Construction deadlines can slip when materials arrive on site that don’t match project specifications. In construction, a submittal is any written or physical information that contractors send to the design team for approval before fabrication, delivery, or installation begins. This formal documentation confirms that proposed materials, products, equipment, or methods meet contract requirements and design intent.
Submittals serve as a critical quality-control checkpoint that prevents costly errors and rework. We coordinate these approval workflows throughout each project phase, from preconstruction planning through final closeout, ensuring what gets built matches what was designed. The submittal process translates project specifications into verified, buildable solutions that keep construction moving forward on schedule and within budget.
What Types Of Construction Submittals Are Required?
We encounter several distinct categories of submittals throughout our projects, each serving specific roles in the quality control process. The type and complexity of required submittals depend on project scope, building systems, and contract specifications.
The most common submittals we coordinate include technical drawings, manufacturer documentation, physical samples, and engineering analyses. These documents provide the design team with comprehensive information to evaluate compliance before procurement and installation.
Shop Drawings
Shop drawings represent detailed fabrication and installation drawings for custom or specialty work. We coordinate these technical drawings when contractors need to demonstrate how they will build, connect, or install specific components according to the project specifications.
These drawings show precise dimensions, materials, connection details, and assembly sequences. Steel fabricators prepare shop drawings for structural connections, mechanical contractors create ductwork layouts, and architectural millwork suppliers develop detailed cabinet and trim drawings. The design team reviews these drawings to verify dimensional accuracy and compliance with design intent before fabrication begins.
Product Data And Cut Sheets
Product data submittals include manufacturer specifications, dimensions, performance data, certificates, and test reports. We organize these cut sheets to demonstrate that proposed equipment and materials meet the technical requirements outlined in the project specifications.
These submittals contain detailed performance characteristics, physical dimensions, electrical requirements, and efficiency ratings. HVAC equipment submittals include capacity data and energy ratings, while lighting submittals specify lumens, color temperature, and dimming compatibility. We ensure all relevant certifications and test reports accompany the product data to verify compliance with building codes and industry standards.
Physical Samples
Samples provide physical examples of materials such as paint, tile, brick, and finishes to verify color, texture, and quality. We coordinate sample submittals when the design team needs tactile verification that proposed materials match the aesthetic and functional requirements.
These physical specimens allow architects to evaluate actual colors under project lighting conditions, assess texture compatibility with adjacent materials, and confirm quality standards. Flooring samples show exact patterns and surface treatments, while masonry samples demonstrate mortar joints and unit variations. We organize samples by specification section and clearly label each specimen with project references.
Mockups And Models
Mockups consist of scaled or full-size models to confirm aesthetics and workmanship standards. We coordinate mockup construction when projects require verification of complex assemblies or critical aesthetic elements before full-scale installation.
Window wall mockups demonstrate glazing performance and installation details, while room finish mockups show how multiple materials coordinate together. We sometimes document mockups with high-quality photographs for remote review when transportation is impractical. These physical demonstrations help validate both appearance and installation methods.
Engineering Calculations
Engineering calculations include electrical load analyses, voltage drop calculations, structural designs, and mix designs. We coordinate these technical submittals when contractors must demonstrate that their proposed systems meet performance and safety requirements.
Electrical calculations verify that power distribution systems handle anticipated loads without voltage drop issues. Concrete mix designs show proportions, materials, and expected strength characteristics. Structural calculations demonstrate that connections and assemblies meet load requirements and code provisions. These analytical submittals provide the technical foundation for design team approval.
Vendor Information And Documentation
Vendor information includes lists of subcontractors, suppliers, and their specific scopes when requested by the contract documents. We compile this information when owners require visibility into the project team or when specific qualifications need verification.
This documentation includes company credentials, relevant experience, and contact information. Some projects require preapproval of key vendors, particularly for specialized systems or critical building components. We organize vendor submittals to demonstrate that our team possesses the expertise and resources necessary for successful project execution.
