Managing Samples, Shop Drawings, Mockups, and Submittals for Sourced Materials
A practical architect submittal framework: samples, shop drawings, mockups, and approvals. Each item has a name, a purpose, an owner, and a deadline; missing any one of them is a real risk to the project.
Direct answer
The four document types in a sourced-material package — samples, shop drawings, mockups, and submittals — are not the same thing, and they should not be combined. Each has a different purpose, a different owner, and a different deadline. Architects who treat them as a single deliverable usually end up with the wrong question being asked at the wrong time.
Why the four types are different
A sample answers "what does this material look and feel like?" A shop drawing answers "how is this product made and installed in this specific project?" A mockup answers "does the product perform and look right at the actual site?" A submittal answers "is the architect's specification met, with documentation?" When these are confused, the project gets a beautiful sample that is the wrong size, a shop drawing that is the wrong color, a mockup that was never built, and a submittal that was never reviewed.
The four types in order
1. Samples
The sample answers a design question. It is the right tool for color, finish, hand-feel, divided lite pattern, hardware grade, and edge profile. The sample should be specified by size, by material, by finish, and by the design question it is meant to answer. A sample that does not answer a design question is a marketing deliverable, not a project deliverable.
The sample is typically a small physical piece, reviewed by the architect and the interior designer, and stored as a reference for the mockup, the production run, and the QC plan. The sample is also the first line of evidence in any later substitution request.
2. Shop drawings
The shop drawing answers an engineering and a coordination question. It shows the product as it will be made for the project: rough opening, structural support, weather barrier, exterior trim, interior trim, hardware, and installation pattern. The shop drawing is what the architect and the engineer approve before the mill order. Federal work distinguishes design and construction submittals, which is a useful baseline for any project (UFGS 01 33 00).
3. Mockups
The mockup answers a performance and a design question at the actual site. A mockup is built before the production run, on the first unit of each elevation, with the actual product, the actual installer, the actual weather, and the actual structural support. The mockup is the first physical evidence that the submittal, the supplier's production line, and the site conditions agree. The mockup is also the first line of evidence for any later question about how the product performs.
A mockup that is not on the actual site is a sample. A mockup that is not installed by the actual installer is a sample. A mockup that is not photographed and documented is a sample. The right place for a mockup is on the first unit, with the actual install pattern, with the actual weather, and with a written report.
4. Submittals
The submittal is the formal approval record. It is a package, not a single item: shop drawings, product data, NFRC label or equivalent independent test report, hardware grade, finish system, warranty, mockup report, and the deviation list. The architect approves the submittal, and the approval converts the supplier's bid into a mill order. Quality control at the factory is then measured against the approved submittal (UFGS 01 45 00).
What goes wrong when the four types are combined
A "submittal" that is just a catalog page is not a submittal. A "sample" that is a full-size mockup is not a sample. A "shop drawing" that does not show the structural support is not a shop drawing. Each type has to be named, scoped, and reviewed as its own deliverable, with its own deadline and its own owner. The right cadence is: sample first, shop drawing second, mockup third, submittal fourth, mill order fifth, production sixth, in-person QC seventh.
How Buildtana supports the four types
Buildtana coordinates the four types as part of a managed procurement service. The supplier prepares the sample, the shop drawing, the mockup, and the submittal. The architect and the design team review and approve each. Plans and specifications are personally reviewed by the Buildtana team, which is what lets the team flag a missing NFRC label, a missing structural detail, or a missing mockup before the mill order is placed.
Frequently asked questions
Can a sample replace a mockup? No. A sample is a small piece of material; a mockup is the product on the actual site, installed by the actual installer. The two answer different questions.
What is the right size for a sample? Enough to answer the design question. A finish sample can be a few inches; a divided lite pattern needs to be a full lites; a hardware sample should be operable. The architect names the size on the spec.
Who owns the deviation list? The supplier prepares the deviation list; the architect approves or rejects. The list is part of the submittal package, not a separate document.
Sources
- Whole Building Design Guide — UFGS 01 33 00 Submittal Procedures
- Whole Building Design Guide — UFGS 01 45 00 Quality Control
- National Fenestration Rating Council — Residential Product Certification
- ENERGY STAR — Windows, Doors, and Skylights: Key Product Criteria