14 min read
Mastering Construction Submittals: A Contractor’s Guide to Compliance and Efficiency
Published 12 Mar 2025
Construction projects involve thousands of decisions, approvals, and coordination points. A single oversight in material specifications, shop drawings, or product data can lead to costly rework and compliance issues.
A study by Autodesk and FMI found that poor project data and miscommunication contribute to 52% of construction rework, leading to millions in additional costs and project delays[?].
Submittals play a crucial role in preventing these errors before construction begins. They ensure that every material, product, and system used in a project meets design requirements, building codes, and stakeholder expectations before construction begins.
Yet, in many projects, submittals become a bottleneck — lost in endless email chains, delayed due to incomplete documentation, or mismanaged between contractors and design teams. These inefficiencies don’t just slow down approvals; they create room for errors that can lead to costly rework and compliance risks.
Understanding how to structure and manage the submittal process efficiently is crucial for maintaining timelines, reducing risks, and ensuring smooth project execution. In this article, we’ll break down the role of submittals in construction, common challenges, and best practices for keeping the process streamlined and error-free.
Yet, in many projects, submittals become a bottleneck — lost in endless email chains, delayed due to incomplete documentation, or mismanaged between contractors and design teams. These inefficiencies don’t just slow down approvals; they create room for errors that can lead to costly rework and compliance risks.
Understanding how to structure and manage the submittal process efficiently is crucial for maintaining timelines, reducing risks, and ensuring smooth project execution. In this article, we’ll break down the role of submittals in construction, common challenges, and best practices for keeping the process streamlined and error-free.
Contents
What are Construction Submittals?
A construction submittal is a document (or set of documents) that a contractor sends to the architect or project manager for approval before using a specific material, product, or method in the project. It ensures that everything aligns with the project’s design, safety standards, and contract requirements.
Types of Construction Submittals
Shop drawings. These are detailed drawings that illustrate how specific components will be fabricated, assembled, or installed. They are used to verify that custom-built elements, such as steel structures, HVAC systems, and electrical layouts, align with the design before production begins.
Product data. This includes manufacturer-provided documents describing materials, equipment, or products. Product data helps confirm that selected products meet the required specifications, including performance characteristics and compliance with regulations.
Samples. Physical samples of materials, such as paint, flooring, or tiles, are submitted for approval to ensure they meet quality, color, and texture requirements before large-scale ordering.
Mockups. Full-scale models or sections of a project are created to demonstrate appearance, fit, and finish. Mockups provide a real-world preview that helps confirm design choices and prevent installation errors.
Engineering calculations. These are mathematical reports and calculations proving the structural integrity and performance of systems within a project. They ensure that all elements meet safety and engineering standards. For example, structural engineers may submit calculations for load-bearing walls to confirm their ability to support the required weight.
Vendor information. Documentation from suppliers provides details about the materials, equipment, or products being used in a project. This helps verify product availability, specifications, and sourcing details.
Warranties and manuals. These documents outline warranty terms and provide operation and maintenance instructions for building systems and materials. They are essential for building owners and maintenance teams to ensure proper care and long-term functionality.
As-built drawings. These are revised construction drawings that document any modifications made during the project. They provide an accurate record of the final built condition, which is useful for future renovations, repairs, or expansions. A contractor may submit final drawings of a plumbing system with all changes marked for future reference.
Information to Include in a Submittal
Source: Sample.net
Above is a sample construction submittal form template. Many such templates are readily available online.
A well-prepared submittal includes essential details that help track, review, and approve materials, equipment, and other project components. Below are the key elements to include in a submittal:
A well-prepared submittal includes essential details that help track, review, and approve materials, equipment, and other project components. Below are the key elements to include in a submittal:
Project name. The official name of the construction project for easy identification and reference.
Specification section. The section of the project specifications that the submittal relates to, ensuring alignment with contract requirements.
Submittal number. A unique identifier assigned to each submittal for tracking and organization.
Revision or version number. If the submittal has been modified, a revision number helps track changes and avoid confusion between different versions.
Package number. If the submittal is part of a larger submission package, this number helps group related documents together.
Submittal manager. The person responsible for preparing, submitting, and tracking the submittal, ensuring accountability in the process.
Submission date. The date when the submittal is sent for review, helping maintain a clear timeline.
