Submittal Process for Construction Documents

What is a submittal?

A submittal is about the written or physical information given by a responsible contractor or subcontractor to the client or main contractor. This information is submitted to the design team for approval of equipment, materials, etc. before they are fabricated and delivered for installation to the project site.

Submittals can be in various formats, such as shop drawings, cut sheets on equipment, and material samples. Architect and engineer to verify primarily required submittals that the correct products and quantities will be installed on the project in compliance with the Specification or contract documents.

Submittal Process for Construction Documents

Submittal Process for Construction Documents

Submittal Process for Construction Documents

1. PURPOSE

This Construction Engineering Procedure provides detailed instructions on the activities and responsibilities regarding submittals that require Client Engineering Approval of the Submittal Coordinator, Construction Home Office Supervisor, Field Construction Representative, Approving engineer and Project Engineering.

These submittals include (list the ones covered below)

2. RELATED DOCUMENTS

  1. General Scope of Work for Construction Contracts.
  2. General Scope of Work for Construction Contracts.
  3. Crane and Lifting Procedures.
  4. Project Scope of Work.

3. Contractor Document Submittals

3.1 The Contractor shall submit all documents and/or drawings to the specified Construction Engineering Submittal Coordinator.

3.2  One copy of the documents and a cover letter stating the contents (drawing numbers, related subject, contractor, purchase order number, project number, location, contact person and phone number to whom can answer any questions) shall appear on the cover letter. In lieu of a cover letter, an e-mail may also be used as a cover letter.

3.3  In lieu of hard copied submittals, electronic submittals are also acceptable.

3.4  The Field Superintendent shall be copied on all submittals.

3.5   Drawings:

    • Supplier steel drawings require approval by Design Engineering. Construction Engineering will process these drawings between the supplier and Design Engineering for approval.

4. Submittal Coordinator Responsibilities

4.1       When documents are submitted for approval they shall be stamped with the date received and copies shall be made for the Project Engineer and responsible discipline Engineer. Provide a cover letter (or e-mail) stating the project number, location, contractor, and purchase order number.

4.2       Approvals shall be made upon urgency (no more than five working days for normal review). If there is a disagreement regarding urgency between the approver and the requirements of the field, the submittal coordinator will involve the Project Engineer and the responsible Construction Supervisor.

4.3       When the approval process is complete, copies shall be distributed to the Project Engineer, responsible discipline Engineer, and the field superintendent. A cover letter (or e-mail) must be attached stating what is being approved.

 4.4       One copy shall be made for the contractor submitting the documents along with a cover letter (or e-mail)stating if the submittal was approved, approved with comments or not approved and items that need to be resubmitted.

 4.5       If the documents need to be resubmitted, the contractor shall be allowed five working days to resubmit the documents for further approval. The submittal coordinator shall contact the contractor if the documents are not received during this time.

5. Field Superintendent Responsibilities

5.1       The field superintendent is responsible for ensuring that electronic copies  of these transmittals are stored on Construction Engineering’s current “shared site”  in the designated Quality Assurance / Quality Control (QA/QC) folders.

6. Approving Engineer Responsibilities

6.1  The approving discipline engineer (e.g., Civil, Mechanical, Electrical) is responsible for reviewing and commenting on submittals within the five working days time frame. If shorter approval duration is required, the submittal coordinator shall inform the reviewing engineer of the required date and reason for expedited approval.

 6.2  If the approving engineer is not available during the approval cycle, the Submittal Coordinator will contact the discipline functional lead to find a suitable qualified substitute to review the submittal.

7. Copies of Submittals

7.1  Approved/approved with comments copies:  (1) submittal coordinator, (1) project engineer, (1) contractor, (1) approving engineer (Civil, Mechanical), and (2) field superintendent. An alternative to hard copies for internal distribution, submittals can be scanned and sent by email as a primary notification.