Warranties And Operations Documentation
Warranties and operations and maintenance manuals provide documentation for equipment operation, maintenance requirements, and coverage terms. We coordinate these submittals to ensure building owners receive comprehensive information for long-term facility management.
Warranty documentation specifies coverage periods, maintenance requirements, and manufacturer support provisions. Operations and maintenance manuals include operating procedures, preventive maintenance schedules, troubleshooting guides, and replacement part specifications. We organize these materials during construction and finalize them for project closeout.
As-Built Drawings
As-built drawings serve as final record documents reflecting approved changes and actual field conditions at project closeout. We coordinate these drawings to provide owners with accurate documentation of the completed work for future renovations or maintenance activities.
These drawings show final equipment locations, routing of concealed systems, and any approved modifications from the original design. As-built submittals document field adjustments, approved substitutions, and actual installation details that differ from the contract documents. We compile these records throughout construction and formalize them during the closeout process to ensure accuracy and completeness.
How Does The Construction Submittal Process Work?
The construction submittal process follows a structured sequence that begins before mobilization and continues through project closeout. Understanding the workflow helps us coordinate materials, manage approvals, and maintain project momentum. Each phase requires specific actions and decisions that affect the overall timeline.
Preconstruction Planning and Setup
We establish submittal protocols during the preconstruction meeting, where key stakeholders clarify standards, responsibilities, and review timelines. This session defines what constitutes complete submittals for each trade and specification section. The contract documents specify the review durations, typically 14 days for standard submittals and longer for complex items requiring engineering analysis.
Clear communication at this stage prevents confusion later in the review pipeline. We identify which items require physical samples, shop drawings, or engineering calculations. The preconstruction meeting also establishes escalation procedures for items that could impact the critical path if delayed.
Creating the Submittal Schedule
The general contractor develops a comprehensive submittal schedule that sequences all required submittals based on procurement needs and construction phasing. We prioritize long-lead items like chillers, elevators, and custom curtain wall systems that require months of fabrication time. Critical path items receive priority scheduling to prevent downstream delays.
This schedule works backward from installation dates, accounting for review time, potential resubmissions, manufacturing periods, and shipping durations. We coordinate the submittal sequence with the construction schedule to ensure approvals arrive when procurement decisions need to occur, and we reference scheduling methods and best practices as needed. The schedule identifies dependencies between trades where one approval affects another submittal.
Submittal Preparation Phase
Contractors gather all required documentation, organizing packages by specification section for clear tracking and review. Each package includes product data sheets, shop drawings, samples, test reports, and certifications specific to the work scope. We verify that submittals address every requirement listed in the specifications before compiling them.
Preparation involves coordination with manufacturers and suppliers to obtain current product information and compliance documentation. Samples must represent actual project materials, and shop drawings must reflect site-specific conditions and coordination with other trades. Complete packages help prevent review delays caused by missing information.
General Contractor Review Process
Before forwarding submittals to the design team, we conduct thorough reviews to verify completeness and basic conformance with contract requirements. This first-level review checks that specification section references are correct, required certifications are included, and obvious conflicts are identified. We confirm that proposed substitutions are properly documented and justified.
The general contractor review serves as quality control, preventing incomplete or obviously non-compliant submittals from reaching the design team. This step saves time in the overall approval cycle by catching administrative errors and coordination issues early. We stamp approved submittals before formally transmitting them to the architects and engineers.
Design Team Review and Response
Design teams evaluate submittals against project specifications, design intent, and code requirements within the contractual timeframe. Their responses fall into four categories that determine the next steps for each submittal. Approved submittals authorize immediate procurement and installation without modification.
Approved as Noted or Approved with Conditions require minor corrections or clarifications but permit proceeding with the work. Revise and Resubmit identifies specific deficiencies that must be corrected before resubmission for another full review. Rejected submittals indicate fundamental non-compliance requiring substantial rework or a different product selection.