Received date. The date when the reviewing party acknowledges receipt of the submittal.
Approver(s). The individuals or entities responsible for reviewing and approving the submittal, such as architects, engineers, or project managers.
Response. The approval status or required action, such as "Approved," "Approved with Comments," or "Revise and Resubmit."
Notes/remarks. Any additional comments, conditions, or instructions provided by the approver to clarify requirements or request modifications.
Why Are Construction Submittals So Important?
Submittals do more than just confirm material selections. They play a key role in keeping teams aligned, minimizing project risks, and ensuring legal compliance.
Here’s why they are an essential part of every construction project management.
Here’s why they are an essential part of every construction project management.
1. Ensuring Compliance with Design Plans
Submittals verify that all materials, equipment, and construction methods match the approved project specifications before they are used on-site. This helps prevent deviations from the original design that could affect the structure’s integrity, aesthetics, or functionality.
By reviewing submittals in advance, project teams can identify and resolve potential discrepancies before they become costly problems.
By reviewing submittals in advance, project teams can identify and resolve potential discrepancies before they become costly problems.
2. Facilitating Coordination Between Teams
Large construction projects involve multiple stakeholders, including contractors, architects, engineers, and suppliers. Without an organized submittal process, critical information can get lost, leading to misunderstandings and delays.
Submittals provide a formal communication channel that keeps all parties aligned by clearly documenting material specifications, installation methods, and approvals.
When a contractor submits a shop drawing for a structural component, for example, engineers can verify its compatibility with other building elements, reducing conflicts and ensuring seamless integration. This structured approval process helps teams stay on the same page, avoiding miscommunication and ensuring that each component fits into the larger construction plan.
Submittals provide a formal communication channel that keeps all parties aligned by clearly documenting material specifications, installation methods, and approvals.
When a contractor submits a shop drawing for a structural component, for example, engineers can verify its compatibility with other building elements, reducing conflicts and ensuring seamless integration. This structured approval process helps teams stay on the same page, avoiding miscommunication and ensuring that each component fits into the larger construction plan.
3. Mitigating Risks and Reducing Errors
Errors in material selection, fabrication, or installation can lead to rework, project delays, and increased costs. Submittals help detect potential issues before they impact construction, reducing the likelihood of rework and keeping the project on schedule.
For instance, if a contractor submits a material that doesn’t meet fire safety regulations, the design team can reject it and request a compliant alternative before installation. This proactive approach not only prevents mistakes but also reduces liability and ensures a higher standard of quality.
Additionally, clear documentation of approvals and revisions provides a record that can be referenced if disputes arise later.
For instance, if a contractor submits a material that doesn’t meet fire safety regulations, the design team can reject it and request a compliant alternative before installation. This proactive approach not only prevents mistakes but also reduces liability and ensures a higher standard of quality.
Additionally, clear documentation of approvals and revisions provides a record that can be referenced if disputes arise later.
4. Legal and Regulatory Compliance
Many materials and construction methods must meet local building codes, safety standards, and environmental regulations. Contractors submit product data sheets and test reports that confirm materials meet fire resistance, energy efficiency, or structural safety standards.
Approving authorities review these documents to ensure compliance, preventing potential violations that could lead to penalties, legal disputes, or even project shutdowns.
Approving authorities review these documents to ensure compliance, preventing potential violations that could lead to penalties, legal disputes, or even project shutdowns.
The Submittal Process Explained
Below is a step-by-step breakdown of how submittals are handled in a typical construction project.
Step 1: The General Contractor Creates a Submittal Schedule
The submittal process begins with the general contractor developing a submittal schedule, which outlines when different materials and components need to be submitted for approval.
Source: TLM
This schedule is critical for project planning, as it ensures that approvals are secured before procurement and installation. The schedule is typically based on project milestones and lead times for materials, helping prevent delays caused by late approvals.
Step 2: Contractors Prepare Submittal Documents
Once the submittal schedule is established, subcontractors and suppliers prepare and submit detailed documents for review. These documents can include shop drawings, product data sheets, material samples, mockups, and engineering calculations.
Each submittal must comply with the project specifications and contract documents. The contractor is responsible for ensuring that all submittals are complete, accurate, and properly formatted before they are sent for review.