7.2  Not approved submittal copies:  (1) submittal coordinator, (1) approving discipline engineer (e.g. Civil, Mechanical, Electrical), and (1) contractor. The field superintendent shall receive notification of non-approved submittals so they can review status to help in expediting the contractor during weekly meetings. An alternative to hard copies for internal distribution, submittals can be scanned and sent by email as a primary notification.

 7.3  Hard copies of reviewed submittals are to be sent to the contractor and electronic notification to internal parties as defined in paragraphs 7.1 and 7.2 above. Depending on the urgency of getting copies to all parties, an email is an acceptable alternative.

 7.4  Copies of the approved and approved with comments submittals shall be placed in the project STAC file by the submittal coordinator.

8.  Verbal Approvals

Te submittal coordinator shall follow up verbal approvals for submittals with hard copies within 24 hours so that approvals can be distributed to all parties.h

9. Concrete Design Mixes

9.1  Contractor will send one copy of the Concrete Design Mix to the Submittal Coordinator.

9.2  The Submittal Coordinator will distribute one copy to the project specified Civil Engineer for review.

9.3  The project specified Civil Engineer shall have five working days from receipt for the approval process. If shorter approval duration is required, the submittal coordinator shall inform the reviewing engineer of the required date and reason for expedited approval.

This is subject to change due to urgency based on field requirements. If the civil engineer is unavailable for review, submittal coordinator shall contact the functional lead or acting Civil Design Manager for further assistance.

9.4  After the concrete design mix is approved/approved with comments, the submittal coordinator shall distribute copies as follows:  (1) field superintendent, (1) project specified Civil Engineer, (1) submittal coordinator and (1) contractor. An alternative to hard copies for internal distribution, the submittals can be scanned and sent by email as a primary notification.

9.5   “Not Approved” submittals shall be returned to the contractor. The contractor shall be allowed five days for resubmittal. This can be subject to change due to urgency based on field conditions.

10.  Reinforcing Steel Drawings

10.1    Contractor shall submit one copy of the Reinforcing Steel Shop Drawings to the Construction Field Representative.

Note:  Reinforcing Steel Shop Drawings approval is only required for major or critical foundations as determined by the Construction Field Representative/ Project Engineer and/or specifying Engineer. Foundations requiring reinforcing steel drawing submittals are typically identified on the applicable foundation drawing. 

10.2    The Submittal Coordinator will distribute one copy to the project specified Civil Engineer for review.

10.3    The project specified Civil Engineer shall have five working days from receipt for the approval process. If shorter approval duration is required the submittal coordinator shall inform the reviewing engineer of the required date and reason for expedited approval. This is subject to change due to urgency based on field requirements. If the civil engineer is unavailable for review contact the functional lead or acting Civil Design Manager for further assistance.

10.4    After the Reinforcing Steel Drawings are approved/approved with comments, the submittal coordinator shall distribute copies as follows:  (1) field superintendent, (1) Civil Engineer, (1) home office file and (1) contractor. An alternative to hard copies for internal distribution, submittals can be scanned and sent by email as a primary notification.

10.5    “Not Approved” submittals shall be returned to the contractor. The contractor shall be allowed five working days for resubmittal. This can be subject to change due to urgency based on field conditions.

11. Weld Procedure

11.1    The Construction Engineering Field Representative will receive from the Contractor one copy of the Welding Procedure Specification (WPS) and the Procedure Qualification Record (PQR). The Construction Field Representative will fill out a WeldPro Form with the proper information pertaining to the weld procedure. The Construction Field Representative will forward one copy of the welding procedure specification, procedure qualification record, and the WeldPro form to the Submittal Coordinator.

11.2    The submittal coordinator will send the Weld Procedure Specification (WPS), Procedure Qualification Record (PQR), and WeldPro form to quality manager responsible for approval. Responsible individual will review and email a Weld Procedure Review Sheet to the Submittal Coordinator, Construction Engineering Home Office Supervisor, Field Superintendent, and the Project Engineer. This will state if the weld procedure has been approved, approved with comments, or rejected.

