HomeMy WebLinkAbout013300 SUBMITTAL PROCEDURES.pdf Giant Eagle Market #6550 The Bridges, Carmel, Indiana
Building Shell Bid & Permit
DLA Project 2014040.00
August 12, 2014
SUBMITTAL PROCEDURES 013300 - 1
SECTION 013300 - SUBMITTAL PROCEDURES
PART 1 - GENERAL
1.1 RELATED DOCUMENTS
A. Drawings and general provisions of the Contract, including General and Supplementary Conditions and
other Division 01 Specification Sections, apply to this Section.
1.2 SUMMARY
A. Section includes requirements for the submittal schedule and administrative and procedural requirements
for submitting Shop Drawings, Product Data, Samples, and other submittals.
B. Related Requirements:
1. Section 012900 "Payment Procedures" for submitting Applications for Payment and the schedule
of values.
2. Section 013200 "Construction Progress Documentation" for submitting schedules and reports,
including Contractor's construction schedule.
3. Section 017823 "Operation and Maintenance Data" for submitting operation and maintenance
manuals.
4. Section 017839 "Project Record Documents" for submitting record Drawings, record
Specifications, and record Product Data.
5. Section 017900 "Demonstration and Training" for submitting video recordings of demonstration
of equipment and training of Owner's personnel.
1.3 DEFINITIONS
A. Action Submittals: Written and graphic information and physical samples that require Architect's and
Construction Representative’s responsive action. Action submittals are those submittals indicated in
individual Specification Sections as "action submittals."
B. Informational Submittals: Written and graphic information and physical samples that do not require
Architect's and Construction Representative’s responsive action. Submittals may be rejected for not
complying with requirements. Informational submittals are those submittals indicated in individual
Specification Sections as "informational submittals."
C. Portable Document Format (PDF): An open standard file format licensed by Adobe Systems used for
representing documents in a device-independent and display resolution-independent fixed-layout
document format.
1.4 ACTION SUBMITTALS
A. Submittal Schedule: Submit a schedule of submittals, arranged in chronological order by dates required
by construction schedule. Include time required for review, ordering, manufacturing, fabrication, and
delivery when establishing dates. Include additional time required for making corrections or revisions to
Giant Eagle Market #6550 The Bridges, Carmel, Indiana
Building Shell Bid & Permit
DLA Project 2014040.00
August 12, 2014
SUBMITTAL PROCEDURES 013300 - 2
submittals noted by Architect or Construction Representative and additional time for handling and
reviewing submittals required by those corrections.
1. Coordinate submittal schedule with list of subcontracts, the schedule of values, and Contractor's
construction schedule.
2. Initial Submittal: Submit concurrently with startup construction schedule. Include submittals
required during the first 60 days of construction. List those submittals required to maintain orderly
progress of the Work and those required early because of long lead time for manufacture or
fabrication.
3. Final Submittal: Submit concurrently with the first complete submittal of Contractor's construction
schedule.
a. Submit revised submittal schedule to reflect changes in current status and timing for
submittals.
4. Format: Arrange the following information in a tabular format:
a. Scheduled date for first submittal.
b. Specification Section number and title.
c. Submittal category: Action; informational.
d. Name of subcontractor.
e. Description of the Work covered.
f. Scheduled date for Architect's and Construction Representative’s final release or review.
g. Scheduled date of fabrication.
h. Scheduled dates for purchasing.
i. Scheduled dates for installation.
j. Activity or event number.
1.5 SUBMITTAL ADMINISTRATIVE REQUIREMENTS
A. Architect's Digital Data Files: Electronic digital data files of the Contract Drawings will not be provided
by Architect for Contractor's use in preparing submittals.
1. The Architect may give special exception to this upon review of a written request from the
Contractor.
a. Exceptions may or may not be granted solely at the Architect’s discretion.
b. Receipt of electronic files may include monetary reimbursement on a per electronic file
basis.
B. Coordination: Coordinate preparation and processing of submittals with performance of construction
activities.
1. Coordinate each submittal with fabrication, purchasing, testing, delivery, other submittals, and
related activities that require sequential activity.