Acting on Review Decisions
Approved submittals trigger immediate procurement activities, fabrication orders, or installation scheduling, depending on the project phase. We distribute approved submittals to all affected trades and update the submittal log to reflect current status. Material orders can proceed, and installation teams receive the documentation they need for field execution.
Items requiring revision return to the preparation phase with specific guidance from the design team comments. We address each noted deficiency and coordinate any changes with related trades before resubmission. The revision cycle continues until approval is achieved, with each iteration adding time to the procurement timeline.
Ongoing Management Through Closeout
The submittal process continues throughout construction as work progresses and conditions change. We maintain detailed records of all submittals, reviews, and approvals for project documentation and warranty purposes. Closeout submittals include as-built drawings, operation and maintenance manuals, warranties, and final test reports.
Record-keeping becomes critical during closeout when owners require complete documentation packages. We organize approved submittals by system and trade for easy reference during commissioning and building turnover. These records support warranty claims and future maintenance activities throughout the building’s lifecycle.
Factors Affecting Submittal Timing
Multiple variables influence how quickly submittals move through the approval process. Project scope and complexity determine the volume and technical depth of required submittals, with larger projects generating hundreds of individual submissions. Contract requirements specify review timeframes that establish baseline expectations for all parties.
Specification clarity affects preparation time, with well-defined requirements enabling faster submittal development than vague or conflicting documents. When specifications lack detail, we often need to issue requests for information before submittals can be properly prepared. Material lead times drive submittal scheduling, particularly for specialty equipment requiring extended manufacturing periods.
Stakeholder availability impacts review speed, especially when multiple consultants must coordinate their evaluations. Regulatory requirements can extend timelines when special testing, third-party certifications, or agency approvals are needed. We account for these variables in the submittal schedule to maintain realistic expectations and prevent delays from becoming project-critical issues.
Who Is Responsible, And What Information Should A Submittal Include?
Submittal success depends on clearly defined roles and comprehensive documentation, which enable effective tracking and review. Each project stakeholder brings specific expertise to the submittal process, and complete transmittal information ensures smooth coordination and accountability throughout the approval cycle.
Roles and Responsibilities
The design team, including architects and engineers, serves as the primary reviewer for compliance with specifications and design intent. We coordinate with these professionals throughout the review process, recognizing that they evaluate submittals against contract requirements, aesthetic standards, and technical performance criteria. Their approval authority extends to material selection, product substitutions, and compliance with building codes.
As the general contractor, we create the submittal schedule that sequences all required submittals based on construction timelines and critical path activities. We coordinate and conduct first-level reviews before transmitting packages to the design team, verifying completeness and basic conformance with contract documents. We also route approved submittals back to subcontractors and track response timelines to maintain project momentum.
Subcontractors prepare the technical content that forms the core of most submittals. They gather shop drawings, samples, and product data specific to their scope of work. Their deep trade knowledge enables them to select appropriate materials and document installation methods that meet project specifications while coordinating with adjacent systems.
Suppliers and fabricators provide manufacturer documentation, certifications, and test results that support the technical submissions. They supply cut sheets, performance data, warranty information, and compliance documentation that demonstrates product suitability. These parties often work directly with subcontractors to assemble complete submittal packages.
The owner, construction manager, or owner’s representative may set expectations and participate in reviews as defined by the contract. Their involvement typically focuses on aesthetic elements, long-lead equipment selections, or specialized systems where owner input affects final decisions. Contract documents define their review authority and required approval levels.
Key Information for Transmittals
Every transmittal requires specific administrative information to support proper tracking and coordination. The project name provides clear identification, while the specification section reference links the submittal to relevant contract requirements. Each submission needs a unique submittal number that distinguishes it from other packages and supports systematic tracking.
Revision and version numbers are critical when submittals require corrections or updates. We maintain clear version control to prevent confusion between draft and approved versions. Package numbers group related submittals when multiple items are submitted together for coordinated review.