11.3    Rejected weld procedures shall be sent back to the contractor. The contractor will make the corrections based on comments made on the Weld Procedure Review Sheet. The contractor will then resubmit the weld procedure to the Construction Field Representative who will forward one copy to the Submittal Coordinator.

11.4    If a contractor has a previously approved weld procedure for a specific application or process, the Construction Engineering Field Representative can verify approval on WeldPro webpage.

12. Material Substitution and Approval Requests

12.1    Contractor will send one copy of material substitution with technical data and material approval requests to the Submittal Coordinator.

12.2    The Submittal Coordinator will distribute one copy to the responsible discipline engineer or designer for review.

 12.3    The responsible engineer or designer shall have five working days from receipt for the approval process. If shorter approval duration is required, the submittal coordinator shall inform the reviewing engineer of the required date and reason for expedited approval. If the responsible engineer or designer is not available, the Submittal Coordinator will contact the functional discipline manager to assign a suitable reviewer.

12.4    After the material substitution is approved or approved with comments, the submittal coordinator shall distribute copies as follows:  (1) field superintendent, (1) responsible engineer or designer, (1) submittal coordinator and (1) contractor. An alternative to hard copies for internal distribution, submittals can be scanned and sent by email as a primary notification.

12.5    “Not Approved” submittals shall be returned to the contractor. The contractor shall be allowed five days for resubmittal. This can be subject to change due to urgency based on field requirements.

13. Lifting Procedures

13.1    Contractor will send one copy of the Lifting Procedure to the Construction Field Representative prior to planned lift date The Contractor shall submit lift plans by a date agreed upon with the Air Products representative or as defined in the project specifications. .

13.2    The Construction Field Representative will do an initial review and distribute one copy to the Construction Home Office Supervisor for approval.

13.3    The Construction Home Office Supervisor will have five working days from receipt for the approval process. This is subject to change due to urgency based on field conditions. Erection procedure approval must be provided in writing. To expedite the process, approvals may be given verbally, but shall be confirmed in writing within 24 hrs.

13.4    After the Lifting Procedure is reviewed, the submittal coordinator shall place on the lifting procedure on the share site as per section 5.1.

13.5    The field superintendent shall file a copy of the lifting procedures and lifting procedure approval in the quality assurance/quality control folder on the share site as per section 5.1.

13.6    “Not Approved” Lifting Procedures shall be returned to the contractor. The contractor shall be allowed five working days for resubmittal. This can be subject to change due to urgency based on field requirements.

14. Turnkey Construction

14.1    Before issuing specification design and construction contracts, the Project Engineer, responsible construction supervisor, and the Submittal Coordinator shall meet to agree on the submittal process. Depending on the complexity of the contract, submittals may be handled through the vendor data process, through the Construction Engineering Submittal Coordinator or 3rd party engineer document control process.

14.2    If submittals are handled through the vendor data process, the Project Engineer is responsible for making sure the field superintendent and submittal coordinator are on distribution for approved and approved with comment drawings.

14.3    If submittals are handled through the Construction Engineering Submittal Coordinator, the following procedure shall be followed:

14.3.1 Contractor will send one copy of turnkey submittal requests to the Submittal Coordinator.

14.3.2 The Submittal Coordinator will distribute one copy to the responsible discipline engineer or designer for review.

14.3.3 The responsible engineer or designer shall have five working days from receipt for the approval process. If shorter approval duration is required, the submittal coordinator shall inform the reviewing engineer of the required date and reason for expedited approval. If the responsible engineer or designer is not available the Submittal Coordinator will contact the functional discipline manager to assign a suitable reviewer.

14.3.4 After the turnkey submittal is approved or approved with comments, the submittal coordinator shall distribute copies as follows:  (1) field superintendent, (1) responsible engineer or designer, (1) submittal coordinator, and (1) contractor. An alternative to hard copies for internal distribution, submittals can be scanned and sent by email as a primary notification.

14.3.5 “Not Approved” turnkey submittals shall be returned to the contractor. The contractor shall be allowed five days for resubmittal. This can be subject to change due to urgency based on field requirements.

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