Submittals in Construction: What They Are and How To Manage Them

As a crucial link in the project paper trail, submittals are something everyone has to deal with. They lay the foundations for successful delivery, provide evidence trails for who decided what when, and are critical for demonstrating compliance with codes and with the client brief. In short, we can’t do without them. 

However, they are also an area of project administration that can be the cause of significant people-nudging and paper-chasing. This is often due to the type of systems used to monitor and manage the submittals workflow. 

What are Construction Submittals?

A submittal is any documentation such as written reports, schedules, bills of quantities, specifications or other information sent by contractors or subcontractors to a project design team for approval. The purpose is to ensure that any drawings, materials, products and equipment will be fit for purpose in terms of contract requirements and the relevant codes and standards. 

They often include: 

• Detailed design schematics and shop drawings, 
• Construction stage designs and variations, 
• Product information including any testing certificates, suitability verification, Chain of Custody certifications or Environmental Product Declarations (EPDs), 
• Any necessary reports such as ITPs, surveyor reports, fire authority reports, 
• Any other document that requires sign-off before works, invoicing, or regulator approvals can proceed. 

What Needs to be Included in a Submittal? 

A submittal is a formal document or package of documentation that needs to meet a standard which would stand up to scrutiny in the event of any dispute or other complication. It also needs to ensure the trail is clearly marked for the receiver of what the documentation is referring to, who needs to take action, and the relevant stage of approval and signoff. 

A good submittal will therefore be a well-formatted document and include: 

• Project Name 
• Specification number which the submittal or package refers to (e.g. 087100 Door Hardware) 
• Submittal Number: A unique identifier for the submittal being sent 
• Revision or Version Number: Used when versions of a submittal are created in response to a revision request 
• Package Number: If the submittal is part of a package, include the number of the package 
• Submittal Manager: Name and contact information for the person who is responsible for document management, typically a General Contractor project manager or project engineer 
• Submission date: The date the submittal was sent 
• Received date: The date the submittal was received 
• Approver(s): Name and contact information for the people responsible for review and approval 
• Response: Typically preset fields for Approved, Approved as Noted, Revise and Resubmit, and Rejected 
• Notes/Remarks: Blank space for the reviewer to provide details about changes or revisions requested 

It’s important to ensure that while there are clearly indicated fields for reviewers to note the received date, version history, reviewer contact information and so forth, the fields in the final submittal must be un-editable.  Dates and names with signatures must be a truthful and accurate record.   

The Submittals Workflow

The submittals process has the following stages, and at each stage, the person/s responsible need to sign off on their contribution. 

• The head contractor creates a submittal schedule.

  This schedule outlines all expected submittals, the timelines involved, who is responsible for the submittal and the projected approval timeframes.

• Consultants, contractors and subcontractors start to prepare their delegated submittal documents.

  This stage also involved those parties reviewing their scope of works, any relevant codes and standards, and project-specific information such as mandatory performance criteria or specific materials requirements such as low-carbon concrete. The submittals may be sent individually, or as part of one package that includes multiple items such as shop drawings, product details, testing results and any proposed design variations.    

• The head contractor reviews submittals for accuracy, completeness and suitability

  They do this before they send on to their design team (which could include the architect, engineers, and a construction manager or owner's representative). 

• The design team responds with either approved, approved with conditions, approved as noted, or approved with corrections.

  They may request additional information or clarification from the creator of the submittal before proceeding to approval.

• Once approved, the head contractor returns the submittal

  It is given to the specialty contractor, subcontractor, consultant or other responsible party, and this is then the green light to commence work. 

Challenges and How to Minimise Them

Managing submittals in construction projects can be an overwhelming task due to the sheer volume of documents, the coordination required between multiple parties, and the consequences of delays or incomplete reviews. A submittal process involves a meticulous workflow to ensure accuracy, timeliness, and compliance with project specifications. Below is a table summarising the key challenges.

Delays in progressing submittals reviews and approvals also mean delays in subcontractors, suppliers and others being able to commence work.

Streamlining the Workflow to Manage Submittals

Digital tools designed specifically for managing construction complexity and processes are a much more efficient and effective way to manage submittals. Documents can be tracked and cross-referenced, with options to upload digital stamps and signatures to save printing and scanning. 

Submittals tools also enable a reviewer to filter all the documents by person or process, and any comments and markups on documents are both tracked and un-editable. Where external lodgments are required, for example the lodging of final construction drawings with a regulator or the lodging of product specifications with a testing authority, the system can track what has gone where and when. To ensure a thing that gets lodged externally has gone through, the internal team can audit within the tool. 

Submittals are extremely important documents, because there can be hundreds of thousands of dollars of flow-on effects down the line if a non-compliance, non-conformance or defect is not adequately identified and rectified at design and planning stage. Proper management of submittals is also sound contingency planning, because it creates an audit trail so it can be established what went wrong and who was responsible in the worst-case scenario of rework or other problem during construction or post-completion defects or legal liabilities. 

By ensuring the process and workflow aspects of submittals are smoother and more efficient, the worst-case scenarios also become less likely, because the less time people need to spend on administration, the more time and focus people have for the essential work of technical review. 

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