Each submittal must comply with the project specifications and contract documents. The contractor is responsible for ensuring that all submittals are complete, accurate, and properly formatted before they are sent for review.
Step 3: The Design Team Reviews the Submittals
After receiving the submittals, the design team — comprising architects, engineers, and consultants — conducts a thorough review to verify compliance with project requirements. They check for accuracy, compatibility with design plans, and compliance with building codes and safety standards.
If discrepancies or missing information are found, the design team may request revisions or additional documentation. This step is crucial in preventing costly mistakes and ensuring that materials and methods align with the project's design intent.
If discrepancies or missing information are found, the design team may request revisions or additional documentation. This step is crucial in preventing costly mistakes and ensuring that materials and methods align with the project's design intent.
Step 4: The Design Team Responds to the Submittals
Once the review is complete, the design team provides a response, which typically falls into one of the following categories:
Approved – The submittal meets all project requirements and can proceed to procurement and installation.
Approved with Comments – The submittal is generally acceptable but requires minor adjustments or clarifications.
Revise and Resubmit – The submittal has significant issues that need correction before approval.
Rejected – The submittal does not meet project requirements and must be replaced or reworked entirely.
The response is communicated back to the contractor, who then takes the necessary actions, whether that means ordering materials, making adjustments, or resubmitting documents.
Challenges in Construction Submittal Management
While submittals serve as a safeguard against errors and misalignments, the process itself comes with significant challenges. Delays, miscommunication, and inefficiencies can lead to project setbacks, cost overruns, and strained relationships between stakeholders.
Below, we break down some of the most common challenges in submittal management and explore how they can be effectively addressed.
Below, we break down some of the most common challenges in submittal management and explore how they can be effectively addressed.
1. Delays in Submittal Approvals
Timely submittal approvals are essential to keep construction schedules on track. However, this is often easier said than done. Architects and engineers may be reviewing hundreds of submittals at any given time, making it difficult to process each one efficiently.
Additionally, a lack of clear review timelines can lead to approvals being deprioritized, causing delays in material procurement and installation.
Additionally, a lack of clear review timelines can lead to approvals being deprioritized, causing delays in material procurement and installation.
In a case study highlighted by the Journal of Construction Engineering and Management, a project experienced significant schedule setbacks because submittals were received late and were incomplete or deficient, causing delays in the construction schedule[?].
Solution: The best way to prevent these bottlenecks is to establish clear approval timelines and accountability from the outset. The submittal schedule should align with procurement lead times, ensuring that long-lead materials are approved first.
Leveraging digital platforms that send automatic reminders to reviewers can also help accelerate the process. Project teams should also define escalation procedures for submittals that remain unapproved beyond a certain timeframe.
Leveraging digital platforms that send automatic reminders to reviewers can also help accelerate the process. Project teams should also define escalation procedures for submittals that remain unapproved beyond a certain timeframe.
2. Incomplete or Inaccurate Submittals
A submittal that is missing key details or contains errors can be just as problematic as a delayed one. Incomplete submittals often lead to rejection and resubmission, extending approval timelines and causing unnecessary back-and-forth between contractors and design teams.
This happens when submittals lack the necessary specifications, material certifications, or compliance documents, making it impossible for reviewers to verify their suitability for the project.
Solution: To reduce errors, project teams should implement a standardized submittal checklist that outlines all required documentation before submission. Training subcontractors and suppliers on the importance of complete, detailed submittals can also minimize common mistakes.
Additionally, assigning a dedicated submittal manager who reviews documents before submission can help catch inconsistencies early.
This happens when submittals lack the necessary specifications, material certifications, or compliance documents, making it impossible for reviewers to verify their suitability for the project.
Solution: To reduce errors, project teams should implement a standardized submittal checklist that outlines all required documentation before submission. Training subcontractors and suppliers on the importance of complete, detailed submittals can also minimize common mistakes.
Additionally, assigning a dedicated submittal manager who reviews documents before submission can help catch inconsistencies early.
3. Communication Gaps Between Teams
Submittal management is a multi-stakeholder process requiring input from contractors, suppliers, architects, engineers, and project owners.
Without a centralized communication system, submittals can get lost in long email threads, misinterpreted, or sent to the wrong person, leading to confusion and approval delays.
