SINO IRON PROJECT
Document Submission Specification Doc No:
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Status:
Rev Date:**
DI-000005
03
AFI
11-Mar-2010
Page 2 of 13
For Controlled version refer to CPM Project Document Management System
TABLE OF CONTENTS 1
Purpose .............................................................................................................................. 3
2
Scope .................................................................................................................................. 3
3
Definitions / Abbreviations .................................................................................................. 3
4
Responsibilities ................................................................................................................... 3
5
Document Language and Numbering................................................................................. 4
5.1 Document Language ................................................................................................... 4 5.2 Document Numbering ................................................................................................. 4 5.3 Project Equipment Numbering .................................................................................... 5 6 Document Revision and Status Codes ............................................................................... 5 6.1 Document Revision Codes .......................................................................................... 5 6.2 Document Status Codes ............................................................................................. 5 6.3 Summary ..................................................................................................................... 6 6.4 Prerequisites ............................................................................................................... 7 7 Document Content and Format .......................................................................................... 7 7.1 Conditions Applicable to both Drawings and Documents ........................................... 7 7.2 Conditions Applicable to Drawings Only ..................................................................... 8 7.3 Conditions Applicable to Documents Only .................................................................. 8 8 Document Submission ........................................................................................................ 9 8.1 Electronic Data Transfer ............................................................................................. 9 8.2 Document Transmittals ............................................................................................... 9 9 Review Submissions ........................................................................................................ 10 10 Notification Submissions .................................................................................................. 11 11 Administrative Documents ................................................................................................ 11 12 References ....................................................................................................................... 11 13 Attachment 1 – Sample Supplier Document Schedule (SDS) ......................................... 12 14 Attachment 2 – Sample Checklist for Supplier Data ........................................................ 13
Template No: DI-000018
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
SINO IRON PROJECT
Document Submission Specification Doc No:
Revision:
Status:
Rev Date:**
DI-000005
03
AFI
11-Mar-2010
Page 3 of 13
For Controlled version refer to CPM Project Document Management System
1 Purpose The purpose of this specification is to ensure document and drawing submissions by external parties to the Client are received in a standard format and manner so as to assist in minimising inefficiencies, delays, miscommunication and errors. Compliance with this specification shall also ensure adequate traceable records are generated and that the Client shall have information on which to base its project plans, schedules and assist in the decision making process.
2 Scope Compliance with this document is mandatory for document submissions as identified in the applicable contract or purchase order (including Letter of Intent).
3 Definitions / Abbreviations Client
CITIC Pacific Mining Management (CPMM)
Supplier
CPMM Contractor (provider of services), their Sub-Contractors, Vendors (provider or equipment), Design Institutes and other third parties.
Document
For the purposes of this specification the term Document shall be deemed to include drawings (unless specifically stated in the text)
PDF
Portable Document Format (can be read with Adobe Reader)
FTP
File Transfer Protocol (web page used for storage or transmission of electronic files)
Native file
Original editable file format as produced from the originating software.
Contract
For the purposes of this specification this term shall be deemed to include Contracts, Letters of Intent and Purchase Orders.
SDS
Supplier Document Schedule
4 Responsibilities Suppliers shall ensure they meet the requirements of this specification throughout the term of the contract. Suppliers shall be responsible for ensuring that their sub Suppliers and Vendors comply with the requirements of this document. Deviation from the requirements detailed within this document will be by prior written agreement from CPMM only. The Supplier shall ensure their document control procedures comply with the requirements of this document.
Template No: DI-000018
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
SINO IRON PROJECT
Document Submission Specification Doc No:
Revision:
Status:
Rev Date:**
DI-000005
03
AFI
11-Mar-2010
Page 4 of 13
For Controlled version refer to CPM Project Document Management System
5 Document Language and Numbering The following sub sections define CPMM requirements with regards to document language and numbering of Suppliers documents.
