Who this article is for: Authority users
Overview
When you issue an enforcement document, you can require the industrial user to send you something back — a compliance report, a corrective action plan, or a baseline monitoring report. These are called submittals. Each location's Documents tab lists every submittal that enforcement has required, what it's for, and whether it arrived on time.
⚠️ In this release, submittals are completed by the authority on behalf of the industrial user. Portal submission is planned for a future release, so don't tell an industrial user to log in and file one yet.
Before you begin
Submittals only appear once the response that requires them has been issued. While the response is still a draft, nothing shows on the Documents tab.
You need a Submittals template for each kind of document you require.
Finding the submittals for a location
Open the industrial user.
Go to the Documents tab.
The list is sorted by due date, soonest first — so anything overdue sits at the top.
Each row shows Status, Document Type, Document Name, Template Used, Due Date, Created On, Submitted On, and Submitted By.
💡 Three more columns are available from the column controls: Enforced By (which enforcement document required it), Created By, and Archived.
What each status means
Status | What it means |
Scheduled | The response has been issued and the submittal has a due date that hasn't passed. |
Past Due | The due date has passed and nothing has been submitted. This is worked out from the due date rather than set by anyone, so a row moves here on its own. |
Completed | The document has been submitted and both signatures have been captured. |
⚠️ A missed deadline raises a nonconformance. When a submittal goes past due without being submitted, SwiftComply records a nonconformance against the location for the missed deadline. It's raised once, not repeatedly. That nonconformance behaves like any other — you can respond to it, and that response can carry its own requirements.
Completing a submittal
On the Documents tab, click a Scheduled or Past Due row.
Fill in the template form.
Attach any supporting documents the industrial user provided.
Select Submit. This does not file the submittal yet — it opens a Sign & Submit window.
In Sign & Submit, complete both signatures:
Under Authority, type your name in Type Your Name. The Date and Hour beside it are shown for reference and cannot be edited — SwiftComply stamps the authority signature with its own clock when the submittal is filed.
Under Location Representative, type the name of the person at the industrial user who is certifying the document in Type Representative Name, and set the Date and Hour they signed. That date cannot be in the future.
Select Sign & Submit to file it.
Both names are required, and so is the representative's date. Nothing is saved until you confirm, so selecting Cancel leaves the submittal exactly as it was.
Once filed, the submittal moves to Completed, records Submitted On and Submitted By, and stores the finished document as a PDF.
Reviewing a completed submittal
Clicking a completed row opens its own page with two tabs.
Overview shows the summary — Status, Document Name, Document Type, Template Name, Enforced By, Due Date, Created On and By, Submitted On and By — plus a viewer for the rendered PDF.
Nonconformances appears once a submittal is completed or past due. Use it if what you received was deficient: add a nonconformance describing the problem.
You can Archive a submittal from this page, and Unarchive it later. Archiving is separate from status — an archived submittal keeps its Completed status and picks up an Archived chip.
What happens next
A nonconformance raised on a submittal — whether you added it because the report was deficient, or the system added it because the deadline passed — re-enters the enforcement cycle. You can respond to it, that response can require more sampling, reports, or inspections, and those can surface further violations.
That loop is the point: escalation is tracked in one place rather than reconstructed from files later. Every step keeps its link to the enforcement document that caused it, which is what the Enforced By field shows you wherever a requirement appears — on a sample report configuration, a sample report, an inspection, or here.
FAQ
A submittal I set up isn't on the Documents tab.
Its response is still in Draft. Submittals are created when the response is issued, so finish and issue the response.
I selected Submit but nothing was filed.
Submit opens the Sign & Submit window rather than filing straight away. Both typed names are required, along with the representative's signature date, and nothing is recorded until you select Sign & Submit in that window.
Why can't I change the Authority date?
SwiftComply stamps it when the submittal is filed, so it always reflects when the document was actually submitted rather than a value someone typed.
The representative signed last week. Can I record that date?
Yes. Set the Date and Hour under Location Representative to when they signed. The only restriction is that it cannot be in the future.
A row shows Past Due but the report did arrive.
It was received but never entered. Open the row and complete the form — status follows what's recorded, not what's in your inbox.
I can't find an old submittal.
It was probably archived. Turn on the Archived column from the column controls.
An industrial user wants to submit it themselves.
Portal submission isn't available yet. Have them send the document to you and complete the form on their behalf, recording them as the location representative.
The wrong template was required.
Requirements lock once the response is issued. Issue a new response with the right submittal requirement.
Related articles
Building Response and Submittal Templates
Giving Industrial Users Portal Access