For example, in one infrastructure project, the contractor assumed the submittal had been forwarded to the design team, but the architect never received it. By the time the mistake was caught, the project had already experienced a week-long delay, requiring last-minute adjustments to the construction schedule.
Solution: Implementing a single source of truth, such as a cloud-based document management system, can help eliminate communication silos.
A digital submittal workflow ensures that every stakeholder has access to the latest versions of documents, with built-in tracking to monitor approval progress. Establishing regular coordination meetings also helps keep teams aligned and prevents miscommunication.
Without a centralized communication system, submittals can get lost in long email threads, misinterpreted, or sent to the wrong person, leading to confusion and approval delays.
For example, in one infrastructure project, the contractor assumed the submittal had been forwarded to the design team, but the architect never received it. By the time the mistake was caught, the project had already experienced a week-long delay, requiring last-minute adjustments to the construction schedule.
Solution: Implementing a single source of truth, such as a cloud-based document management system, can help eliminate communication silos.
A digital submittal workflow ensures that every stakeholder has access to the latest versions of documents, with built-in tracking to monitor approval progress. Establishing regular coordination meetings also helps keep teams aligned and prevents miscommunication.
4. Managing Multiple Submittals Simultaneously
On large construction projects, teams must manage hundreds of submittals across different trades and disciplines. Without an efficient system, submittals can be misplaced, deadlines missed, and approvals delayed.
This challenge is particularly prevalent in projects with complex sequencing requirements, where a delay in one submittal can create a ripple effect across multiple trades.
Solution: Using submittal tracking software can significantly improve efficiency by organizing submittals, tracking their status, and providing real-time updates. These tools offer dashboards that highlight pending approvals, overdue submissions, and upcoming deadlines, helping project managers maintain control over the process.
Additionally, prioritizing critical submittals based on their impact on the construction schedule ensures that essential approvals are secured first, preventing bottlenecks.
This challenge is particularly prevalent in projects with complex sequencing requirements, where a delay in one submittal can create a ripple effect across multiple trades.
Solution: Using submittal tracking software can significantly improve efficiency by organizing submittals, tracking their status, and providing real-time updates. These tools offer dashboards that highlight pending approvals, overdue submissions, and upcoming deadlines, helping project managers maintain control over the process.
Additionally, prioritizing critical submittals based on their impact on the construction schedule ensures that essential approvals are secured first, preventing bottlenecks.
Technological Solutions for Improved Submittal Management
Technology has significantly improved how construction submittals are handled, reducing inefficiencies and streamlining approval workflows. Here are some of the key solutions that can help manage submittals more effectively:
1. Document Management and Collaboration Tools
Cloud-based document management systems help store, organize, and share submittals in a centralized location. These tools improve version control, prevent document loss, and ensure all stakeholders have real-time access to the latest files.
2. Workflow Automation Tools
Automation tools can streamline the submittal process by automatically routing documents to the correct reviewers, sending reminders for pending approvals, and reducing manual data entry errors. These systems improve efficiency and minimize approval bottlenecks.
3. ERP Solutions
While standalone tools help with document management and automation, ERP (Enterprise Resource Planning) systems offer an all-in-one solution that integrates submittal management with procurement, scheduling, and financial tracking. The best ERP systems provide real-time visibility into submittal statuses, connect teams on a unified platform, and ensure compliance with project timelines.
How FirstBit ERP Optimizes Submittals for Construction Projects
Effective document approval and submittal tracking are essential for smooth construction project execution. FirstBit ERP simplifies and enhances these processes by providing a centralized platform for managing approvals within the company while ensuring external submittals are properly stored and tracked. Here’s how FirstBit ERP can help:
Centralize internal document approvals. Store and manage all project-related documents within the ERP system, reducing document loss and ensuring quick access to approvals.
Automate approval workflows. Set up automatic routing for submittals, ensuring timely reviews and reducing manual follow-ups.
Document approval in FirstBit ERP
Maintain a complete document repository. External submittals can be approved outside the system and then attached to the project within FirstBit ERP, ensuring that all relevant documents are kept in one place for easy access.
Integrate with procurement and scheduling. Align internal document approvals with procurement timelines, ensuring materials and resources are available when needed.
Enhance team collaboration. Connect contractors, suppliers, and design teams through a single system, improving communication and reducing misinterpretations.
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