The submittal review process applies administrative checks and balances to all aspects of a construction project. Conformance to design concept, contractor coordination and risk management are merely the tip of the iceberg. Construction managers and general contractors should approach this process as an additional opportunity to add value to their clients’ projects.

Submittal reviews are essential to the construction phase and serve as a line of defense to ensure that the project remains on or ahead of schedule and on or below budget, as well as that the final deliverable meets or exceeds the project’s quality requirements and owner’s expectations.

The “Gold Standard Review” for a construction submittal at the construction manager—or general contractor—degree of management includes five levels.

Level 1: Scope Adherence. When utilizing multi-prime contracting project delivery methods or subcontracting portions of work, reviewers should make certain that the project team understands each individual contractors’ responsibilities and assesses its compliance to the assigned work requirements:

• Contractor has provided a stamp and signature certifying it has completed a proper review of the submitted information for adequacy, accuracy and completeness.
• Type of product, sizing or other requirements have been selected by the contractor from the standard technical data sheets.
• Any deviations from the contract documents are specifically called out by the contractor.
• No exclusions to the assigned scope are noted by the contractor.
• Accessories, trims and other miscellaneous items required for installation have been included.
• Completeness (all specified products and applicable certifications, delegated-design calculations or qualification documents have been included in the package).
• Material safety data sheet or SDS documentation is not included (this is not reviewed in the submittal process and should be communicated by the contractor to the project team after approval of submittals).

Level 2: Project Conditions Compliance. Scope management extends beyond general work requirements of a contract. Reviewers should verify project-specific conditions, such as:

• quantities;
• dimensions;
• locations; and
• layout.

Level 3: Technical Compliance. Project management professionals should strengthen quality assurance and quality control programs to successfully deliver construction projects to their clients. In this level of submittal review, the reviewer should examine that the submittal complies with design requirements, including:

• basis-of-design product;
• specified manufacturers;
• approved colors and finishes;
• specified type or option of product selected; and
• performance requirements (e.g., mechanical equipment requirements, electrical requirements and diagrams, schematic diagrams).

Level 4: Contractor Coordination. Coordination problems can substantially impede the success of a project and may result in scope creep, cost overruns, schedule delays and other issues. Reviewers should coordinate submittals between multiple contractors:

• mechanical, electrical, plumbing and fire protection (MEPF) systems;
• equipment and MEPF final connections;
• interfacing details required for products of different trades; and
• synchrony among project requirements and minimum manufacturer specifications (e.g., wall finish and coverings/coatings, slab condition and flooring, wall insulation and exterior systems).

Modern project management software allows for approved submittals to be published and accessed by the entire project team. As an additional step within this level of review, the construction manager or general contractor should forward submittal documentation under review to each contractor with interrelated work and request any comments be returned in a timely manner.

Level 5: Schedule Coordination. A proactive approach—as opposed to a reactive one—when controlling project schedules will provide a larger window of opportunity for mitigation or elimination of risks. The person responsible for submittal reviews should monitor and control schedule and cost requirements, such as the following:

• Submittal review time, product lead time and project schedule are coordinated. Late submittals should include a notice and requirement to expedite fabrication and delivery. Expediting costs are to be borne by the responsible contractor.
• Technical requirements are coordinated with the project schedule (e.g., temperatures and cure times).
• Allow for field verification and fabrication lead times in the project schedule prior to the anticipated installation timeframe. As an alternative, the contractor responsible for the preceding activity should be required to guarantee performance and conformance to the design requirements (e.g., window and door rough openings and sub-girt installation for metal panels).
• Necessary additives, admixtures or coatings, and proper installation procedures are provided to meet schedule requirements and anticipated weather conditions.
• Testing and product requirements are considered (e.g., concrete relative humidity and flooring moisture mitigation requirements or alternative adhesives).

Every construction project has its own challenges. Variables such as owner requests, design requirements, existing conditions and product or manufacturer specifications may present project-specific concerns that the construction manager and general contractor must address during the submittal process. The person responsible for the review of submittals (typically a junior associate such as a field engineer, project engineer or assistant project manager) must have sufficient construction document review experience or be trained by a seasoned individual, while working closely with the lead project manager to offer its clients a heightened level of care.

Construction managers and general contractors ought to consider that reviews of submittals may take several minutes or hours. The reviewer must make certain that the roles and responsibilities of construction professionals versus those of the design professionals are not blurred. Construction companies should reasonably balance time-effectiveness against depth of review, and bear in mind that the architect or engineer is responsible for compliance to codes and standards, adequacy of technical and design criteria specified, coordination of plans and specifications and more.