Submittal Management for General Contracting
Submittal Management defines how product data, shop drawings, samples, and other submittals are planned, tracked, reviewed, and distributed. It connects the specifications, schedule, and trade scopes into a structured submittal register so required items are identified early and reviewed on time. The process standardizes how submittals are requested, pre-reviewed, sent to the design team, and returned to the field. When followed, materials and systems are approved before installation, reducing rework, delays, and disputes over what was allowed.
Set up submittal register and coding structure
Step 1: Review contract documents for submittal requirements
Open the project specifications, general conditions, and any project procedures to understand required submittal types, formats, and review timelines. Note any special requirements such as mockups, samples, or electronic file standards.
Step 2: Select or create a submittal register template
Use your company’s standard submittal log template or configure the register in your project management platform. Ensure it has fields for submittal number, spec section, description, responsible subcontractor, required date, submitted date, status, and comments.
Step 3: Define submittal numbering convention
Decide how submittals will be numbered (for example, 033000-001 for the first concrete submittal). Document this convention so everyone uses consistent, traceable numbers.
Step 4: Set up coding for disciplines and priority
Add coding columns or tags to classify submittals by discipline (architectural, structural, mechanical, etc.) and priority (long-lead, standard, low). This helps you sort and focus on critical items later.
Step 5: Test register with a few sample entries
Create several sample submittal lines for obvious items (for example, concrete mix design, structural steel shop drawings) to confirm the register format works and fields make sense.
Step 6: Save register in shared location and link to team
Store the register in the project controls folder or project management platform and share the location and numbering approach with the project team so everyone knows where to find it.
Train project team and subcontractors on submittal process
Step 1: Identify internal and external participants
List who needs to understand the submittal process: project manager, project engineer, superintendent, procurement/purchasing, and each subcontractor’s project manager or submittal coordinator.
Step 2: Prepare a simple process overview
Create a one- or two-page document that explains the steps: submittal identification, log entry, subcontractor preparation, internal review, design review, return, and distribution. Include diagrams if helpful.
Step 3: Hold a kickoff training session
Schedule a short meeting (in person or virtual) with internal team members and key subcontractors. Walk through the process overview and show where the submittal log is kept and how numbering works.
Step 4: Explain expectations and deadlines
Clarify how far ahead of installation submittals must be submitted, how long internal and external reviews typically take, and what happens with incomplete or non-compliant submittals.
Step 5: Show an example good submittal package
Walk through a real or sample submittal package (cover sheet, product data, shop drawings, compliance with spec). Point out what makes it easy to review versus what causes delays.
Step 6: Share written instructions and contacts
After training, send the process overview and contact list (who to send submittals to, who to ask questions) to all attendees. Post a copy in the job trailer for quick reference.
Identify required submittals from specifications and drawings
Step 1: Review specifications section by section
Go through the project specifications one division at a time. For each section, highlight paragraphs that require submittals, such as product data, shop drawings, samples, mockups, test reports, and closeout documents.
Step 2: Extract submittal requirements into a list
For each highlighted requirement, write down the spec section, type of submittal, and a short description (for example, “08 1416 – Flush Wood Doors – product data and shop drawings”).
Step 3: Cross-check with drawings and schedules
Review drawings and equipment schedules to identify items that clearly need submittals even if the specification language is brief (for example, major equipment, custom details). Add these to your list where they meet or exceed spec requirements.
Step 4: Group related submittals logically
Combine related items into single submittals where appropriate (for example, a door and hardware package) rather than creating many tiny, overlapping submittals that are hard to manage.
Step 5: Enter identified submittals into the register
Transfer your list into the submittal register, assigning numbers, spec sections, descriptions, and responsible subcontractors for each line.
Step 6: Have another team member spot-check the list
Ask the project manager or a project engineer to review a sample of the register against the specs to confirm that the approach and level of detail are appropriate.
Create required-by dates and align submittals with schedule
Step 1: Identify installation dates from the schedule
Open the project schedule and identify when major materials and systems are to be installed or needed on site. Focus first on long-lead items and critical path activities.
