Substitution Requests: 5 easy rules to follow (2021)
On commercial construction projects, submitting product substitutions are common. The practice of supplying the documentation and following guidelines are often misunderstood. So we’re sharing more about how to submit a product substitution request form to make the process easier for building product manufacturers and contractors.
Before we start, what is a product substitution? Product substitutions are generated by the contractor as a written request to the design professional to review a product that has not been specified on a project before it can be incorporated into the work. The design professional returns a written approval or rejection of the proposed product.
This process is essential as we have accountability for what is being installed and assurance a product meets the specified requirements. The Design professional will determine if products during the submittal process meet the project’s design intent and where the contractor can incorporate the product into the work. If the product substitution is “rejected,” the contractor can resubmit additional documentation or supply a specified product.
So learning the product substitution process is essential for building product manufacturers and contractors working on submittals. But with some planning and structure, substitutions don’t have to be so difficult.
So let’s dive in and learn more about our 5 rules to follow.
Submit a Substitution Request Form
What is it? A substitution request form is the written form that is filled by the contractor for the design professional to review. A design professional will often include the form in Division 01, or supply guidelines on how substitutions will be reviewed. Most contractors use The Construction Specifications Institute (CSI) fill-in-the-blank substitution request form if the project does not offer a substitution form. You can download a copy at this link. It’s free, so use it!
If you’re submitting a product that has not been specified, a substitution request form must be submitted with product documentation to assist the design professionals review process. The review will determine compliance with what has been specified and the design intent of the project.
If you supply a product specified during the submittal process, label it as a submittal per plans and specifications. There is no need to submit the product substitution request form.
Make sure you properly label your submittals. If you avoid proper labeling, it’s a sure way of receiving a “rejected/resubmit” response from the Design professional.
Substitution Request Deadline
Why is it important? The written product substitution request to the Design professional for review is on a deadline after the bidding and negotiating phase of the project.
Substitutions are time-sensitive, and the deadline is specified in Division 01. As a rule of thumb, they are reviewed within the first 30 to 90 days after the agreement between the owner and contractor is executed.
When you bid on a project with a product substitution, it is your responsibility to drive the substitution request, as you assume the liability for any cost difference if the substitution is not approved. If you are not sure, read Division 01 for specifics and ask the contractor for more information on substitutions deadlines.
Missing the deadline is a sure way of having your product substitution form returned without the Design professional review.
Supply Substitution Documentation
Why is documentation important? The written request to review a product substitution requires the design professional to compare what has been specified vs. what you are submitting. If you don’t supply enough information or incomplete documentation, the Design professional will not have enough information to perform the review process.
Before you submit a product substitution:
- Read the specifications and determine the scope of work.
- If the specification requires six products, don’t supply a data sheet for a single product.
- Be clear and supply complete information to make the review process easier.
Ok, some of you may think this is obvious, but it is becoming common to receive limited documentation or supporting information for product substitutions. The design professional is performing a technical review, so supplying information is essential.
Create a Comparison Form
A CSI 3-part specification organizes information into, like you may have a guessed, three parts.
Part 1 of the specification will list submittal requirements, Part 2 lists manufacturers and product requirements, and Part 3 is the execution. Creating a comparison of what is being submitted based on the three parts of the specification will help the Design Professional quickly review the product substitution.
One golden rule to remember about substitution comparisons is to forget about the competition. Compare the proposed product substitution against the specified requirements.
An easy way to compare the specified requirements is to create an easy-to-follow comparison. Here is a quick structure to follow:
Page 1 – Title page
Project name, spec section, and label as “per plans and specs” or “substitution request.”
Any costs impacts?
Page 2 – Specification comparison
Specified Requirement Proposed Substitution
1.2 Quality Assurance
A. Meets ASTM A111 compliance Meets ASTM A111 compliance
A. 5 – years Exceeds, 6-years
Pages 3(+) Substituted products vs. specified products
Submittals – Clearly identify what products are per plans and specs and what are substituted materials.
Product #1 – 2.3 A. – Substituted material attached for review.
Product #2 – 2.4 A. – Substituted material attached for review.
Product #3 – 2.5 A. – Per plans and specs.
Installation – Will the substitution change the installation process?
Make it look good!
The more complete and easier the proposed product substitution is to review, the better the outcome. I usually recommend having a 2nd person in the office review the package to see if easy to follow and has a logical flow.
What type of information makes a product substitution look good? A clearly labeled cover sheet, a copy of the project specification, pictures of the proposed product installed, installation references, color options, technical contacts, samples, copy of manufacturers warranty, and letters of reference from past projects are all supporting documentation I recommend.
Tthe next time you submit a product substitution request form, make sure you follow these 5 easy rules:
- Supplying substitution request form
- Include supporting documentation
- Follow the deadline requirements
- Create a comparison to the specification
- Making it look good!
To learn more about specifications and technical insights, visit our blog for the latest information.