5.1
Document Language All documents shall be produced in the English language, using SI (metric) system of units, and shall be clear, legible, concise and set out in such a way so as to be easily followed and understood. Abbreviations shall be avoided, where they are used there shall be a legend or a list of definitions. Chinese translation may also be provided but shall not be submitted as a separate electronic file (where dual language is required, English and Chinese would need to be shown on the same document).
5.2
Document Numbering Upon award, the Supplier will be provided access to CPMM‟s Coreworx FTP site, which contains all applicable CPMM forms and templates. One of these templates is DI-000015, named “Supplier Document Schedule” (SDS). The SDS is completed by the Supplier in accordance with the document requirements set out in the Contract. See Attachment 1 for an example of a SDS. The Supplier is responsible for completing the SDS and submitting it to CPMM Document Control by the date stated in the Contract/Purchase Order or five working days after recept, whichever is the latest. Where a document type has been requested e.g. General Arrangement Drawing, the SDS shall list all individual General Arrangement drawings that are intended to be submitted. The supplier shall check the header information supplied on the SDS and complete or correct as necessary. The submission number is to be a sequential number identifying how many times the Supplier has submitted the SDS, the first submission shall be 01. A new SDS shall be submitted as additional Document Numbers are required, only the new required documents shall be shown upon the SDS (the SDS retains the same Project document number with each and every submission). The columns incorporated in the Schedule are to be completed as follows:
CPMM Document Type Code – As provided within the SDS drop down list.
Departmental/Discipline Code – Refer to the drop down values within the SDS template. The value shall be allocated in accordance with the content subject of the document (not necessarily the authoring Discipline).
Document/Drawing Title – Titles shall be as close an estimate as can be achieved at the time of submission of the SDS.
Template No: DI-000018
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
SINO IRON PROJECT
Document Submission Specification Doc No:
Revision:
Status:
Rev Date:**
DI-000005
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11-Mar-2010
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For Controlled version refer to CPM Project Document Management System
Initial Planned Submission Date – The Supplier shall nominate a date (in accordance with any contractual obligations) by which they intend to submit the specific document to CPMM for the first time.
Area Code – Refer to the drop down values within the SDS template.
Sub Area Code – Refer to DI-000498 (Equipment Numbering System) for a list of valid codes.
CPMM shall return a report to the Supplier which provides the CPMM Project document numbers for each item. It is the responsibility of the Supplier to ensure a CPMM Document Number is assigned to each document in accordance with the returned Supplier Document Schedule. Prior to the documents submission to CPMM, the Supplier, at their discretion may also include their own document number on the document.
5.3
Project Equipment Numbering Project (CPMM) Equipment Numbers shall be used to identify all items of equipment on all documentation, refer to DI-000498 Equipment Numbering System.
6 Document Revision and Status Codes 6.1
Document Revision Codes Revisions are used to identify the fact that a document has changed in some way since its last publication (submission). The Revision, along with the „Document Status‟ will provide a clear indication of the specific state of each particular document, as well as infer the associated level of confidence in the content. The CPMM ‘Revision Coding’ schema contains an element of intelligence i.e.
6.2
If the revision code contains an alpha character, the revision is considered in Preparation or in Review, and therefore the contents must be treated as not yet approved for implementation. An example of this type of revision Code would be „00A‟
If the revision code contains no alpha character, the revision is considered a formal approved revision. An example of this type of revision code would be „00‟
Document Status Codes The Document Status Code shall identify the specific reason for Issue. The authorised Status Codes have been split into two groups, and membership of each group depends on whether the Status Code infers a Preparation / Review status or an Approval / Approved status (will correlate with whether the Revision code have an alpha suffix, or otherwise). The following tables identify all of the available Status Codes, split by their relevance to Preparation / Review Revisions, or Approval / Approved Revision Submissions.