Step 2: Work backward to calculate required-by dates
For each submittal, estimate time for subcontractor preparation, internal review, design review, resubmittal (if needed), and fabrication and shipping. Add these durations and count back from the installation date to arrive at a required-by date.
Step 3: Enter required-by dates into the register
For each submittal line, enter the calculated required-by date. Use a consistent date format and ensure dates are realistic rather than arbitrarily aggressive.
Step 4: Highlight long-lead and critical submittals
Mark submittals that drive long-lead items (for example, major equipment, curtain wall, custom finishes) with a special flag or priority code in the register.
Step 5: Review with project manager and superintendent
Meet briefly with the project manager and superintendent to review key required-by dates, especially for long-lead items, and adjust any that are clearly misaligned with field reality.
Step 6: Freeze baseline required-by dates
Once agreed, treat these required-by dates as your baseline. Future slippage can then be measured and managed against this baseline rather than changing dates casually.
Request and coordinate submittals from subcontractors and suppliers
Step 1: Prepare submittal request lists by trade
Using the register, filter submittals by responsible subcontractor. Create a list for each trade showing submittal numbers, descriptions, and required-by dates.
Step 2: Send submittal request letters or emails
Send each subcontractor their trade-specific list along with a cover message explaining expectations, including format, number of copies (if any physical), and where to submit electronically.
Step 3: Clarify long-lead priorities
In your message, highlight which submittals are considered long-lead or critical path for that trade, and emphasize the importance of meeting or beating those required-by dates.
Step 4: Offer guidance on format and content
Remind subcontractors to include specification compliance statements, clearly labeled shop drawings, product data, and any requested calculations or certifications in their packages.
Step 5: Set and communicate interim target dates
For larger trades, ask them to propose interim internal target dates for when they will submit certain packages, especially long-lead ones. Record these in your notes or register comments.
Step 6: Monitor initial responses and adjust as needed
Track which subcontractors acknowledge the requests and whether they push back on dates. Work with the project manager to adjust where reasonable, while protecting critical path needs.
Perform internal pre-review of submittals before design review
Step 1: Confirm the submittal matches the register entry
When a submittal arrives, verify that the submittal number, spec section, and description match an entry in the register. If they do not match, correct the numbering or ask the subcontractor to resubmit with the correct reference.
Step 2: Check for completeness and format
Ensure the package contains all expected components: cover sheet, product data, shop drawings, samples documentation, and any required certifications. If critical pieces are missing, return the submittal to the subcontractor with a clear list of deficiencies.
Step 3: Verify basic spec compliance
Compare the key product data to the specification section to confirm it meets major requirements such as performance criteria, finishes, and manufacturer qualifications. Note any apparent deviations.
Step 4: Review coordination and interface points
Look at how the submittal interacts with other trades or systems (for example, penetrations, clearances, structural supports). Flag any obvious conflicts that should be resolved before involving the design team.
Step 5: Add internal comments or questions
Record internal comments or questions on a review stamp or separate comment sheet. Distinguish clearly between internal coordination notes and questions for the design team.
Step 6: Decide whether to proceed or return for correction
If the submittal is fundamentally incomplete or non-compliant, return it to the subcontractor for correction. If it is mostly complete and reasonable, proceed to submit it to the design team with your internal review noted.
Submit submittals for design review and track status
Step 1: Record receipt and status in the register
When a submittal passes internal review, update the register with the date received from the subcontractor and change its status to “Under Internal Review” or equivalent. After internal review, mark it as “Sent to Design Review” when you transmit it.
Step 2: Use the agreed transmission method
Submit the submittal using the method required by the contract or design team, such as project management software, a client portal, or email. Follow any file naming and packaging rules they have provided.
Step 3: Set realistic requested response dates
When sending the submittal, specify a requested response date based on the required-by date, internal review durations, and schedule needs. Avoid arbitrarily short deadlines that the design team cannot reasonably meet.
