Submittals: A Comprehensive Guide for Construction Pros

Submittals are packages of documents, drawings, or samples that contractors send to architects or engineers for review before building anything. This step ensures the proposed materials and methods match the plans and specs.

But unless someone’s taken the time to walk you through it, it’s easy to feel lost in all the drawings, product sheets, and approval stamps.

In this comprehensive guide to submittals, you’ll learn:

• What a submittal is and how it fits into the construction process
• The difference between submittal vs submission
• How to handle the submittal process like someone who’s been doing this for years

What is a Submittal?

A submittal is a formal package you send before you build, install, or even order anything. That could be shop drawings, product brochures, a carpet sample, or anything else that needs the architect’s sign-off.

Submittals are part of the checks and balances, keeping construction projects from going off track. They give everyone a chance to make sure what’s getting built lines up with what’s in the drawings and specs. 

Skip this step — or treat it like a formality — and you risk delays, rework, or worse.

Submittals vs. RFIs: What’s the Difference?

A submittal and an RFI are two different tools that solve different problems, but they often get used together.

Think of it like this:

• A submittal is for approval. You’re showing what you plan to use.
• An RFI (request for information) is for clarification. You’re asking, “What exactly do you want here?”

Let’s say the drawings call for “metal canopy anchors,” but don’t say what type, so you have no clue if they’re expansion bolts, sleeve anchors, or welded plates. 

You’re not going to gamble on that and hope it passes inspection. You’d send an RFI asking for clarification. 

Once the architect confirms the anchor type and size, that’s when you’d put together a submittal with the product data and install details.

In a perfect world, RFIs come first, and all questions are answered before you get into submittals. In reality, however, submittals sometimes surface questions you didn’t see coming. 

That’s fine — just be ready to pause, ask, and circle back. It’s not unusual for the RFI and submittal process to overlap, especially on bigger jobs with a lot of moving parts.

Submittal vs Submission: What’s the Difference?

Although used interchangeably, submittal and submission aren’t the same thing. 

Here’s the difference:

• Submittal is the actual document package you send for approval. Think: shop drawings, product data, material samples—the physical (or digital) stuff.
• Submission is the act of sending something. It’s what you do when you forward a submittal to someone.
  

So when someone says “We need that submittal,” they mean the files or materials for review. When they say “Thanks for your submission,” they’re acknowledging you sent it.

Why does this matter?

Using the wrong word can make you sound green, especially in meetings or emails with architects, owners, or seasoned GCs. In the U.S. construction industry, “submittal” is the standard term for project approvals.

Here are a few examples to keep it straight:

• Correct: “We received the lighting fixture submittals yesterday.”
• Not quite right: “We received the lighting fixture submissions yesterday.”
  
• Correct: “We’re preparing the door hardware submittal for next week.”
• Also correct: “We’ll submit it by Friday.”
• Don’t say: “We’re preparing the door hardware submission.”

Types of Submittals

Submittals come in all shapes and sizes. Some are detailed drawings, some are slick brochures, and some show up as cardboard boxes full of tile. 

Here are the main types you’ll run into, and what each one does for the project:

1. Shop Drawings

Shop drawings are detailed, contractor-prepared drawings that show how a specific item will be fabricated, assembled, or installed on your project. They’re not the same as design drawings from the architect—they go deeper into the actual means and methods of construction.

These are often required for custom or prefabricated components like structural steel, ductwork, millwork, elevators, curtain walls, cabinetry, or even kitchen hood systems. Shop drawings show dimensions, materials, connection points, installation layouts, tolerances, and how the item ties into other systems.

As a new construction pro, you should know:

• Shop drawings must match the design intent, but are developed by the people doing the work—subs, fabricators, or suppliers.
• Many trades, like HVAC and electrical, must coordinate their shop drawings with others to avoid clashes.
• Design teams often review these drawings for layout, access, and code compliance—not how to build it.

A well-prepared shop drawing can prevent expensive change orders down the line. A sloppy one can send a whole system back to the shop.

2. Product Data

Product data submittals include manufacturer documents, like cut sheets, but go further. A product data submittal provides all the technical information needed to confirm the item meets project specs. That means dimensions, performance data, certifications, warranty details, and installation requirements.