Template No: DI-000018
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
SINO IRON PROJECT
Document Submission Specification Doc No:
Revision:
Status:
Rev Date:**
DI-000005
03
AFI
11-Mar-2010
Page 6 of 13
For Controlled version refer to CPM Project Document Management System
Applicable Status Codes for Preparation / Review Revisions (revisions with alpha letters) CODE
DESCRIPTION
DPR
Draft/in Preparation
RSD
Review Single Discipline
RMD
Review Multi Discipline
RCR
Review Client Representatives (this status should be used by Suppliers submitting documents for CPMM review)
ABR
As Built Red Line
Applicable Status Codes for Approved Revisions (revisions without alpha letters)
6.3
CODE
DESCRIPTION
APC
Approved for Purchase/Contract
AFI
Approved for Implementation
AFD
Approved for Design
AFC
Approved for Construction / Fabrication / Installation
ABF
As Built Final
Summary The diagram below provides an example of a typical Document Lifecycle, and the appropriate Revision Codes and Status to use at each submission:
Template No: DI-000018
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
SINO IRON PROJECT
Document Submission Specification Doc No:
Revision:
Status:
Rev Date:**
DI-000005
03
AFI
11-Mar-2010
Page 7 of 13
For Controlled version refer to CPM Project Document Management System First „Approved‟ Revision Submitted
Second Submission for „Client Review‟
Revised Submission for „Client Review‟ at Rev „01‟ Second „Approved‟ Revision Submitted
First Submission for „Client Review‟
00A
00B
00
01A
01
RCR
RCR
AFD
RCR
AFC
Example of appropriate use of „Status‟Codes in association with specific revisions
6.4
Prerequisites All drawings and data shall be checked (and signed accordingly) for accuracy, clarity, completeness and conformance with the applicable regulations, codes, standards and specifications prior to submission to the Client for Review or Approval (unless an explicit request has been made by an authorised CPMM representative to provide a revision prior to these checks being conducted). All native files shall have the appropriate Originator, Check & Approval signature initials typed into the applicable boxes prior to submission, or prior to any subsequent creation of any PDF renditions of the file. The Supplier must retain the original „Wet Signed‟ version of any documents submitted to the client, when typed signatures are supplied. The Supplier shall provide client access to the original „Wet Signed‟ document upon request.
7 Document Content and Format 7.1
Conditions Applicable to both Drawings and Documents All documents and drawings shall contain the following information:
CPMM Document Number (refer to the returned SDS for these numbers)
Project Name (e.g. Sino Iron Project)
Contract/Purchase Order number (as specified on the Contract Package)
Suppliers Company name or logo
Template No: DI-000018
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
SINO IRON PROJECT
Document Submission Specification Doc No:
Revision:
Status:
Rev Date:**
DI-000005
03
AFI
11-Mar-2010
Page 8 of 13
For Controlled version refer to CPM Project Document Management System
Document title
Major Equipment Number(s)
Major Equipment Name(s)
Revision Code & Status Code
Revision history and reference drawings
Documents and drawings are permitted to contain the Suppliers own document number in addition to the CPMM document number. All files shall be submitted with open security, and NOT password protected. PDF files are to be created at the original size of the document to enable accurate printing at full size if required i.e. Do not set print size to A3 for an A1 drawing. Files should be saved in the correct orientation to enable easy viewing without rotating.
7.2
Conditions Applicable to Drawings Only Refer to DI-010883 for instructions in regards to the content and format of drawing submissions. Sheet numbering is not a practice utilised by CPMM. Each and every drawing is required to be identified with a unique CPMM Document number. This also means that electronic files shall consist of only one drawing (or a single sheet) per file. All submission of drawings shall be a format consistent with distilled PDF file black & white (unless colour is required to interpret the drawing). Where a distilled (printed) PDF is not practical then a PDF scan may be acceptable (minimum of 300dpi). It is the Suppliers responsibility to ensure that the submitted PDF file is a true representation of the original drawing. For the final handover deliverable the Supplier shall provide the native files of the drawings. Native file format drawings may be required by the Client, prior to the document handover. In these cases the Supplier shall supply them upon request from the Client, or as specified within the Contract.
