Understanding “no exceptions taken” and mastering construction submittals is essential for ARE success and professional practice. This comprehensive guide explains the submittal process, types, and review actions that translate design intent into construction reality. Learn how to navigate this critical quality control mechanism that prevents costly mistakes and ensures successful project delivery.
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What Are Submittals in Construction?
A submittal is a contractor-prepared document, sample, or other formal information package that demonstrates how they plan to fulfill the requirements specified in the construction documents before materials are purchased or work is installed.
Have you ever wondered how architects ensure contractors actually build what was designed? The answer lies in these critical communication tools that translate design intent into construction reality. Although the public and private bidding process differs significantly in procedures, construction submittals are essential and you will see them on every project type.
At its core, a submittal is a contractor-prepared document or sample that demonstrates how they plan to fulfill the requirements specified in the contract. Furthermore, the submittal process represents a crucial checkpoint after the construction bidding process has concluded and the project moves from preconstruction into active construction phases. In other words, think of submittals as the construction world’s version of “show your work” from math class—except with higher stakes and fewer No. 2 pencils.
What Is a Submittal Package?
A submittal package typically includes contractor-prepared documents that detail exactly how they plan to fulfill the requirements specified in the construction documents. Think of submittal documents as the contractor’s homework assignment—they’re showing the design team precisely what products, materials, and methods they intend to use before purchasing or installing anything on the project. Oftentimes templates are used to fill out product data in order to create an organized approach at sharing many submittals over the course of a construction project.
The primary purpose of submittals is to verify that what gets built matches the design intent documented in the drawings and specifications. Additionally, they bridge the gap between the design team’s requirements and the contractor’s execution, serving as a crucial quality control mechanism. It’s important to understand the definition of submittal in this context—while a submission is a general term for anything provided for review, a submittal in construction specifically refers to the formal documentation provided by contractors to verify compliance with project requirements.
Submittals work in conjunction with other construction documents to create a complete picture:
- Drawings show where and what to build
- Specifications detail the quality standards and requirements
- Submittals confirm the specific products and methods that will be used
As a result, understanding the relationship between drawings and specifications is crucial for creating clear submittal requirements.
Have you ever heard about using “or equal” language in specifications? A submittal is the point in time where this final determination of a product, or its equivalent, is made. The contractor will use that spec language to choose a product, or its equivalent, and present it to the owner and design team for final approval before it is installed.
Nearly 50% of construction disputes involve submittal-related issues, highlighting why understanding this process matters for both exam success and professional practice.
Understanding “No Exceptions Taken”
What does “No Exceptions Taken” mean? “No Exceptions Taken” is an architect’s review response indicating that a submittal appears to conform with design requirements without transferring liability. Unlike “Approved,” this careful terminology acknowledges completion of review while maintaining that contractors remain responsible for dimensions, accuracy, and construction means and methods.
No Exceptions Taken vs. Approved: Key Differences
| “No Exceptions Taken” | “Approved” |
|---|---|
| • Indicates submittal generally conforms to requirements | • Suggests complete acceptance of all details |
| • Maintains contractor’s responsibility for means and methods | • May transfer some liability to the design team |
| • Preserves professional boundaries between design intent and execution | • Can blur the lines of responsibility |
| • Preferred terminology in modern construction administration | • Increasingly avoided due to liability concerns |
“No Exceptions Taken” is the architect’s careful way of saying: “Based on our review, this submittal appears to meet the design intent as documented in the contract, but the contractor remains fully responsible for dimensions, quantities, fabrication methods, installation techniques, and coordination with other work.”
The legal significance of this terminology cannot be overstated. When architects use “No Exceptions Taken” instead of “Approved,” they:
- Confirm they’ve reviewed the submittal as required by contract
- Indicate the submittal appears to conform to design intent
- Maintain proper liability boundaries
- Do NOT take responsibility for the contractor’s means and methods
- Do NOT relieve the contractor of any contractual obligations
Construction Submittals Examples
Understanding the various examples of construction submittals is essential for both the ARE Construction & Evaluation (CE) exam and the CDT certification. Here are the most common types you’ll encounter:
Product Data
Product data submittals include manufacturer cut sheets, technical data, and installation instructions for materials and equipment. These represent about 70% of all submittals on a typical project and confirm the exact model, size, color, and specifications of products before they’re ordered.
Shop Drawings
Shop drawings are detailed drawings prepared by fabricators or manufacturers showing exactly how components will be made. These are crucial for complex elements like steel connections, cabinetry, or curtain wall systems that require custom fabrication.
Samples
Samples are physical examples of materials, finishes, or colors. These allow the design team to evaluate appearance, texture, and quality through actual physical specimens rather than just printed or digital representations.