You’ll use product data submittals for things like HVAC units, lighting fixtures, flooring systems, or even caulking. The goal is to show the exact product being proposed—and prove it meets the design team’s standards.

3. Samples

Samples—also known as physical mock submittals—are real, tangible pieces of the materials you plan to install. If something affects how the project looks or feels, there’s a good chance you’ll need to submit a sample.

This includes paint swatches, tile pieces, carpet squares, stone slabs, countertop finishes, wood veneers, metal trims—even fabric samples for things like acoustic panels or seat cushions.

The purpose is to give the architect and owner a chance to see, touch, and evaluate the actual product before it shows up on site. It’s not just about color either; texture, gloss level, and overall finish matter too.

Some projects may also require labeled samples or side-by-side comparisons to make a final selection. When aesthetics or durability are critical, this type of submittal can make or break the approval.

4. Mockups

Mockups are full-scale or partial assemblies that show how different materials, components, or finishes come together in the real world.

Unlike samples, which show a single product, mockups give the design team and owner a chance to evaluate the look, feel, and build quality of an actual installation.

Think of a mockup as a dry run. It could be a section of a curtain wall, a hotel bathroom layout, or a piece of finished millwork—built exactly as it will appear on site. Some mockups are installed temporarily on location; others are reviewed off-site or submitted with photos for approval.

They’re used to confirm things like workmanship, joint alignments, material transitions, and even lighting effects. Once approved, the mockup sets the quality benchmark for the rest of the work.

5. Calculations

Engineering calculations are submitted to prove that a system or component will perform safely and correctly.

You won’t need them on every job, but when they’re required, they’re non-negotiable. Think structural load calcs for steel beams, voltage drop and short-circuit calcs for electrical panels, or HVAC sizing calcs for mechanical systems.

These submittals are typically prepared by licensed engineers or specialty contractors and may need to be stamped by a P.E. (Professional Engineer) depending on project or code requirements.

6. Vendor Lists

On bigger jobs—especially public or institutional projects—owners want transparency about who’s doing the work. A vendor list submittal lays it all out: every subcontractor, supplier, and specialty vendor tied to the job.

This type of submittal usually includes:

• Company names and trade roles
• Contact information
• Scope of work
• Licensing or certification details (if required)

It gives the owner, architect, and GC a clear picture of who’s involved, allowing them to flag any unapproved substitutions or unqualified vendors before work begins.

7. Closeout Docs

Closeout submittals are the final submittals you’ll hand over at the end of the project, and they’re just as important as anything submitted during construction.

Closeout submittals typically include:

• As-built drawings: Updated to reflect what was installed, including any field changes.
• Warranties: Covering materials, equipment, and workmanship.
• O&M manuals: Operation and maintenance guides for everything from HVAC systems to elevator panels.
• Test results and certifications: Verifying that systems like fire alarms or sprinklers were properly tested.

These documents give the owner everything they need to operate, maintain, and eventually troubleshoot the building. Final payment often depends on turning in a complete and approved closeout package.

What You Should Include in a Submittal Package

You don’t need to overthink this, but you do need to be thorough. A messy or incomplete submittal slows everything down. Here’s what a clean package typically includes:

• Project name
• Spec section number (e.g., 09 68 00 for carpet)
• Submittal title and number (for tracking)
• Version or revision number (if it’s been updated)
• Who’s submitting it (company, contact person)
• Who’s managing it (usually the GC’s PM or PE)
• Date submitted
• Date received (by the reviewer)
• Who needs to review it (architect, engineer, owner rep)
• Response status – Approved / Approved as Noted / Revise & Resubmit / Rejected
• Reviewer notes or comments

Also include a cover sheet that lists what’s in the package. If you’re sending 10 fixture cut sheets and 3 drawings, make that clear up front so reviewers know what they’re looking at and what to return if something’s missing.

If you’re using submittal software, most of this info gets logged automatically. But whether it’s digital or on paper, the goal is the same: make the submittal easy to track, easy to review, and impossible to misunderstand.