Step 4: Confirm receipt by reviewers
Verify that the design team or reviewer has received the submittal and that the files open properly. Address any technical issues immediately so they do not delay review.
Step 5: Update status regularly
On a routine basis, check the review status in the platform or via email and update the register accordingly (for example, “In Review,” “Returned,” “Revise and Resubmit”).
Step 6: Follow up on approaching or overdue reviews
If a submittal’s requested response date is near or past and no response has been received, send a polite reminder referencing schedule impacts, and escalate if needed through established channels.
Process returned submittals (approved, comments, revise and resubmit)
Step 1: Review the returned submittal and stamp
When a submittal comes back, look closely at the review stamp: “Approved,” “Approved as Noted,” “Revise and Resubmit,” or “Rejected.” Read all notes and comments attached to the review.
Step 2: Update status and dates in the register
Change the submittal’s status in the register to match the review outcome and record the design review return date. Note whether a resubmittal is required.
Step 3: Summarize key comments and changes
Write a brief summary of any changes or conditions imposed by the reviewer, especially those affecting fabrication, installation, or coordination with other trades.
Step 4: Communicate outcome to subcontractor
Send the returned submittal and your summary to the responsible subcontractor. Clearly state whether they are cleared to proceed, must incorporate comments, or need to fully revise and resubmit.
Step 5: Coordinate resubmittal actions if required
If the status is “Revise and Resubmit” or “Rejected,” agree with the subcontractor on what needs to change and set a target date for the resubmittal. Add this target date to your register notes.
Step 6: Link to potential change events if applicable
If the review results in changed scope or products, flag the submittal for potential change order review and notify the project manager for follow-up.
Distribute approved submittals and update field documents
Step 1: Identify who needs each approved submittal
For each approved submittal, determine which trades, field leaders, and coordinators need to see it. This may include the superintendent, foremen, and other subcontractors who interface with the item.
Step 2: Save and label approved submittal set
Store the approved submittal file in the project’s document management system under a clearly named folder (for example, “Approved Submittals – Mechanical”) and include the submittal number in the file name.
Step 3: Distribute electronic copies to relevant parties
Send the approved submittal to the responsible subcontractor and internal team members, highlighting any “approved as noted” comments they must follow.
Step 4: Update coordination and installation drawings
If the submittal affects coordination drawings, shop drawings, or installation details, ensure those documents are updated or cross-referenced with the approved submittal. Inform the drafting or BIM team as needed.
Step 5: Place key submittals in field reference locations
Print or make accessible key submittals, such as equipment data sheets and critical details, in the job trailer or digital field devices so crews can refer to them during installation.
Step 6: Confirm understanding during coordination meetings
Review major approved submittals in weekly coordination meetings with trades to confirm that everyone understands what has been approved and any conditions they must follow.
Monitor submittal progress against schedule and resolve bottlenecks
Step 1: Create regular submittal status views
Filter the register to show submittals by status (not started, in preparation, in review, approved) and by required-by date. Pay particular attention to items whose required-by dates are coming soon or have passed.
Step 2: Compare status to schedule milestones
Cross-check the status of key submittals against the schedule activities that depend on them. Identify where late submittals may affect fabrication or installation.
Step 3: Identify bottlenecks and causes
For submittals that are behind, determine whether the delay is on the subcontractor side, internal review, or design team review. Note patterns, such as a particular trade that is consistently late.
Step 4: Meet with responsible parties to clear roadblocks
Discuss problem submittals with the subcontractor, internal reviewers, or design team contacts as appropriate. Agree on specific steps and dates to get the submittals moving again.
Step 5: Escalate critical risks to project leadership
If a late submittal threatens critical path milestones or major deliveries, escalate the issue to the project manager and operations leadership. Consider formal notices if required by contract.
Step 6: Document actions and update register
Record what was agreed and any new dates in the register comments. Update statuses regularly so the register always reflects the true state of submittal progress.
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