What is a submittal in construction, and what does approval actually mean?

A submittal in construction is a document, drawing, product data sheet, or physical sample the contractor sends to the design team for review before the related work is fabricated, ordered, or installed. Its purpose is to confirm that what the contractor intends to provide matches what the contract documents require. For an owner running repeatable buildouts, this is the stage where the building you will operate for the next fifteen years is actually decided.

The four types of construction submittals#

Who reviews a submittal, and in what order#

1. 01The subcontractor or supplier prepares the submittal and sends it to the general contractor
2. 02The general contractor reviews it for coordination with adjacent trades, then transmits it
3. 03The architect or engineer of record reviews it against the design concept and returns an action
4. 04The owner reviews it where the specifications require owner review, typically for brand standards or equipment
5. 05The action is recorded, and the work proceeds or the submittal is revised and resubmitted

What does an approved submittal actually mean?#

Less than most owners think, and the contract documents are unambiguous about it. AIA A201-2017 states that the architect reviews submittals for the limited purpose of checking conformance with the design concept, not the accuracy and completeness of finite details; the contractor keeps responsibility for means, methods, and coordination. EJCDC C-700-2018 is blunter: submittals are not Contract Documents, and a review cannot serve as a change order. A stamp on a submittal does not transfer responsibility to the design team and does not amend your specification.

Where substitutions enter the process#

Specifications commonly name a product followed by "or equal," permitting the contractor to propose an alternative meeting stated requirements. On a single project this is ordinary. On a program of forty stores, it is how your standard erodes: each site proposes a reasonable equivalent, nobody compares the substitution approved in one market against another, and four years later you operate a dozen rooftop unit models where the prototype named one, with no document anywhere that says so.

• Warranty terms and start dates change with the manufacturer
• Spare parts and service capability shift away from what your vendor stocks
• Physical fit changes dimensions, curb, and structural load, feeding stale as-built drawings
• Energy performance and rebate eligibility can be quietly disqualified
• Landlord consent granted for one unit is not consent for another