Why Submittals Matter in Construction

Submittals are one of the most important tools for keeping a project on track and spec. Here’s why they matter:

• They protect the owner and the architect’s vision. Submittals make sure that what gets built matches the design and specs. It’s the architect’s way of confirming, “Yes, this is the material or product we had in mind.”
• They catch mistakes early, before they cost you. If something’s wrong with a shop drawing or product spec, it’s way easier (and cheaper) to fix it on paper than after it’s installed. Think of it as a safety net for your team and your budget.
• They support quality control and reduce risk. Submittals give you a formal record of what was proposed and approved. That makes it easier to track changes, avoid disputes, and hold everyone accountable if something goes off the rails.

If submittals get skipped, rushed, or ignored, the consequences can be painful:

• Delays – Work gets held up waiting for approvals or fixing installation errors.
• Legal trouble – Installing unapproved materials can violate contracts and lead to claims.
• Rework – Tearing out and replacing finished work isn’t only frustrating but also expensive.

The Submittal Process: Step-by-Step

Every construction project needs a submittal process, but not every project handles it the same way. Some teams move too slowly and jam up procurement. Others rush approvals and miss key details. 

The best-run jobs find the middle ground: moving fast enough to stay on schedule, but careful enough to avoid costly mistakes.

Here’s how a solid submittal process usually plays out:

1. The GC Builds a Submittal Schedule

Before anyone starts drafting shop drawings or collecting samples, the general contractor (GC) creates a submittal schedule. It lays out:

• What needs to be submitted
• Who’s responsible for each item
• When it needs to be reviewed
• And how it fits into the overall project timeline

GCs will prioritize submittals for items with long lead times (like mechanical units or structural steel) ahead of things like light switches or trim. The idea is to avoid bottlenecks before they happen.

A good submittal schedule is created early and updated often. It’s one of the first planning tools you should align with your project schedule.

2. Contractors Prep and Send Their Submittals

Once the GC greenlights the schedule, the specialty contractors get to work. Each sub or vendor reviews the drawings and specs for their trade, checks for performance requirements, brand preferences, code references — you name it — and starts gathering what’s needed.

This might be:

• A single item, like a shop drawing for the elevator pit
• A full package, like product data for all plumbing fixtures
• Or a mix, depending on what’s needed and when

Some contractors send early partial submittals for critical items to get faster feedback (like mix designs for the foundation). Others submit a full package all at once when they’re confident everything’s aligned. 

Either way, once it’s ready, it goes to the GC for review.

3. The GC Reviews First

The GC’s review isn’t a rubber stamp. It’s a quality filter.

They check that the submittal is complete, accurate, and in line with the specs. But more than that, good GCs look at how submittals from different trades line up. 

For example:

• Are mechanical and structural trades calling out the same ceiling heights?
• Do electrical fixture types match the ceiling grid layout?
• Will two different subs end up trying to occupy the same space?

Catching these things early saves everyone from change orders and rework later.

4. The Design Team Reviews and Responds

Once the GC signs off, the submittal moves to the architect, engineers, or consultants for their review. They look at design intent, performance standards, and compliance with the contract docs.

There are a few ways the design team might respond:

• Approved – No changes, good to go
• Approved as Noted – You can proceed, but with minor changes
• Revise and Resubmit – Needs corrections and must be re-reviewed
• Rejected – Not acceptable; usually the wrong product or missing key info

“Approved as Noted” is common. It means the design team saw something they want adjusted, but it’s not a big enough issue to hold up the job. If the changes are simple, the sub can usually move forward while making the corrections.

If it’s rejected, though, it goes back to the contractor for a full revision and new review cycle.

What Causes a Submittal to Get Rejected?

Most rejections happen for predictable reasons:

• The product doesn’t match the specs
• Required documents or certifications are missing
• The submittal lacks detail or is just incomplete
• The product’s not coordinated with other trades

To avoid all this, it helps to slow down and double-check. A clear, complete submittal that aligns with the drawings and specs is a lot more likely to move through quickly.

Best Practices for Managing Submittals

If you’ve ever had a crew standing by because a key submittal was still “in review,” you already know how frustrating that is. 

A few simple habits can save you weeks of headaches down the line. Here’s what works—straight from the field:

1. Start early — really early

Don’t wait until crews are on-site to think about submittals. Bring it up at the kickoff meeting.