2. Submit all submittal items required for each Specification Section concurrently unless partial
submittals for portions of the Work are indicated on approved submittal schedule.
3. Submit action submittals and informational submittals required by the same Specification Section
as separate packages under separate transmittals.
C. Processing Time: Allow time for submittal review, including time for resubmittals, as follows. Time for
review shall commence on Architect's receipt of submittal. No extension of the Contract Time will be
authorized because of failure to transmit submittals enough in advance of the Work to permit processing,
including resubmittals.
Giant Eagle Market #6550 The Bridges, Carmel, Indiana
Building Shell Bid & Permit
DLA Project 2014040.00
August 12, 2014
SUBMITTAL PROCEDURES 013300 - 3
1. Initial Review: Allow 15 days for initial review of each submittal. Allow additional time if
coordination with subsequent submittals is required. Architect will advise General Contractor
when a submittal being processed must be delayed for coordination.
2. Intermediate Review: If intermediate submittal is necessary, process it in same manner as initial
submittal.
3. Resubmittal Review: Allow 7 days for review of each resubmittal.
D. Electronic Submittals: Identify and incorporate information in each electronic submittal file as follows:
1. Assemble complete submittal package into a single indexed file incorporating submittal
requirements of a single Specification Section and transmittal form.
2. Name file with submittal number or other unique identifier, including revision identifier.
a. File name shall use project identifier and Specification Section number followed by a
decimal point and then a sequential number (e.g., LNHS-061000.01). Resubmittals shall
include an alphabetic suffix after another decimal point (e.g., LNHS-061000.01.A).
3. Provide means for insertion to permanently record Contractor's review and indicating approval
markings and action taken by Architect and/or Construction Representative.
4. Transmittal Form for Electronic Submittals: Use electronic form acceptable to Owner, containing
the following information:
a. Project name.
b. Date.
c. Name and address of Architect.
d. Name of Construction Manager.
e. Name of Contractor.
f. Name of firm or entity that prepared submittal.
g. Names of subcontractor, manufacturer, and supplier.
h. Category and type of submittal.
i. Submittal purpose and description.
j. Specification Section number and title.
k. Specification paragraph number or drawing designation and generic name for each of
multiple items.
l. Drawing number and detail references, as appropriate.
m. Location(s) where product is to be installed, as appropriate.
n. Related physical samples submitted directly.
o. Indication of full or partial submittal.
p. Transmittal number, numbered consecutively.
q. Submittal and transmittal distribution record.
r. Other necessary identification.
s. Remarks.
5. Metadata: Include the following information as keywords in the electronic submittal file metadata:
a. Project name.
b. Number and title of appropriate Specification Section.
c. Manufacturer name.
d. Product name.
E. Options: Identify options requiring selection by Architect.
Giant Eagle Market #6550 The Bridges, Carmel, Indiana
Building Shell Bid & Permit
DLA Project 2014040.00
August 12, 2014
SUBMITTAL PROCEDURES 013300 - 4
F. Deviations and Additional Information: On an attached separate sheet, prepared on Contractor's
letterhead, record relevant information, requests for data, revisions other than those requested by
Architect and/or Construction Representative on previous submittals, and deviations from requirements in
the Contract Documents, including minor variations and limitations. Include same identification
information as related submittal.
G. Resubmittals: Make resubmittals in same form and number of copies as initial submittal.
1. Note date and content of previous submittal.
2. Note date and content of revision in label or title block and clearly indicate extent of revision.
3. Resubmit submittals until they are marked with indicating approval notation from
Architect's and/or Construction Representative’s action stamp.
H. Distribution: Furnish copies of final submittals to manufacturers, subcontractors, suppliers, fabricators,
installers, authorities having jurisdiction, and others as necessary for performance of construction
activities. Show distribution on transmittal forms.
I. Use for Construction: Retain complete copies of submittals on Project site. Use only final action
submittals that are marked with indicating approval notation from Architect's or Construction
Representative’s action stamp.
a. Do not use, or allow others to use, submittals marked “Not Approved” or “Revise and
Resubmit" at the Project Site or elsewhere where Work is in progress.