Quality Assurance/Control Submittals
Quality submittals include test reports, certifications, and qualifications that verify compliance with specified standards or requirements. These ensure that both products and installers meet quality benchmarks.
Coordination Drawings
Coordination drawings show how multiple systems will fit together in tight spaces, helping to prevent clashes between different building elements like mechanical ducts and structural beams.
Substitution Requests
Substitution requests are proposals to use alternative products to those specified. While technically not submittals, they’re often confused with them and require careful evaluation against the original requirements.
Closeout Submittals
Closeout submittals are provided at project completion and include warranties, maintenance information, and operation manuals that support facility management after construction. They are are often reviewed during the project closeout process, which includes activities like the punch list and other documentation required for project completion.
Construction Submittals Process
The construction submittal process follows a structured workflow that maintains quality control throughout:
1. Specifications Establish Requirements
Division 01 (General Requirements) outlines the overall submittal process, while technical sections detail specific submittal requirements for each product. These specifications form the foundation of what submittals are required and how they should be processed. Different types of specifications will affect how submittal requirements are presented and organized.
2. Contractor Prepares Submittal Schedule
Early in the project, the contractor creates a submittal schedule identifying what submittals will be provided and when, aligning with the construction schedule to ensure timely review.
3. Contractor Reviews First
Before sending to the architect, the contractor should verify compliance with the contract documents. Unfortunately, this crucial step is often skipped, leading to inefficiencies when non-compliant submittals reach the design team. In fact, this is like sending your rough draft to your publisher without proofreading it first. Spoiler alert: it doesn’t end well.
4. Transmission to the Architect
Each submittal should include a transmittal form identifying what’s being submitted and what action is requested. The contractor remains responsible for dimensions, quantities, and coordination with other work.
5. Design Team Review
The architect routes submittals to appropriate consultants (structural, mechanical, electrical, etc.) based on their expertise. Generally speaking, the typical review period is 10-14 calendar days, though this can vary by project. Above all, it needs to be a reasonable amount of time to allow for a thorough review but also keep the project on schedule.
6. Review Actions
What does “No Exceptions Taken” mean in submittal review? In submittal review, “No Exceptions Taken” means the submittal complies with contract documents and fabrication/installation may proceed without resubmission, while the contractor retains responsibility for dimensions, quantities, and coordination.
Review actions are documented with standardized terms:
- No Exceptions Taken – The submittal complies with contract documents
- Furnish as Noted – Minor comments that don’t require resubmission
- Revise and Resubmit – Significant issues require correction and resubmission
- Rejected – Doesn’t comply with requirements and must be completely redone
These four review actions are essentially architectural speak for “Perfect!”, “Almost there!”, “Try again, buddy”, and “Not even close dude. Do you even read the specifications?”
Submittal Review Actions Comparison
| Review Action | What It Means | What It Doesn’t Mean |
|---|---|---|
| No Exceptions Taken | • Submittal generally conforms to requirements | • Perfect in every detail |
| • Fabrication/installation may proceed | • Architect takes responsibility for dimensions | |
| • No resubmission needed | • Relieves contractor of contract obligations | |
| ———————– | ———————————————— | ————————————————– |
| Furnish as Noted | • Minor issues noted that don’t require | • Only the noted items need to be addressed |
| resubmission | • Contractor can ignore other non-compliant | |
| • Corrections must be made during fabrication | aspects not specifically marked | |
| ———————– | ———————————————— | ————————————————– |
| Revise and Resubmit | • Significant issues exist | • Entire submittal is rejected |
| • Corrections required before proceeding | • Project is necessarily delayed | |
| • Must be resubmitted for review | ||
| ———————– | ———————————————— | ————————————————– |
| Rejected | • Does not comply with contract requirements | • Design team failed to communicate requirements |
| • Completely new submittal required | • Substitutions will now be considered | |
| • Do not proceed with fabrication/installation |
7. Return to Contractor
The contractor distributes reviewed submittals to subcontractors and suppliers. Only after approval should materials be ordered or fabrication begin.
Submittal Management Tools and Techniques
Effective submittal management is critical to project success. Most projects use a submittal log to track status, responsibilities, and timelines. This list of construction submittals serves as an essential tool for organizing the numerous submittal documents that flow between contractors and the design team.
Submittal logs track critical information including:
- Submittal number and description
- Specification section reference
- Date received
- Review status and location
- Return date
- Comments and actions required
Modern construction submittal software and digital submittal management systems offer significant advantages including faster routing, improved tracking, better documentation, and reduced risk of lost submittals. These construction submittal software solutions can reduce submittal turnaround time by up to 40% compared to paper-based methods. Remember those stacks of paper that used to engulf entire offices during submittal season? Digital submittal management is like Marie Kondo came in and organized your construction documentation life.