Let’s say your HVAC sub is providing rooftop units with a 10-week lead time. If you don’t submit that equipment data until week four of construction, you’re already behind. 

Flag long-lead items early and get them into review before they hold up the schedule.

2. Keep a detailed submittal log and use it

You need more than a spreadsheet collecting dust. Track every submittal like it’s a mini project:

• What’s due?
• When was it submitted?
• Who’s reviewing it?
• When is it supposed to come back?

If the tile submittal is still in review and floor framing starts next week, you’d better follow up. Whether you’re using Procore, PlanGrid, or a shared Excel sheet, make sure the log is current and visible to your team.

3. Be clear and specific when submitting

The architect isn’t going to dig through a 200-page PDF looking for the paint color you’re proposing. Highlight it. Label it. Include a short cover note that says, “We’re submitting Sherwin-Williams Agreeable Gray, SW 7029, for all interior walls per spec Section 09 91 23.”

The more effort you put in upfront, the faster it comes back approved. Vague or messy submittals almost always get kicked back with questions, and nobody has time for that.

4. Push for realistic review timelines

Architects and engineers juggle a lot. But that doesn’t mean submittals can sit in limbo forever.

If your schedule shows ceiling tile installation starting in three weeks, make sure the ceiling tile submittal is reviewed and returned in time. 

A good rule of thumb is to allow 10–14 business days for review, unless the contract says otherwise. And if something’s truly urgent, don’t just mark it “urgent” — pick up the phone and explain why.

5. Know your contract—and your specs—inside and out

Most contracts spell out submittal procedures in black and white. Some even require a full submittal schedule 30 days after the award. 

Specs will tell you exactly what’s needed — how many copies, what kind of certification, even if a P.E. stamp is required.

Don’t guess. If the spec says every fire-rated door needs test documentation and you forget to include it, your submittal will be kicked back. Worse, it might delay material ordering and throw off the whole schedule.

Common Submittals Pitfalls to Avoid

If you’re new to managing submittals, here are some common missteps to avoid from day one:

1. Submitting incomplete or inaccurate documents

A rejected submittal wastes time and makes you look sloppy.

Review everything before it leaves your inbox. Don’t assume the sub or supplier got it right. 

Take five minutes to spot-check the details: Does it match the spec? Is the finish correct? Is it missing test data or certifications? 

2. Not following the spec book closely

The spec book isn’t just filler. It tells you exactly what needs to be submitted, how many copies, and sometimes even the format.

For example, Section 09 might say, “Submit three labeled samples of each floor tile for approval.” If you only send one unlabeled tile, you’re not getting a stamp. 

Read the submittal section of every relevant spec and treat it like a checklist.

3. Letting submittals stall construction

This one hurts the most: the crew’s ready to go, but the materials are sitting in limbo because the submittal never got approved.

It happens all the time. A fixture install is scheduled, but the product submittal wasn’t submitted early enough, or the architect hasn’t approved it yet. Now you’re rescheduling trades and losing time. 

Avoid this by mapping out which submittals are tied to which milestones and by making sure those are submitted and tracked early.

4. Skipping the proper review chain

Submittals should never jump the line. Subs submit to the GC. The GC reviews and stamps it. Then it goes to the architect or engineer.

Letting a sub email an architect directly breaks protocol and leads to confusion. Worse, it can result in an unapproved material being installed without the proper sign-offs. 

Always follow the chain and make sure everyone on your team knows the process.

5. Forgetting to follow up on delayed or returned submittals

Don’t assume “no news” means everything is fine. Submittals get lost, bogged down, or flagged with questions that never get answered.

If your flooring submittal’s been sitting with the architect for three weeks, and flooring starts in two, you need to chase it. 

A quick email with a message that goes something ike “Just checking in on the status of the flooring sample submittal, needed by X date” can save you from major delays. 

Track review timelines in your log and follow up before things get tight.

Final Thoughts

Submittals are one of the most important tools for keeping your project on time, on spec, and out of trouble. Knowing how submittals work — and how to manage them well—can make you a stronger, more trusted construction pro.

To make your life easier, we’ve put together a ready-to-use construction submittal template you can use to track approvals, catch missing info, and stay organized from day one.