PART 2 - PRODUCTS
2.1 SUBMITTAL PROCEDURES
A. General Submittal Procedure Requirements: Prepare and submit submittals required by individual
Specification Sections. Types of submittals are indicated in individual Specification Sections.
1. Post electronic submittals as PDF electronic files directly to Project Web site specifically
established for Project.
a. Architect, through Construction Manager, will return annotated file. Annotate and retain
one copy of file as an electronic Project record document file.
2. Certificates and Certifications Submittals: Provide a statement that includes signature of entity
responsible for preparing certification. Certificates and certifications shall be signed by an officer
or other individual authorized to sign documents on behalf of that entity.
B. Product Data: Collect information into a single submittal for each element of construction and type of
product or equipment.
1. If information must be specially prepared for submittal because standard published data are not
suitable for use, submit as Shop Drawings, not as Product Data.
2. Mark each copy of each submittal to show which products and options are applicable.
3. Include the following information, as applicable:
a. Manufacturer's catalog cuts.
b. Manufacturer's product specifications.
c. Standard color charts.
d. Statement of compliance with specified referenced standards.
Giant Eagle Market #6550 The Bridges, Carmel, Indiana
Building Shell Bid & Permit
DLA Project 2014040.00
August 12, 2014
SUBMITTAL PROCEDURES 013300 - 5
e. Testing by recognized testing agency.
f. Application of testing agency labels and seals.
g. Notation of coordination requirements.
h. Availability and delivery time information.
4. For equipment, include the following in addition to the above, as applicable:
a. Wiring diagrams showing factory-installed wiring.
b. Printed performance curves.
c. Operational range diagrams.
d. Clearances required to other construction, if not indicated on accompanying Shop
Drawings.
5. Submit Product Data before or concurrent with Samples.
6. Submit Product Data in the following format:
a. PDF electronic file.
C. Shop Drawings: Prepare Project-specific information, drawn accurately to scale. Do not base Shop
Drawings on reproductions of the Contract Documents or standard printed data.
1. Preparation: Fully illustrate requirements in the Contract Documents. Include the following
information, as applicable:
a. Identification of products.
b. Schedules.
c. Compliance with specified standards.
d. Notation of coordination requirements.
e. Notation of dimensions established by field measurement.
f. Relationship and attachment to adjoining construction clearly indicated.
g. Seal and signature of professional engineer if specified.
2. Sheet Size: Except for templates, patterns, and similar full-size drawings, submit Shop Drawings
on sheets at least 8-1/2 by 11 inches, but no larger than 36 by 48 inches).
3. Submit Shop Drawings in the following format:
a. PDF electronic file.
D. Samples: Submit Samples for review of kind, color, pattern, and texture for a check of these
characteristics with other elements and for a comparison of these characteristics between submittal and
actual component as delivered and installed.
1. Transmit Samples that contain multiple, related components such as accessories together in one
submittal package.
2. Identification: Attach label on unexposed side of Samples that includes the following:
a. Generic description of Sample.
b. Product name and name of manufacturer.
c. Sample source.
d. Number and title of applicable Specification Section.
e. Specification paragraph number and generic name of each item.
Giant Eagle Market #6550 The Bridges, Carmel, Indiana
Building Shell Bid & Permit
DLA Project 2014040.00
August 12, 2014
SUBMITTAL PROCEDURES 013300 - 6
3. For projects where electronic submittals are required, provide corresponding electronic submittal
of Sample transmittal, digital image file illustrating Sample characteristics, and identification
information for record.
4. Disposition: Maintain sets of approved Samples at Project site, available for quality-control
comparisons throughout the course of construction activity. Sample sets may be used to determine
final acceptance of construction associated with each set.
a. Samples that may be incorporated into the Work are indicated in individual Specification
Sections. Such Samples must be in an undamaged condition at time of use.
b. Samples not incorporated into the Work, or otherwise designated as Owner's property, are
the property of Contractor.
