Part 3  -  Challenges, the Laws of Physics, Project/Construction Management and Reality

 

Contract Submittal Process

You see it more and more, corporate leaders flex their authority and demand the work force do it faster, do it cheaper, do it better and do it right.   Despite the obvious opposing forces to achieve these goals, program and project managers are expected to execute and overcome obstacles to progress and project realization.   

Demanding construction contract submittals be processed in a 7 day review cycle can only achieve success if the contractor’s submittal quality, size and complexity are aligned with the Construction Manager’s (CM)  process work flow and the assigned reviewer resources.

For typical construction projects, the contract specifications follow Construction Specifications Institute (CSI).    The submittal general description, specific product requirements and the execution requirements are typically contained in the CSI-Division 1 specifications.   The product requirements include descriptions of items such as shop drawings, product data, as-built drawings, calculations, inspection and test reports, and material samples.  The execution requirements include the disposition of reviews, the review duration and timing with construction schedule, resubmittal requirements, and the overall process work flow.   The disposition of submittal reviews are normally A) Proceed.  B)  Proceed As Noted.   C)  Proceed As Noted – Revise and Resubmit.  D)  Do Not Proceed – Revise and Resubmit.

In many rail transit projects, contractors are typically requested to plan the submittal register and schedule for a 30 day period from receipt of submittals to return of comments to the contractor.   This period includes CM administration, review comments by Engineer of Record (EOR), and review and reconciliation of Owner comments.   The construction contract submittal process is managed with simple software tools, such as MSExcel, or more targeted contract management tools, such as SharePoint and UNIFER, that track submittals by specification, date to CM, date returned to contractor, and the disposition.  

To shorten the review cycle period, program and project executives as well as scheduling experts would insist that additional EOR staff be increased and that reviews be conducted by multiple reviewers. 

Assigning multiple reviewers to submittals to shorten the review period may work on paper. If multiple reviewers are assigned, then the process work follow will need to conduct an integration review and comment reconciliation before the submittal can be returned to the contractor.   But typically, it is more effective to assign a single person familiar with the requirements and the contract development.   A single reviewer will assure a systematic and integrated review of a submittal from start to finish. 

The Division 1 specification for submittals allows the CM and contractor much latitude and flexibility to create a process work flow to maximize the use of the contractor’s internal processes and documentation standards.   However, the processes and documentation standards can be vastly different between contracts and vary widely depending on the contract scope.   Additionally, system contracts, tunneling contracts, vehicle procurement contracts, vehicle storage yard contracts and substation contracts all are unique to their individual industries. 

The content and complexity of submittals and Requests for Information are also a function of contractor processes, new technology, specialized means and methods, and direction received at project meetings.   In order to improve the performance, a more prescriptive description of submittal packages tailored to shop drawings, product data, test procedures, and installation instructions will need to be developed to effectuate a 7 day review cycle:  

• Submittals:   Based on the approved Submittal Register/Schedule, documents submitted to the CM shall contain no more than 20 drawings or 50 sheets for product data, manuals, and calculations.   For composite submittal content, the total sheets shall not exceed 30 sheets. (For large submittals, the contractor/CM will need to establish multiple Submittals that allows a longer review period of consecutive 7 day periods.)
• Requests For Information:   Using the ESA standard form, an RFI shall be limited to one primary question and no more than 5 sheets of attachments. 

Managing a more prescriptive submittal process will require the CM and contractor to more intensely monitor staffing and CPS priorities to maintain aggressive progress.  Additionally, the CM and contractor will be needed to be nimble in making changes as the construction schedule is adjusted.   As a result, the standard submittal register/schedule may become more extensive as other attributes are added to the process work flow, including:

• Assigned reviewers
• Successor construction activity ID, description and start date
• Interdependencies with other submittals

Reality

Unless process reviews are diligently managed and controlled by CM within the approved Submittal Register/Schedule, the return of submittals will deviate from the contract guide of 30 days.   The risks on the construction schedule will be monitored and mitigated by the CM, contractor and EOR working closely together to prioritize critical submittals for review.