-3 acceptable mfg's while curtain wall systems would be open, with submittals required.  Other submittal requirements might be for close out manuals or agency documentation only.

All of these measures help, but every project needs to be evaluated for the appropriate action.

Submittals are used to be sure the right product is installed correctly in your project.  If you feel comfortable with your client, project, and your contractors, then limited submittals could be the way to go.  If your client, project, or contractors make you feel uneasy, go with your gut and request more submittals.

My opinion is that this will largley be a subjective decision making process for the design team as well as being influenced by project related techical specifics, hence making this issue a case-by-case basis.  It is easy if you simply have a standard template for submittals required and they all get submitted.  But, you are asking about paring down the submittals to make the volume easier to handle, so in that sense, you are attempting to "edit" the truly important submittals from the lesser important ones.  And, that becomes a more subjective selection process because it depends on what is important to your office and your consultant teams.  There are some obviously important items such as waterproofing materials, if the performance specs of these items are critical in how they relate to the adjacent materials.  Others such as drywall, are perhaps not as important as there is very little variance in the actual product materials.  You can also place a caviat in your specs to allow Contractors not to have to make submittals if they are providing the exact product specified.  The risk is if they've made a simple mistake and isn't caught until installation, it can be costly, which is why submittals are made, to help eliminate these simple mistakes.

The other side of the coin, is what this Forum is all about, Project Delivery Methods.  And, if your firm is attempting some of the newer delivery methods such as integrated delivery, that can also limit submittals, as the GC and subs are INTEGRATED into the design process, making the requirements for submittals unnecessary.  So, that is definately an approach for your firm to consider.

Last item to think about is converting your submittal process to digital format.  We started doing this over half a decade ago and it makes life so much easier.  Simply right into your specs that all submittals other than physical samples, be required to be submitted via e-mail in PDF format.  You will need a paid Pro version of a PDF reader (such as Adobe Acrobat Pro) that can make comments.  Then you simply review the PDF, make comments directly on it and e-mail it back or use whatever project collaboration or FTP site your projects use.  Contractors love it, and you'll love it.  You don't need to deal with stacks and stacks of paper and the redundant copying of comments 3 and 4 times and the shipping costs and the time delays due to delivery services.  Contractors are shocked when they issue a submittal to me via e-mail and get it back that same day, instead of taking over a week due to having to ship it down and get it shipped back.  Try it, you'll wonder why you haven't been doing it sooner.  And it is very environmentally friendly.  Think of all the paper you save.  The whole process is digital and the only printing that may be required is when a shop drawing goes back to the sub-contractor.

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William Campbell AIA
Principle
Sugar Hill GA

Hilliard Architects policy is to require submittals only for high risk items under the Design Team's control.  For example, we require submittals on anything that can leak water or sound.  For other items we add in language in the Submittals Section requiring extensive research and work by the Contractor who wishes to substitute one item for another.  Sections we don't want substitutions and don't want to see submittals include Hardware, Gypsum Board, tile, flooring, colors, Ceiling Systems, doors ...  We include language in our Owner Architect Agreement that states we will review only submittals that we have requested.

Sections we do want to see submittals on include roofing, flashing, building paper, exterior skin such as plaster or siding, waterproof membranes in wet areas of the building, all acoustical items including sealant pads at electrical boxes ...

In residential work we require a shower/tub p-trap and drain mock up submittal to be delivered to the job site, O-rings at p-traps and connections to showers and tubs always leak, yet they always seem to find their way into the job if a mock up isn't required.

We always talk to our consultants and ask them if they have any high risk connections or unusual areas in their work, and then require a senior engineer review of those submittals and a review of the construction work in place.

Our specifications dictate where we will spend most of our Construction Administration resources, it's best to spend those resources wisely by spending time on high risk items to protect our clients. 
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Michael Hilliard AIA
Hilliard Architects, Inc.
San Francisco CA
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