North American Tunneling7g6,Ozdemir (ed.) O 1996 Balkema, Rotterdam. ISBN 90 54 10 802 9
The three-category submittal review process
William W. Edgerton & John T. MacDermott
Jacobs Associutes, Sun Francisco, Calg, USA
AWSWm: The three-category submittal process is a method of specifying Contractor submittals which
improves communication among the three parties to the construction process by clarifyang specification
language. The proposed submittal process identifies the allocation of risk and responsibilities between the
Owner and the Contractor, establishes a method which the Engineer can use to determine whether certain
of the Contractor's proposed m a s and methods of construction need to be reviewed, and helps insure that
the specifications are drafted to clearly indicate the information which must be submitted.
Construction specifications for tomorrow's
project are often based on the construction documents from yesterday's work. There's nothing
wrong with relying on previously generated specifications if they are really applicable to the current
undertaking.
One reason why the adaptation of an "old"
specification to a current design may be unsuitable
is that innovations have changed the construction
process. Changes to reference standards, e.g .,
ASghg and ACI, may make an "old" specification
inappropriate for current use. Technological advances may have the same effect. An adaptation of
a previously used specification may also be unsuitable because of differences in the Owner's risk
management philosophy. The Engineer's uncritical
adaptation of an "old" specification may lead to an
unintended assumption of risk or to an undesirable
increase in project cost.
The purpose of this paper is to take an analytical
look at the submittal review process. The objective
is to suggest a methodology for specifying Contractor submittals which incorporates current thinking
with respect to lliability and defines the roles of the
Owner, Engineer, and Contractor with respect to the
submittal process. Before undertaking this task, it
will be useful to consider the meaning of the term
"submittal" and the meaning of the term "shop
drawings. "
"Shop drawings" and "submittals" are often used
interchangeably by construction professionals to
describe materials prepared or assembled by the
Contractor to show the details of some facet of the
project. For example, the Engineers' Joint Contract
Documents Committee (EJCDC), in its "Standard
General Conditions of the Construction Contract,"
defines the term "shop drawings" in 81.35 as meaning:
"Alldrawings, diagrams, illustrations, schedules and other data or information which are
specifically prepared by or for the CONTRACTOR and "submitted by CONTRACTOR to illustrate some portion of the Work. "
This typical all-inclusive definition encompasses
everything which the specifications may require the
Contractor to present for review. Although the term
"submittal" is not defined by the ETCDC, for the
purposes of this report, it is useful to distinguish
"shop drawings" from "submittals. " Here, the term
"submittal" will have the broad meaning which the
WCDC gives to "shop drawings. " 'khe term "submittal" includes shop drawings, working drawings,
contract documentation, catalog cuts, mill certifications, quality control reports, samples, and any
other material which the specifications require the
Contractor to present for the purpose of illustrating
some aspect of the work or to demonstrate adher-
ence to the requirements of the plans and specifications.
Within this context, "shop drawings" is one kind
of submittal, referring to permanent construction as
depicted by drawings and calculations prepared by
fabrication shops, suppliers or subcontractors indicating the details of fabrication. By way of contrast,
working drawings are layout and erection drawings
which indicate the physical plan for temporary
facilities such as shoring, formwork, and falsework;
or erection and coordination drawings which set
forth methods for the erection or installation of the
temporary facilities. In this report, the term "submittal" includes all portions of the contractor's
proposed construction which the Engineer has
determined must be evaluated.
To gain an understanding of the Engineer's roles
both in establishing the need for submittals and
reviewing them, it will be helpful to consider the
following questions:
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Why are submittals useful?
What elements of the Contractor's construction
process should be submitted?
What should the scope of the Engineer's evaluation be?
The following sections of this paper examine these
issues.
REASONS FOR REQUIRING SUBMITI'XS
Although a project may be completely designed,
the final outcome -- the completed project -- is
highly dependent on the Contractor's interpretation
and understanding of the design documents. The
process of submitting, reviewing, and approving
submittals has developed as a way of handling the
many details which occupy the interstices between
the design and the construction of the project. Two
reasons for requiring submittals are:'
1. Accepted custom and good practice are that
many design details are not completely specified.
This practice allows bidders the opportunity to
choose materials, equipment, and design details
which are consistent with the design concept,
thereby creating a more competitive bidding
environment. The submittal process provides the
Owner with assurance that the Contractor is
adhering to the design concept and that the
particulars of each project element will be compatible and function together as a system.
2. The submittal process illustrates the Contractor's
understanding of the project requirements and
shows the Engineer how the Contractor intends
to implement those requirements. This process
provides the information necessary for the
Construction Manager to monitor the work for
the purposes of verifying and documenting the
quality of the finished product.