Submittal Review Best Practices
The most efficient submittal review processes follow these best practices:
- Maintain consistent review stamps with appropriate terminology (No Exceptions Taken, Furnish as Noted, etc.) across the entire design team
- Process multiple sets simultaneously – contractors often submit multiple copies that all need the same review markings
- Establish clear routing protocols for different submittal types to ensure the appropriate consultants review each item
- Document all submittal transactions through a standardized system that records dates, actions, and responsible parties
- Train junior staff on the proper review procedures and terminology to maintain consistency across the office
- Leverage digital tools for markup, commenting, and version control to improve collaboration
- Maintain focus on design intent rather than means and methods during review
Common Submittal Challenges and Solutions
Many submittal problems stem from misunderstanding the process or rushing through submittal reviews:
Insufficient Review Time
Contractors sometimes expect faster turnaround than the contractually allowed period. The specifications typically allow 2-3 weeks for review, but contractors sometimes expect faster turnaround.
Incomplete Submissions
When contractors submit partial information, the design team can’t properly evaluate compliance, leading to rejections and resubmissions that delay the project.
Hidden Substitutions
Substitution requests disguised as submittals create confusion and delays. Therefore, substitutions should follow the process outlined in Division 01, not be slipped in through the submittal review process. Moreover, slipping substitutions into submittals is the construction equivalent of hoping your partner won’t notice you bought the generic brand instead of the name brand. They always notice.
Misunderstanding Review Actions
The terminology used in submittal reviews can create confusion. To protect themselves from legal exposure, many design professionals have become very careful about what words they use on their submittal reviews. A “No Exceptions Taken” review doesn’t mean perfect—it means the submittal generally complies with the contract requirements. The contractor remains responsible for dimensions, quantities, and coordination with other work. Contractors often mistake a favorable review for “Perfect in Every Way,” when it’s more like “This doesn’t obviously violate anything we can see without a magnifying glass.”
Delays caused by incorrect review sequence
Sometimes subcontractors will submit review items to the wrong entity, and forward submittals, shop drawings, or samples to the design team directly, when they really should be forwarding them to the GC first for their approval. This mishap causes delays as the subcontractors need to retrieve their items and submit them to the contractor for review first.
When submittal issues arise, they often impact project timelines and budgets, potentially requiring use of contingency funds to address unexpected rework or delays.
The Contractual and Legal Aspects of Submittals
Submittals have important contractual implications that ARE and CDT candidates need to understand:
AIA contracts clearly define submittal responsibilities. AIA A201 General Conditions outlines the submittal review process and establishes that the architect’s review doesn’t authorize changes to the contract requirements. This is why many architects and engineers have moved away from using terms like “Approved” and instead use language such as “No Exceptions Taken” or “Furnish as Submitted” to limit their liability exposure.
Submittal review is not design review. The design team checks for conformance with design intent, not for errors in the contractor’s work. Consequently, the contractor remains responsible for dimensions, quantities, and field conditions.
Documentation practices are crucial for risk management. First and foremost, maintaining clear records of all submittal transactions helps protect all parties if disputes arise later. Similarly, implementing proper quality assurance and quality control procedures is essential throughout the submittal process.
Construction bonds are another important consideration related to submittals, as performance bonds often require verification of contractor compliance through proper documentation, including submittals. Performance bonds are like having your mom co-sign your first apartment lease—someone’s promising you’ll behave responsibly and clean up your messes.
Liability Considerations with Submittal Language
The choice of language in submittal reviews is deliberate and legally significant. Phrases like “no exceptions taken” instead of “approved” exist specifically to maintain proper liability boundaries. When an architect uses “no exceptions taken,” they communicate that:
- They have reviewed the submittal as required by contract
- The submittal appears to conform to design intent based on the information provided
- They are NOT taking responsibility for the contractor’s means and methods
- They are NOT approving dimensions, quantities, or field coordination
- They are NOT relieving the contractor of any contractual obligations
Architects should never comment on means and methods in submittal reviews, as doing so could expose them to liability beyond their scope of responsibility. When submittals include potentially risky means and methods but otherwise conform to the design intent, the appropriate response remains “no exceptions taken” because the risk associated with means and methods remains solely with the contractor.
Submittals on the ARE Construction & Evaluation (CE) Exam
The CE exam frequently tests knowledge of the construction submittal process as part of construction administration responsibilities. Understanding preconstruction activities and how they connect to the submittal review process is crucial for exam success. You should understand:
- The purpose and types of submittals
- The submittal review process and typical actions
- Who’s responsible for what in the submittal workflow
- How product data submittal and other submittal documents relate to specifications and other contract documents
- The relationship between submittals and project quality control
Common misconceptions that trip up ARE candidates include:
- Confusing submittals are just shop drawings (shop drawings are one type of many types of submittals)
- Misunderstanding who reviews submittals first (the contractor should first)
- Thinking submittal approval transfers design responsibility (it doesn’t)
Our Construction & Evaluation (CE) 101 course thoroughly covers construction submittals and includes many practice questions about this critical topic. If you’re preparing for the CE exam, this course will help you master the submittal process and other essential construction administration concepts.