7.3
Conditions Applicable to Documents Only Documents shall be submitted with the Client provided cover sheet (DI-010454 - Supplier Document Cover Sheet). The Supplier shall develop cover sheets for all other file types based upon the supplied MS Word Cover Sheet. The developed Cover sheets must contain the same information as has been indentified on the MS Word Cover Sheet.
Template No: DI-000018
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
SINO IRON PROJECT
Document Submission Specification Doc No:
Revision:
Status:
Rev Date:**
DI-000005
03
AFI
11-Mar-2010
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For Controlled version refer to CPM Project Document Management System MS Office Documents (limited to Excel, Word and PowerPoint) may be submitted in their native application file types. All other document files shall be submitted in a distilled PDF format along with the native file format (where practical). Any Microsoft Office format document shall be self contained and not have any embedded elements or electronic links to external files. Where a document is composed from different files then a single PDF shall be submitted, along with the component native files zipped into a single file. The clients‟ expectation is that a print instruction on a single file shall print all the required pages for the specific document. The Supplier where ever practical shall ensure that file sizes are maintained to a size less than 20Mb. This may mean that documents such as manuals are required to be broken down into multiple files. A logical means of splitting the files shall be used e.g. Chapters or Sections and Volumes. Large multi-page files shall be bookmarked appropriately to aid navigation (as would be expected in an index or folder sections). A separate procedure has been developed by CPMM QA department for the formatting of Suppliers Manufacturing Data Records (MDR), refer to DI-026604. This shall be used to compliment the requirements set out in this procedure.
8 Document Submission All document submissions to CPMM will undergo a quality assurance check in accordance with this procedure. A checklist (DI-000020 – Checklist for Supplier Data) is used for this purpose. See Attachment 2 for an example of the checklist.
8.1
Electronic Data Transfer The Submission of all Contractor and Supplier documents are to be made via the clients FTP solution (CoreWorx). Please refer to document reference „DI-000635 FTP Transfer Instructions to Suppliers’ for detailed instruction on how to use the CPMM FTP site.
8.2
Document Transmittals All submissions shall be accompanied by a transmittal. The CPMM Transmittal Template (DI010555) must be used. The transmittal template, as with all templates, specifications and forms, can be found in the “Documents and Forms for use by Contractors” folder in Coreworx. Each individual transmittal record shall contain a unique Identification Code, Contract/Purchase Order Number, Suppliers Company name or logo, reason for issue and transmittal date. All fields within the transmittal template should be completed where ever practical.
Template No: DI-000018
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
SINO IRON PROJECT
Document Submission Specification Doc No:
Revision:
Status:
Rev Date:**
DI-000005
03
AFI
11-Mar-2010
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For Controlled version refer to CPM Project Document Management System The naming convention for the transmittal number shall be:
[Company]-TR-[sequential number] (e.g. Sandwell-TR-0001)
Documents shall be submitted for one of two reasons, either „Review‟ or „Notification‟. Each Transmittal shall contain documents which are only either for „Review‟ or „Notification‟, not both. If the Supplier requires to submit documents both for „Review‟ and „Notification‟ simultaneously, this must be done using two separate transmittals, one containing all documents being submitted for „Review‟ and the other containing all documents being submitted for „Notification‟. The file name column on the transmittal should contain the actual file name of the associated document file(s) and should contain nothing else. This is used to automate the loading of files into our system therefore it must be an exact match to the actual file name. File naming conventions for the electronic files shall be as per the CPMM document number quoted on the transmittal record. A suffix of a sequential number is used where multiple files are required for a single Document Number (e.g. large file size that has been broken down into smaller packages, refer to 7.3). The Supplier may also submit their own transmittal record, along with the CPMM transmittal if it is required for their traceability, which will be signed and returned upon acceptance of submission.
