What Is a Submittal in Construction?
Most construction professionals have likely heard the word “submittal.” This is a commonly used term, but it lacks a single definition. What qualifies as a construction submittal can vary based on the relevant scope of work, project type, and the professional performing the work.
In general, construction submittals are documents or other information that one party is obligated to submit to another party to perform the work on a project. The specific submittal requirements are typically in the contract documents.
Why Construction Submittals Matter
Submittals help verify that the contractor’s planned work aligns with the project’s design intent, specifications, and contractual requirements before installation or fabrication begins.
On most projects, submittals serve several operational purposes:
- Clarify how materials and systems will be incorporated into the work
- Confirm compliance with project specifications
- Reduce coordination issues before installation
- Identify discrepancies early in the construction process
- Support communication between contractors, architects, owners, subcontractors, and consultants
Common Types of Construction Submittals
If you’re using the A201®-2017 – General Conditions of the Contract for Construction, the term “submittal” appears throughout the document, although it is not specifically defined. Section 3.12 addresses several common construction submittals, including shop drawings, product data, and samples.
Shop Drawings
Under A201, “Shop Drawings” are defined as: “drawings, diagrams, schedules, and other data specially prepared for the Work by the Contractor … to illustrate some portion of the Work.”
In practice, shop drawings show how the contractor intends to implement the contract requirements. These documents are prepared specifically for the project and reflect how the contractor intends to fabricate, assemble, and install portions of the work.
Product Data
A201 defines “Product Data” as: “illustrations, standard schedules, performance charts, instructions, brochures, diagrams, and other information furnished by the Contractor to illustrate materials or equipment for some portion of the Work.”
Unlike shop drawings, product data is usually sourced directly from manufacturers and not created specifically for the project.
Contractors generally mark up product data to identify:
- Selected models
- Product options
- Finishes
- Performance characteristics
- Conformance with the project specifications
Product data allows the architect to review whether proposed materials and equipment meet the project specifications and design intent.
Samples
“Samples” are defined as: “physical examples that illustrate materials, equipment, or workmanship, and establish standards by which the Work will be judged.”
In practice, samples may range from material or finish selections to larger mockups used to evaluate appearance, workmanship, and installation quality. Specifications may require the contractor to provide mockups to demonstrate the contractor’s understanding of the design intent and installation requirements.
Common examples include:
- Finish samples
- Material boards
- Window assemblies
- Exterior wall mockups
- Flooring installations
Once submitted, the samples or mockups allow the architect to evaluate whether the contractor’s understanding aligns with the design intent and installation requirements.
Construction Submittals on Federal Projects
If you’re performing work on a federally funded construction project, the Federal Acquisition Regulations (FAR) govern many project requirements.
Under the FAR, submittals may include:
- Safety plans
- Schedules
- Shop drawings
- Coordination drawings
- Samples
- Calculations
- Product information
- Mockups
Additionally, shop drawings may include “fabrication, erection and setting drawings, manufacturers’ scale drawings, wiring and control diagrams, cuts or entire catalogs, pamphlets, descriptive literature, and performance and test data.” 48 CFR § 552.236-72 (West, 2022).
Who Is Responsible for Construction Submittals?
On most projects, the prime contractor and subcontractors are responsible for preparing and furnishing submittals to the architect or the owner.
Where AIA Contract Documents are used, the architect reviews the submittals for the limited purpose of checking for conformance with the project’s design concept, and not the accuracy and completeness of finite details.[1]
Those responsibilities generally remain with the contractor, who controls the means and methods of construction and coordination among trades.
Are Submittals Part of the Contract Documents?
Generally, submittals are not considered a part of the contract documents. Instead, submittals are primarily intended to demonstrate:
- Compliance with project requirements
- Alignment with the architect’s design intent
- Material and equipment selections
- Coordination of construction activities
Submittals are also not typically intended to change the overall project design. Any significant design revisions usually require a formal modification process.
Key Takeaways on Construction Submittals
“Submittal” is a broad and generic term that can carry different meanings depending on the project and contract requirements.
In most cases, construction submittals function as tools that allow contractors, architects, and owners to evaluate that the work aligns with the project’s design intent throughout construction.
Whether the submittal involves shop drawings, product data, samples, or mockups, understanding the purpose and limitations of the submittal process helps reduce project risk, improve coordination, and support smoother project execution.
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