5. Samples for Verification: Submit full-size units or Samples of size indicated, prepared from same
material to be used for the Work, cured and finished in manner specified, and physically identical
with material or product proposed for use, and that show full range of color and texture variations
expected. Samples include, but are not limited to, the following: partial sections of manufactured
or fabricated components; small cuts or containers of materials; complete units of repetitively used
materials; swatches showing color, texture, and pattern; color range sets; and components used for
independent testing and inspection.
a. Contractor shall coordinate which samples shall be required to be submitted at the project
start.
b. Number of Samples: Submit three sets of Samples. Architect will retain one Sample set;
remainder will be returned.
1) Submit a single Sample where assembly details, workmanship, fabrication
techniques, connections, operation, and other similar characteristics are to be
demonstrated.
2) If variation in color, pattern, texture, or other characteristic is inherent in material or
product represented by a Sample, submit at least three sets of paired units that show
approximate limits of variations.
E. Coordination Drawing Submittals: Comply with requirements specified in Section 013100 "Project
Management and Coordination."
F. Contractor's Construction Schedule: Comply with requirements specified in Section 013200
"Construction Progress Documentation."
G. Application for Payment and Schedule of Values: Comply with requirements specified in Section 012900
"Payment Procedures."
H. Test and Inspection Reports and Schedule of Tests and Inspections Submittals: Comply with
requirements specified in Section 014000 "Quality Requirements."
I. Closeout Submittals and Maintenance Material Submittals: Comply with requirements specified in
Section 017700 "Closeout Procedures."
J. Maintenance Data: Comply with requirements specified in Section 017823 "Operation and Maintenance
Data."
Giant Eagle Market #6550 The Bridges, Carmel, Indiana
Building Shell Bid & Permit
DLA Project 2014040.00
August 12, 2014
SUBMITTAL PROCEDURES 013300 - 7
K. Qualification Data: Prepare written information that demonstrates capabilities and experience of firm or
person. Include lists of completed projects with project names and addresses, contact information of
architects and owners, and other information specified.
L. Welding Certificates: Prepare written certification that welding procedures and personnel comply with
requirements in the Contract Documents. Submit record of Welding Procedure Specification and
Procedure Qualification Record on AWS forms. Include names of firms and personnel certified.
M. Installer Certificates: Submit written statements on manufacturer's letterhead certifying that Installer
complies with requirements in the Contract Documents and, where required, is authorized by
manufacturer for this specific Project.
N. Manufacturer Certificates: Submit written statements on manufacturer's letterhead certifying that
manufacturer complies with requirements in the Contract Documents. Include evidence of manufacturing
experience where required.
O. Product Certificates: Submit written statements on manufacturer's letterhead certifying that product
complies with requirements in the Contract Documents.
P. Material Certificates: Submit written statements on manufacturer's letterhead certifying that material
complies with requirements in the Contract Documents.
Q. Material Test Reports: Submit reports written by a qualified testing agency, on testing agency's standard
form, indicating and interpreting test results of material for compliance with requirements in the Contract
Documents.
R. Product Test Reports: Submit written reports indicating that current product produced by manufacturer
complies with requirements in the Contract Documents. Base reports on evaluation of tests performed by
manufacturer and witnessed by a qualified testing agency, or on comprehensive tests performed by a
qualified testing agency.
S. Research Reports: Submit written evidence, from a model code organization acceptable to authorities
having jurisdiction, that product complies with building code in effect for Project. Include the following
information:
1. Name of evaluation organization.
2. Date of evaluation.
3. Time period when report is in effect.
4. Product and manufacturers' names.
5. Description of product.
6. Test procedures and results.
7. Limitations of use.
T. Preconstruction Test Reports: Submit reports written by a qualified testing agency, on testing agency's
standard form, indicating and interpreting results of tests performed before installation of product, for
compliance with performance requirements in the Contract Documents.
U. Compatibility Test Reports: Submit reports written by a qualified testing agency, on testing agency's
standard form, indicating and interpreting results of compatibility tests performed before installation of
product. Include written recommendations for primers and substrate preparation needed for adhesion.