The submittal manager’s contact information establishes clear accountability for document coordination and follow-up communication. We document submission and receipt dates to track review timelines against contract requirements. Required review completion dates help prioritize urgent submissions and identify potential schedule impacts.
Approver names identify the specific individuals responsible for each review level, whether general contractor personnel, architects, engineers, or specialty consultants. Response status fields capture approval decisions using standard terminology: Approved, Approved as Noted, Revise and Resubmit, or Rejected. These consistent response categories streamline communication and decision-making.
Notes and remarks sections provide space for detailed comments, requested changes, or clarification of review decisions. We emphasize clear notation of any deviations from the specifications, ensuring that deviations receive proper attention and approval before proceeding with procurement or installation.
How Do Submittals Differ From RFIs, And What Challenges Should Teams Plan For?
Submittals and RFIs serve distinct functions within construction project workflows. Submittals seek approval of specific materials, equipment, or methods to demonstrate compliance with project specifications. RFIs request clarification on ambiguous drawings, conflicting specifications, or construction details that prevent work from proceeding.
The relationship between these documents often creates a natural sequence in projects. RFIs frequently precede submittals when contractors need clarification before preparing detailed proposals. Conversely, submittals can trigger new RFIs when reviewers identify conflicts or incomplete information during evaluation.
Critical Challenges and Proven Solutions
Project teams face predictable challenges when managing the submittal process. We address them systematically through established protocols and clear communication standards.
Tracking and accountability issues emerge when submittals disappear into review queues without clear ownership. We implement comprehensive submittal logs that capture every submission and assign responsibility. Timely acknowledgments confirm receipt within 24 hours, while automated reminders alert responsible parties before missed deadlines occur.
Version control problems multiply when reviewers work from different document versions. We standardize file naming conventions across all trades and maintain a visible revision history. Each submittal receives a unique identifier to prevent confusion between original submissions and resubmissions.
Trade coordination requires alignment of related submittals across interconnected systems. We schedule coordination meetings that bring affected trades together before formal submission. Pre-submittal discussions identify potential conflicts early, when solutions remain simple and inexpensive to implement.
Approval delays threaten project schedules when critical path items stall in review. We prioritize long-lead and critical path submittals for expedited processing. Clear communication of schedule impacts helps design teams allocate review resources appropriately. Complete packages with all required documentation help prevent rejection cycles that extend approval timelines.
Miscommunication between contractors and design teams creates unnecessary friction and delays. We make submittals a standing agenda item in project meetings, ensuring regular status updates and accountability. Review responses include specific, actionable comments rather than generic rejection notices that force preparers to guess at deficiencies.
Quality issues arise when incomplete or poorly prepared submittals enter the review process. We run internal quality assurance checks before external submission, verifying completeness and compliance with specifications. Product selections on cut sheets receive clear highlighting to guide reviewer attention. Deviations and substitutions receive explicit notation along with justification, rather than hoping that reviewers will catch subtle changes.
Conclusion And Next Steps
Construction submittals bridge the gap between design intent and field conditions. We use them to confirm that every product, material, and method aligns with contract documents before installation begins. This verification process helps prevent costly rework, avoids delays from non-compliant materials, and reduces disputes by documenting approval decisions throughout construction.
Effective submittal management starts with clear processes established during preconstruction meetings. We build comprehensive submittal schedules that identify all required items and sequence them according to project needs. Critical-path activities and long‑lead materials receive priority attention to prevent schedule disruptions. Consistent version control systems track revisions and maintain approval workflow integrity. Regular coordination reviews keep trades aligned and catch potential conflicts before they impact the field. When questions arise, we use RFIs to clarify contract documents early rather than making assumptions that could lead to rejected submittals later.
Ready to streamline your submittal process and improve project coordination? Contact EB3 Construction to discuss how we manage quality control and project delivery, including Integrated Project Delivery (IPD), from preconstruction through closeout.