9 Review Submissions Documents which are submitted for Review shall be processed as follows: Submitted documentation shall be reviewed by CPMM and allocated a Status Code prior to being returned, in accordance with the below stipulated codes: 1-
Reviewed and Accepted as Final Certified. Works may proceed. The document is accepted as is; acceptance does not relieve the Supplier of their responsibilities or liabilities as instructed in the applicable Contract or Purchase Order documentation. The document does not require resubmission unless a change is proposed by the Client or Supplier.
2-
Reviewed and Accepted with comments as noted. Revise and resubmit. Works may proceed. Only the elements of the document where no comments are applicable are deemed to be acceptable, where a comment has been made it is only acceptable if the comment is resolved to the Clients satisfaction. Works may continue in accordance with the comments made.
3-
Reviewed and Not Accepted. Correct and resubmit. Works must not proceed. The document is not acceptable. Any actions taken by the Supplier based upon the document shall be at the risk of the Supplier. Do not continue with the works.
4-
Review not Required. For information only. Works may proceed. The client has deemed this document not required for the project, do not resubmit.
Template No: DI-000018
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
SINO IRON PROJECT
Document Submission Specification Doc No:
Revision:
Status:
Rev Date:**
DI-000005
03
AFI
11-Mar-2010
Page 11 of 13
For Controlled version refer to CPM Project Document Management System Other Status codes that may be used by the client when communicating with the Supplier are as follows: R-
Review. Client has received the document and is currently reviewing it.
W-
Waiting. Client is expecting a document from the Supplier but has not yet received it.
CAN - Cancelled. No longer valid for use on the Project.
10 Notification Submissions Documents which are submitted for Notification shall be processed in the following manner:
Documents received for notification shall be distributed within CPMM internally by way of the „Daily Document Control Report‟.
Documents submitted for Notification (AFD / AFC / AFI etc.) shall not be returned to the originator as a matter of course.
If it is deemed necessary to identify any comments / changes to documents submitted for notification, CPMM shall raise an NCR (Non Conformance Report) and issue this to the originator as per the „CPMM Non Conformance Procedure‟.
11 Administrative Documents Administrative documentation is considered to be those documents which require no revision control. Examples of Administrative documents are Letters, Minutes of Meetings, periodical reports and contractual correspondence. Please refer to the applicable CPMM procedure issued under the appropriate Contract for further instruction.
12 References DI-000015 DI-000498 DI-000635 DI-009097 DI-010555 DI-010552 DI-010454 DI-010883 DI-000498
Template No: DI-000018
Supplier Document Schedule Template (SDS) Equipment Numbering System FTP Transfer Instructions to Suppliers CPMM Non Conformance Procedure Supplier Transmittal Record Template Document and Tag Template Supplier Document Cover Sheet Engineering Document and Drawing standard and Specification Equipment Numbering System
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
SINO IRON PROJECT
Document Submission Specification Doc No:
Revision:
Status:
Rev Date:**
DI-000005
03
AFI
11-Mar-2010
Page 12 of 13
For Controlled version refer to CPM Project Document Management System
13 Attachment 1 – Sample Supplier Document Schedule (SDS)
*NOTE: For the initial SDS submission, enter „DI-000000‟ in the SDS Doc No. field (circled above). All SDS submissions thereafter require the SDS number provided with the return of Project Document Numbers, therefore always ensure a request for a SDS number forms part of your first „SDS‟ submission.
Template No: DI-000018
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
SINO IRON PROJECT
Document Submission Specification Doc No:
Revision:
Status:
Rev Date:**
DI-000005
03
AFI
11-Mar-2010
For Controlled version refer to CPM Project Document Management System
14 Attachment 2 – Sample Checklist for Supplier Data
Template No: DI-000018
Template details: Template Revision 02 Template Status: AFI Template Approved by: John Paul Burrows
Page 13 of 13
