Defining Construction Submittals
Construction submittals are the documents, physical samples, and technical information required for the design team to review and confirm the contractor’s proposed approach. This documentation acts as a formal communication bridge, ensuring that the materials and methodology intended for installation align with the project’s design requirements before fabrication or installation can begin.
Submittals are provided by the general contractor to the design professional (architect or engineer of record) after the contract is awarded. These packages detail the specific products the contractor intends to use, demonstrating they meet the performance and quality standards established in the project specifications and satisfy the technical and aesthetic requirements outlined in the contract documents.
The function of this documentation is to ensure compliance with the technical specifications and drawings that comprise the contract. By reviewing the submittal, the design professional confirms the suitability and compatibility of the proposed item with the overall design intent. The contractor is responsible for selecting the products, but the design team must affirm those selections are appropriate for the building’s function and durability requirements.
The Purpose of Submittals
Submittals serve a direct function in quality assurance, providing a structured mechanism to verify the design intent before any materials are permanently incorporated into the structure. This review process helps prevent costly errors and extensive rework later in the construction schedule. It offers the design team a final opportunity to confirm the correct materials are sourced and that installation procedures are understood by the construction team.
The documents also ensure technical coordination between various building systems and trades on the job site. For instance, the submittal for a curtain wall system may need to be reviewed in conjunction with the structural steel drawings to ensure proper connections and load transfer. This cross-disciplinary review confirms that the interfaces between systems, such as mechanical equipment and electrical conduits, are physically viable and correctly detailed.
Approving a submittal package indicates that the design professional accepts the specific product or fabrication method proposed by the contractor, provided it meets the contract requirements. This approval does not transfer responsibility for accuracy or completeness from the contractor to the design team. The contractor remains fully liable for ensuring the work complies with the contract documents, even after the submittal has been accepted by the architect or engineer.
Common Categories of Construction Submittals
Product Data
Product Data consists of the manufacturer’s standard literature, specifications, and performance ratings for materials and equipment. This includes catalog cuts, published dimensions, material finishes, and detailed installation instructions. Submission confirms the contractor’s intent to purchase and install a specific proprietary product that complies with the project specifications.
Shop Drawings
Shop Drawings are prepared by the contractor, a subcontractor, or a supplier to illustrate how a specific portion of the work will be fabricated or installed. Unlike architectural drawings, these diagrams, schedules, and calculations show precise fabrication requirements, including dimensions, connections, and construction tolerances. Examples include detailed drawings for steel truss fabrication, specialized millwork, or precast concrete panels.
Samples
Samples are physical examples of materials, equipment, or workmanship used to establish a tangible standard of quality and appearance for the finished work. These submissions can include material swatches, sections of finished flooring, color panels, or mock-ups of wall assemblies. The approved sample becomes the benchmark against which the installed work is judged for texture, color, and finish consistency.
Test Reports and Certifications
This category includes documentation that provides objective evidence of a material’s compliance with specified performance criteria or regulatory standards. Test reports detail the results of laboratory analysis, such as fire ratings, structural capacity, or acoustic attenuation. Certifications confirm that a product meets specific industry standards, such as those related to sustainability (e.g., LEED documentation) or electrical safety (e.g., UL listings).
The Submittal Review and Approval Process
The submittal process begins when the contractor prepares the package, checking it against the contract specifications for accuracy and completeness. The contractor then formally submits the package to the design team, typically through a digital platform or a designated project management system. This initial submission is accompanied by a transmittal sheet that lists the contents and the specification section being addressed.
Once received, the design professional (architect or engineer) conducts a technical review of the documents. This review focuses on verifying conformance with the design intent and the project’s technical requirements within a defined review period outlined in the contract. The goal is to quickly identify any conflicts or non-conforming items before they are manufactured or installed.
After the review is complete, the design professional applies a stamp indicating the status of the submittal, which dictates the contractor’s next steps. “Approved” permits the contractor to proceed immediately with purchasing, fabrication, and installation of the product. An “Approved as Noted” status allows the contractor to proceed, provided they incorporate minor, non-substantive corrections noted on the document.
The status “Revise and Resubmit” is applied when the material or method deviates from the contract requirements or contains errors that require extensive correction. This status prohibits the contractor from proceeding until a revised submittal is prepared and formally approved. In rare instances of non-conformance, a submittal may be “Rejected,” requiring the contractor to select an entirely different product or approach.
The processed submittal, with the design professional’s stamp and comments, is returned to the contractor. This documented history of accepted materials and methods becomes a permanent part of the project record. The efficiency of this communication is heavily reliant on the timely communication of comments and the contractor’s accuracy in the initial submission.
Impact of Submittal Management on Project Success
Effective submittal management is linked to maintaining the project schedule and controlling costs. Delays in the preparation or review of submittal packages can impede procurement, leading to delays in the fabrication and delivery of materials to the job site. This ripple effect can halt construction activities, resulting in schedule slippage and associated financial penalties.
A best practice for mitigating these risks is the creation of a detailed submittal log, which acts as a comprehensive schedule for every required submission. This log tracks the required date, the actual submission date, the review period, and the final approval status for individual items. Utilizing this schedule allows project managers to proactively prioritize long-lead items, such as large mechanical equipment or custom facade elements, which require extended fabrication times.
Many project teams now rely on specialized digital platforms to manage the entire submittal workflow, replacing traditional paper-based systems. These platforms enhance efficiency by providing instant access to documents, automated tracking of review cycles, and transparent accountability for all parties involved. Proper management of this administrative process enables the smooth flow of material and equipment to the site, supporting the project’s successful completion within the established timeline and budget.