Construction submittals, what they are and how they move through a project
Construction submittals are the documents a contractor sends to the design team before buying, fabricating or installing anything: product data, shop drawings, samples, test reports, certificates and, at the end, warranties and O&M manuals. They are how the architect confirms that what shows up on site is what the contract documents describe. This guide covers who prepares them, who reviews them, when they happen, the main types, the standard workflow and the Division 01 section that governs all of it.
What a submittal actually is
A submittal is a formal package that shows how the contractor intends to meet a specific requirement of the specifications or drawings. It does not change the contract. The architect reviews it for general conformance with the design intent, the contractor stays responsible for quantities, dimensions, means and methods and coordination with other trades. That split of responsibility is written into the general conditions and repeated in almost every reviewer stamp.
Every requirement starts in the project manual. Each technical section, for example 08 71 00 Door Hardware or 03 30 00 Cast-in-Place Concrete, has a Part 1 article usually numbered 1.4 Submittals (sometimes split into Action Submittals and Informational Submittals) that lists exactly what the contractor must send. Read those articles across 400 to 3,000 pages and you have the full list of construction submittals for the job, which is what a submittal register records.
Who prepares construction submittals and who reviews them
- The specialty subcontractor or supplier prepares the package for its own spec sections: the door hardware consultant writes the hardware schedule, the steel fabricator draws the shop drawings, the TAB agency issues the 23 05 93 report.
- The general contractor's project engineer logs every required item, checks each package for completeness and coordination, stamps it as reviewed by the contractor and transmits it.
- The architect reviews and returns a stamp, and routes packages to consultants (structural, MEP, civil, landscape) when the section belongs to them.
- The owner or owner's representative usually receives copies of selected items such as finish samples, equipment and closeout documents, and follows status rather than stamping.
- The superintendent uses the returned stamp in the field: no approved submittal, no installation.
When submittals happen in a project
Submittals start at buyout. As soon as subcontracts are awarded, the project engineer turns the spec into a submittal log with required-by dates, and each sub is told what it owes and when. Long lead items come first: switchgear, elevators, curtain wall, structural steel, rooftop units and door hardware often need approval months before installation because fabrication only starts once the stamp comes back.
Informational submittals such as test reports, inspection results and installer qualifications arrive during construction. Closeout submittals (warranties, O&M data, attic stock receipts, record drawings) are collected at the end and assembled into the closeout binder that goes to the owner before final payment.
The main types of construction submittals
Specs divide submittals into three groups. Action submittals need a review response before the work proceeds. Informational submittals are received for record. Closeout submittals complete the contract.
| Type | Group | Typical example |
|---|---|---|
| Product data | Action | Manufacturer data sheets for TPO membrane under 07 54 23 |
| Shop drawings | Action | Rebar placement drawings for 03 30 00, steel connection details |
| Samples | Action | Paint drawdowns for 09 91 23, finish hardware samples |
| Mockups | Action | Exterior wall mockup with window, flashing and sealant |
| Test reports and certificates | Informational | Concrete cylinder breaks, mill certificates, manufacturer certificates |
| Qualification data | Informational | Installer certification, welder qualifications |
| Warranties | Closeout | Roofing system warranty, door hardware warranty |
| O&M data | Closeout | Equipment manuals for Division 23 and 26 |
For a longer breakdown with sample rows, see types of submittals in construction.
The standard submittal workflow
- 1The project engineer reads each spec section and creates one log row per required item, with the paragraph reference, type, responsible company and required-by date.
- 2The sub prepares the package and sends it to the GC.
- 3The GC reviews it for completeness and coordination, stamps it and sends it with a transmittal to the architect.
- 4The architect reviews, sends parts to consultants if needed, and returns a stamp: Approved, Approved as noted, Revise and resubmit, Rejected or For record only.
- 5Revise and resubmit or Rejected sends the package back to the sub, and the resubmittal gets the next revision number, for example 087100-002-R1.
- 6Approved items are released for procurement and installation, and closeout items are collected for the binder.
Each step, its stamps and what they mean are covered in detail in the construction submittal process.
Division 01 Section 01 33 00 Submittal Procedures
The general rules for every submittal live in Division 01, most often Section 01 33 00 Submittal Procedures. It is the first section a project engineer should read, because it overrides habit. It typically sets:
- the submittal schedule the contractor must issue at the start of the job and keep updated,
- the review period for the architect and the extra time when a consultant is involved, stated in the contract as a number of days,
- the numbering format, often spec section, sequence and revision,
- the transmittal form, required contractor stamp and electronic format (usually PDF),
- the rules for resubmittals, deviations and substitution requests, which go through a separate procedure,
- what counts as an action, informational or closeout submittal and how each is returned.
Technical sections then add their own Part 1 submittal articles on top. A missed article in Division 08 is still a missed submittal, even if 01 33 00 was followed perfectly.
Where construction submittals go wrong
- An item buried in a Part 2 or Part 3 paragraph never makes it into the log.
- A package goes out without the GC review, comes back rejected and costs a full cycle.
- Two revisions of the same shop drawing circulate by email and the field builds from the old one.
- Nobody knows who holds the package, so it sits on a desk while the lead time runs out.
- Closeout documents are chased in the last month, long after the subs have left the site.
Where submittal software helps
The hardest part is the first step: reading the spec. Submittal reads the project manual, finds every MasterFormat section and its submittal articles, and builds the register with each row linked to the exact paragraph it came from, so a reviewer can check the source in one click. You merge, split and assign rows, then build packages in your own numbering format.
After that, the submittal tracking software side takes over: routing to the GC reviewer, the architect and consultants, stamps, comments, automatic next revisions, reminders to whoever holds the ball and a full version history. Approved warranties, certificates and O&M data roll into the closeout binder on the Business and Enterprise plans. Subs and external reviewers join a paid project at no cost.
Frequently asked questions
Are construction submittals part of the contract documents?
No. The specifications and drawings are the contract documents. A submittal shows how the contractor proposes to meet them, and an approval does not authorize a change unless the deviation was clearly identified and accepted through the procedure the contract sets for it.
Who is responsible for a submittal after it is approved?
The contractor remains responsible for dimensions, quantities, coordination and conformance with the contract documents. The architect's review covers general conformance with the design intent, which is why reviewer stamps carry that limitation in their wording.
How long does submittal review take?
The review period is set by the contract, usually in Section 01 33 00 and the general conditions, and often extended when a consultant has to review the package. Build that period, plus any resubmittal cycle, into every required-by date.
What is the difference between a submittal log and a submittal register?
Most teams use the words interchangeably. When a distinction is made, the register is the complete list of required items taken from the spec, and the log is the running record of packages, revisions and stamps. Submittal keeps both in one place.
Can I build a submittal list without reading every page of the spec?
Yes. Upload the project manual to Submittal and it reads the submittal articles of every section for you, then shows each row with its paragraph reference so you confirm it instead of typing it. See construction specification software.