A review of the construction process can help
identify those portions of the Contractor's proposed
construction which the Engineer should evaluate.
This identification will assist in determining the
appropriate character of the Engineer's evaluation.
The general types of information which a Contractor
may be required to develop and submit include the
following:'
Shop drawings. Shop drawings are prepared by the
Contractor, a subcontractor, or a supplier to amplify
some aspect of the permanent construction as expressed in the plans and specifications and to set
forth the details of how the Contractor will approach
that aspect of the work. The term "shop drawings"
includes:
drawings and documentation for structural
components, prepared by the Contractor's fabricator, based upon design criteria provided in the
drawings and specifications. Examples include
miscellaneous metals and structural steel.
e drawings and documentation for manufactured
structural, electrical, and mechanical components. The contract documents typically set
forth performance standards which these preengineered compbnents must attain.
The shop drawings (1) establish that the item which
the Contractor proposes to use meets the performance standard and (2) illustrate how the components will be integrated into the project.
Working Drawings. These drawings show elements
of the work which will not be part of the completed
project but which are necessary during construction.
Some working drawings may indicate work for
which the Contractor must provide some design
details, e.g., shoring, formwork, or scaffolding;
thus, the &wings may require certification by a
professional engineer.
The Engineer's interest is in the effect which the
temporary facilities will have on the integrity of the
finished structure. If the project's design concept
mtricts the construction methods, this information
should also be set forth in the contract documents.
For instance, the contract documents may dictate
how long bracing, shoring, or formwork needs to
remain in place.
MQnyf4clurers'productdata. These submittals may
include brochures, material safety data sheets,
packaginglhandlinglstorage instructions, excerpts
from catalogs, or other illustrative material prepared
by manufacturers or product suppliers. This information demonstrates that the permanent material
proposed by the Contractor meets the project specifications and, additionally, provides the required data
to enable the correct installation.
The prescriptive procedure for converting cement, water, and aggregates to batch
weights on the basis of absolute volumes to produce
concrete with the specified slump, compressive
strength, density, and other design parameters.
These submittals facilitate quality control of the
concrete.
aair &signs.
Quality control certr@mionr. This documentation
warrants that materials (or procedures) conform to
the standard called out in the contract documents.
Examples of quality control documentation include
mill certifications for steel and the results of lab
tests performed by independent laboratories. These
submittals document the quality of the finished
product.
Samples. Bulk material samples, test panels, and
color chips are representative examples of materials
which, when approved, indicate the source, quality,
and/or color which are acceptable for inclusion in
the work.
Contract and Administrative documentatr'on. This
information includes: evidence of performance,
payment, and material bonds; proof of insurance;
daily reports; the Contractor's safety program, accident reports, and survey records; qualification
statements and work experience records for certain
key personnel and for the subcontractors proposed to
carry out certain specialized work; copies of permits; secondary survey control documentation;
copies of easements; and breakdowns of lump sum
bid items for partial payments. These submittals
disclose the Contractor's ability to function as a
viable business entity and help insure that the
Contractor is managing the project in a manner
consistent with generally accepted practices.
Schedules. These submittals include the original
project schedule, updates and revisions to the project
schedule, and narratives describing job progress.
The Engineer will monitor these schedule-related
submittals for adherence to the required intermediate
and final completion dates, to make appropriate
contract adjustments for changes, and to forecast
construction effort.
Third-party approvals. During the course of the
job, the Contractor may have to obtain approvals
fiom various governmental agencies in order to
proceed with parts of the work. An example is the
approvals which will be needed from governmental
entities relating to truck hauling routes. Copies of
the documentation submitted to these "outside"
agencies will be reviewed by the Engineer for
information and to monitor compliance.
Completion Documentation. Documents prepared
upon completion of some facet of the project such as
operations-and-maintenancemanuals and warranties.
This documentation will assist the Owner with the
operation of the completed facility.
Each submittal requirement should fulfill a need
for information which arises from the instant
project. The specification should impose a submittal
requirement based on the drafter's knowledge of the
project and experience with the work being specified. Submittal requirements should not be dictated
simply because another specification imposed them;
they should arise from a reasoned analysis of the
particular work and of the specific project.
THE C ' O ~ N T Z O N A L SUBMZ1TAL REVIEW
PROCESS
Contract documents typically require a Contractor to submit certain items for review and approval
as being consistent with the project's "design concept." The term "design concept" is not welldefined in the construction industry:
"While its precise meaning may be elusive at
times, 'design concept' relates to the final in
place installation of material and equipment
as part of a functioning whole as required by
the Contract Documents. The term does not
relate to means, methods, techniques, sequences and procedures of construction
which a're part of the Contractor's responsibilities. To put it another way, by approving
(reviewing, checking, returning without
objection, or whatever) a submittal, the