Giant Eagle Market #6550 The Bridges, Carmel, Indiana
Building Shell Bid & Permit
DLA Project 2014040.00
August 12, 2014
SUBMITTAL PROCEDURES 013300 - 8
V. Field Test Reports: Submit written reports indicating and interpreting results of field tests performed
either during installation of product or after product is installed in its final location, for compliance with
requirements in the Contract Documents.
W. Design Data: Prepare and submit written and graphic information, including, but not limited to,
performance and design criteria, list of applicable codes and regulations, and calculations. Include list of
assumptions and other performance and design criteria and a summary of loads. Include load diagrams if
applicable. Provide name and version of software, if any, used for calculations. Include page numbers.
X. Acceptance of any submitted data or shop drawings for materials, equipment apparatus, devices,
arrangement and layout shall not relieve the Contractors from responsibility of furnishing items of proper
dimensions, weight, capacities, sizes, quantity and quality as intended by the Contract. Such acceptance
shall not relieve the Contractor from responsibility for errors, omissions or inadequacies of any sort of
submitted data or shop drawing.
PART 3 - EXECUTION
3.1 CONTRACTOR'S REVIEW
A. Action and Informational Submittals: Review each submittal and check for coordination with other Work
of the Contract and for compliance with the Contract Documents. Note corrections and field dimensions.
Mark with approval stamp before submitting to Architect.
B. Project Closeout and Maintenance Material Submittals: See requirements in Section 017700 "Closeout
Procedures."
C. Approval Stamp: Stamp each submittal with a uniform, approval stamp. Include Project name and
location, submittal number, Specification Section title and number, name of reviewer, date of Contractor's
approval, and statement certifying that submittal has been reviewed, checked, and approved for
compliance with the Contract Documents.
3.2 ARCHITECT'S OR ENGINEER’S ACTION
A. Except for submittals for the record or information, for which action and return is required, the Architect
or Construction Representative will review each submittal, mark to indicate action taken, and return
promptly.
1. The marking of “Approved” means submittal has been reviewed for general conformance to the
Contract Documents only and does not mean unqualified acceptance. The Contractor and the
Subcontractor is fully responsible for compliance with the Contract Documents.
B. Action Submittals: Architect or Engineer will review each submittal, make marks to indicate corrections
or revisions required, and return it. Architect or Engineer will stamp each submittal with an action stamp
and will mark stamp appropriately to indicate action, as follows:
1. Final Unrestricted Release: When a submittal is marked to indicate approval, the Work covered
by the submittal may proceed provided it complies with requirements of the Contract Documents.
Final payment depends on that compliance.
2. Final-But-Restricted Release: When a submittal is marked "Approved as Noted," the Work
covered by the submittal may proceed provided it complies with notations or corrections on the
submittal and requirements of the Contract Documents. Final payment depends on that
compliance.
Giant Eagle Market #6550 The Bridges, Carmel, Indiana
Building Shell Bid & Permit
DLA Project 2014040.00
August 12, 2014
SUBMITTAL PROCEDURES 013300 - 9
3. Returned for Resubmittal: When a submittal is marked "Not Approved” or “Revise and
Resubmit", do not proceed with Work covered by the submittal, including purchasing, fabrication,
delivery, or other activity. Revise or prepare a new submittal according to the notations; resubmit
without delay. Repeat if necessary to obtain different action mark.
a. Do not use, or allow others to use, submittals marked “Not Approved” or “Revise and
Resubmit" at the Project Site or elsewhere where Work is in progress.
4. Other Action: If a submittal is for information or record purposes or special processing or other
activity, the submittal will be marked to indicate "Action Not Required" and returned.
C. Informational Submittals: Architect or Construction Representative will review each submittal and will
not return it, or will return it if it does not comply with requirements. Architect or Construction
Representative will forward each submittal to appropriate party.
D. Partial submittals prepared for a portion of the Work will be reviewed when use of partial submittals has
received prior indicating approval from Architect or Construction Representative.
E. Incomplete submittals are unacceptable, will be considered nonresponsive, and will be returned for
resubmittal without review.
F. Submittals not required by the Contract Documents may be returned by the Architect without action.
END OF SECTION 013300