Submittals on the CDT Exam
The CDT exam thoroughly tests knowledge of construction documentation, including submittals. Key areas to understand include:
- Terminology related to submittals and the review process
- The role of submittals in the project delivery process
- How specifications establish submittal requirements
- The relationship between submittals and quality assurance
- The contractual implications of the submittal process
Understanding specifications and submittals is essential for success on the CDT exam, as it focuses heavily on construction documentation and communication. Another great benefit to this knowledge is being able to manage and organize submittals on the job and throughout all your projects.
Our Construction Document Technologist (CDT) 101 course thoroughly covers the submittal process and all other essential construction documentation concepts. If you’re preparing for the CDT exam, this course will help you master the terminology, workflow, and contractual aspects of construction submittals.
Real-World Submittal Examples
In practice, effective submittal management looks different depending on the project complexity. Let’s examine some specific construction submittal examples:
For a simple interior renovation, you might see primarily product data submittal forms for:
- Interior paint colors and finishes (Benjamin Moore, Sherwin Williams)
- Light fixtures (pendants, recessed cans, decorative sconces)
- Plumbing fixtures (faucets, sinks, toilet models)
- Flooring materials (tile, carpet, LVT samples)
- Hardware selections (door handles, cabinet pulls)
- HVAC grilles and registers
A typical office renovation might include 50-100 total items in the construction submittal list.
On a complex healthcare facility, the submittal register might contain thousands of items:
- Detailed shop drawings for medical gas systems
- Coordination drawings for ceiling-mounted equipment
- Fire-rated assembly documentation
- Specialized door hardware and access control systems
- Patient lifting equipment and mounting details
- Radiation shielding verification
The quality of submittals directly impacts construction quality. Thorough, well-organized submittals lead to fewer RFIs, reduced rework, and smoother construction progress.
Project complexity and occupancy classifications directly impact the types and quantity of submittals required. For instance, healthcare facilities with Institutional occupancies have more stringent requirements than simple commercial spaces.
Different construction types also influence submittal requirements. To illustrate, Type I and II non-combustible construction typically require more extensive fire-rating documentation and testing submittals than Type V wood construction would.
Regardless of project size, managing the submittals and communicating their status throughout construction will ensure quality of the end result.
Technology and the Future of Submittals
The submittal process in construction continues to evolve with technology. Modern trends in construction submittals software include:
- Cloud-based platforms that enable real-time collaboration
- Mobile apps for field review and submittal approval
- Integration with Building Information Modeling (BIM)
- Automated tracking and reporting for project submittals
- Digital markup tools that streamline the review process
These tools are reducing review time by up to 50% while improving documentation quality and reducing errors.
Final Thoughts: Mastering Submittals for Exam Success
Understanding what is a construction submittal is essential for both exam success and professional practice. Material submittals and other types of submittals represent the critical moment when design intent transforms into construction reality, serving as the quality control checkpoint that ensures what gets built matches what was designed.
For ARE candidates, mastering submittal knowledge means understanding the process, responsibilities, and contractual implications. Indeed, these concepts appear repeatedly on the exams and are fundamental knowledge for construction professionals. Furthermore, programs like ARE Bootcamp can help you fully understand these critical construction administration concepts, giving you confidence on the exam and at work.
Remember that submittals are more than just paperwork—they’re the communication tools that help translate drawings and specifications into successful projects, preventing costly mistakes and ensuring quality outcomes for clients.
Frequently Asked Questions About “No Exceptions Taken”
What’s the difference between “No Exceptions Taken” and “Approved”?
“No Exceptions Taken” indicates that the submittal appears to conform to design requirements while maintaining the contractor’s responsibility for all aspects of construction. “Approved” suggests a more complete acceptance of the submittal and can inadvertently transfer some liability to the design team. The difference is subtle but legally significant in terms of professional responsibility.
Why do architects use “No Exceptions Taken” instead of “Approved”?
Architects use “No Exceptions Taken” instead of “Approved” to limit their liability exposure. This terminology acknowledges that they’ve reviewed the submittal for conformance with design intent without accepting responsibility for the contractor’s means, methods, dimensions, quantities, or coordination with other work.
Does “No Exceptions Taken” transfer liability to the architect?
No, “No Exceptions Taken” specifically does NOT transfer liability to the architect. This carefully chosen terminology maintains the proper liability boundaries, keeping responsibility for construction means, methods, dimensions, and coordination with the contractor while acknowledging that the submittal appears to meet design intent requirements.
