What goes in a submittal package

A submittal is not a single document. It is a package, and reviewing it well starts with knowing the parts and which ones decide approval. A package missing the certification the spec required is incomplete no matter how polished the cut sheets are. Here is what goes in one, and what each part is for.

Product data and cut sheets

Product data is the manufacturer literature that describes a product off the shelf: catalog pages, cut sheets, data tables, and ratings. A cut sheet is the single page for one product, and it is both the most common item in a package and the first place a reviewer looks for a deviation. Read past the brand name to the model number and the actual values. The cover can name the specified manufacturer while the attached sheet is a cheaper line that misses a rating.

Shop drawings

A shop drawing is prepared for this project, not pulled from a catalog. It shows how a specific item will be fabricated and installed, dimensioned to the real building: connection details, anchor spacing, clearances, and how the piece meets the work around it. Shop drawings are where detail and installation deviations surface, because they show the sub's intent against the design team's details. Many carry a "verify in field" note, which puts the burden of field verification on the sub before fabrication.

Samples and mockups

Samples are physical pieces submitted for sign-off on color, finish, and texture, the things a drawing cannot settle. For larger or more visible work, the spec may call for a mockup, a full-size assembly built so the team can approve appearance and workmanship before the real work proceeds. Once a sample or mockup is approved, it becomes the standard the installed work is judged against.

Certifications, test reports, and warranties

These prove the compliance a data sheet only claims: UL listings, fire-test reports, structural calculations, mill certificates, Buy America documentation, and warranties. They are also the parts subs most often leave out, hoping the reviewer fixates on the product data that is present. A missing certification is a real deviation, because without it compliance cannot be confirmed.

Action vs informational submittals

Section 01 33 00 of the spec sorts submittals into two kinds, and the distinction sets how hard you review each one. An action submittal needs the design team's approval before the work proceeds, such as product data, shop drawings, and samples, and carries most of the deviation risk. An informational submittal is for the record, such as installation instructions, test reports, and certificates, and is reviewed for information rather than approval. Some certifications are action items and some are informational, so the spec's submittal list, not a guess, decides which is which.

A third group shows up at the end of the job: the closeout documents, including the operations and maintenance manual and as-built drawings, turned over so the owner can run and service the building.

The transmittal

The transmittal is the cover form that routes the package. It records who sent what, when, which spec section it answers, and what action is requested. Open it first: it tells you what the sub claims to be sending, so you can inventory the package against both the transmittal and the spec before you judge any single piece.

Review the package as a whole first

Before grading any one document, confirm the package is complete against Part 1 of the spec. If the spec called for three samples and a fire-test report and you only see product data, stop and return it as incomplete. That is its own deviation type, submittal package incompleteness. Spending an hour on cut sheets when the certification that decides approval was never sent is wasted time.

Frequently asked questions

What is included in a submittal package?

A submittal package typically includes product data and cut sheets, shop drawings, physical samples, and certifications such as UL listings, fire-test reports, structural calculations, and warranties. Exactly what is required is listed in Part 1 of the governing spec section.

What is the difference between an action submittal and an informational submittal?

An action submittal needs the design team's approval before the work proceeds, such as product data, shop drawings, and samples. An informational submittal is provided for the record rather than approval, such as installation instructions or test reports, and carries less deviation risk.

What is the difference between product data and a shop drawing?

Product data is manufacturer literature, such as a cut sheet, that shows a product's ratings and characteristics off the shelf. A shop drawing is prepared for this project, showing how a specific item will be fabricated and installed and dimensioned to the actual building.

Next steps

Once you know the parts, the work is comparing them to the spec. Walk through that in how to review a construction submittal, see the six categories of submittal deviation those parts produce, or run a review on a real package.