Deferred submittal process map
Standard, DSA, and HCAI workflows compared
CSE Content Area V • Knowledge Statement K49 • Commonly tested on practice exams
Identify deferred submittal items during CD phase
ArchitectDuring construction document preparation, the architect identifies items that will be designed later by the contractor’s design professionals (e.g., roof trusses, metal stairs, specialty systems). These are listed on the CD cover sheet as deferred submittals with full performance and loading criteria.
Submit CDs to AHJ for plan review
ArchitectThe CD set is submitted to the AHJ with deferred items clearly noted. The AHJ reviews and approves the CDs with the understanding that deferred items will be submitted separately during construction.
Contractor prepares deferred submittal
Contractor / specialty vendorDuring construction, the contractor engages a specialty vendor or design professional to prepare the deferred submittal (e.g., truss shop drawings with structural calculations). The submittal is sent to the architect — NOT directly to the AHJ.
Architect reviews and approves the submittal
Architect (+ consultants if applicable)The architect (and structural engineer or other consultants, as needed) reviews the deferred submittal for conformance with the design intent of the contract documents. If issues are found, the submittal is returned to the contractor for revision BEFORE it goes to the AHJ.
The submittal must be marked “approved” or “no exceptions taken” before proceeding to Step 5.
Submit approved deferred submittal to AHJ
Architect AHJ reviewsThe architect forwards the approved submittal to the AHJ for their review and approval. The AHJ reviews for code compliance.
AHJ approves — THEN fabrication/installation may begin
AHJNo deferred submittal items may be fabricated or installed until the AHJ has approved the submittal documents. The architect notifies the contractor once AHJ approval is received.
List deferred items in CDs submitted to DSA
ArchitectSame as standard process — deferred items are clearly noted on the CD set when submitted to DSA for plan review. Performance criteria and loading requirements must be fully described.
Contractor prepares and submits to architect
ContractorThe contractor’s vendor or design professional prepares the deferred submittal and sends it to the architect for review. Must be prepared by a licensed professional.
Architect reviews and approves
Architect (+ structural engineer if applicable)The architect and relevant consultants review the submittal. Must be fully approved before submission to DSA. Return to contractor for revision if not conforming to design intent.
Submit approved documents to DSA for review
Architect DSA reviewsArchitect submits via DSA’s Bluebeam Studio submittal procedure. Fees apply for DSA review.
DSA approves — fabrication/installation may proceed
DSAOnce DSA approves, the architect distributes approved documents to the contractor and project inspector. No fabrication or installation before this point.
DSA-specific: Construction Change Documents (CCDs)
ArchitectIf changes arise during construction on DSA projects that affect the approved documents, a CCD must be submitted using DSA Form 140.
Category A: Changes affecting structural, access, fire, or life safety components.
Category B: All other changes.
Each change submitted individually. Drawings must be signed, dated, and sealed by the architect. DSA reviews Category A for code compliance and Category B to verify no life safety impact. If rejected, respond to comments and resubmit.
List deferred items in CDs with full performance criteria
ArchitectCDs must clearly note all deferred submittals when submitted to HCAI. Must fully describe the performance and loading criteria required for each deferred item.
Submit deferred submittal schedule to HCAI
ArchitectWithin 30 days of CD approval by HCAI, the architect or engineer in responsible charge must submit a deferred submittal schedule to HCAI listing all items and anticipated submission dates.
Items that CANNOT be deferred (HCAI prohibition)
HCAI ruleHCAI does not allow the following to be deferred:
• Seismic force-resisting system
• Primary gravity load-resisting system
• Stairs
These must be fully designed and included in the original CD submission to HCAI.
Contractor prepares submittal (licensed professional required)
Contractor Licensed professionalHCAI requires that deferred submittals be prepared by a licensed professional (architect or engineer). Exception: small sprinkler systems (largest pipe < 2.5″ diameter) may be prepared by a contractor.
Architect reviews and approves BEFORE submission to HCAI
Architect (+ consultants)Same critical rule: the architect must review and approve before submitting to HCAI. Delegating design does not relieve the design professional in responsible charge of their duties under H&S Code §129805.
Submit to HCAI for review and approval
Architect HCAI reviewsArchitect submits the approved deferred submittal to HCAI for their review. HCAI reviews for code compliance.
HCAI approves — THEN fabrication may begin
HCAINo fabrication or installation until HCAI approval is received. The architect notifies the contractor upon approval.
| Requirement | Standard (local AHJ) | DSA | HCAI (OSHPD) |
|---|---|---|---|
| List in CDs | Required | Required | Required + full performance criteria |
| Deferred submittal schedule | Not required | Not required | Required within 30 days of CD approval |
| Items that cannot be deferred | Per AHJ discretion | CFS trusses (per DSA-SS) | Seismic SFRS, gravity system, stairs |
| Architect reviews first | Yes — mandatory | Yes — mandatory | Yes — mandatory |
| Parallel review with AHJ | Not permitted | Not permitted | Not permitted |
| Prepared by licensed professional | Recommended | Required | Required (exception: small sprinklers) |
| Fabrication before approval | Not permitted | Not permitted | Not permitted |
| Change process during construction | Per local procedure | CCD (Form DSA 140, Cat A/B) | CCD per CAC §7-153 |
| Delegation relieves architect? | No | No | No (per H&S Code §129805) |
| Item | Typically prepared by | Notes |
|---|---|---|
| Roof trusses | Licensed structural engineer | Most common example in practice exam scenarios |
| Steel rooftop ladder | Specialty vendor + engineer | Used as example in multiple practice scenarios |
| Aluminum storefront system | Manufacturer + engineer | Structural engineer review required for wind/seismic loads |
| Sprinkler systems | Fire protection engineer (or contractor for small systems) | HCAI exception: contractor may prepare if pipe < 2.5″ dia. |
| Miscellaneous metals (ladders, handrails) | Specialty fabricator | Often delegated design items in specifications |