HomeMy WebLinkAbout01 33 00 Submittal Procedures.docSECTION 01 33 00 - SUBMITTAL PROCEDURES
GENERAL
RELATED DOCUMENTS
Drawings and general provisions of the Contract, including General and Supplementary Conditions and other Division 01
Specification Sections, apply to this Section.
SUMMARY
This Section includes administrative and procedural requirements for submitting Shop Drawings, Product Data, Samples, and other
submittals.
Related Sections include the following:
Division 01 Section "Project Management and Coordination" for submitting and distributing meeting and conference minutes and for submitting
Coordination Drawings.
Division 01 Section "Closeout Procedures" for submitting warranties.
Division 01 Section "Operation and Maintenance Data" for submitting operation and maintenance
manuals.
Divisions 02 through 49 Sections for specific requirements for submittals in those Sections.
DEFINITIONS
Action Submittals: Written and graphic information that requires Architect’s
responsive action.
Informational Submittals: Written information that does not require Architect’s responsive action. Submittals may be rejected for not complying with requirements.
Electronic
Submittals: Information contained entirely in an electronic digital format, suitable for distribution through electronic mail, digital media, or internet network connections, and readable
and printable by any computer system.
Architect: The term Architect is used throughout this Section. The term Engineer may be substituted for the term Architect where specific work
product review requires an Engineer's specific knowledge or expertise.
SUBMITTAL PROCEDURES
General: Electronic CAD Drawings of the Contract Drawings will be provided to the Contractor
by the Architect. Acceptance of CAD drawings by any contractor from the Architect holds the Architect harmless, waiving all responsibility for content and format of any electronic files
issued directly or indirectly to any Contractor.
Coordination: Coordinate preparation and processing of submittals with performance of construction activities.
Coordinate each submittal with fabrication, purchasing, testing, delivery,
other submittals, and related activities that require sequential activity.
Coordinate transmittal of different types of submittals for related parts of the Work so processing will not
be delayed because of need to review submittals concurrently for coordination.
Architect reserves the right to withhold action on a submittal requiring coordination with other submittals
until related submittals are received.
Submittals Schedule: Comply with requirements in Division 01 Section "Construction Progress Documentation" for list of submittals and time requirements
for scheduled performance of related construction activities.
Processing Time: Allow enough time for submittal review, including time for re-submittals, 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 re-submittals.
Initial Review: Allow 15 days for initial review of each submittal. Allow additional time if coordination with subsequent submittals is required.
Architect will advise Contractor when a submittal being processed must be delayed for coordination.
Intermediate Review: If intermediate submittal is necessary, process it in same
manner as initial submittal.
Re-submittal Review: Allow 15 days for review of each re-submittal.
Sequential Review: Where sequential review of submittals by Architect's consultants,
Owner, or other parties is indicated, allow 21 days for initial review of each submittal.
Identification: Place a permanent label or title block on each submittal for identification.
Indicate
name of firm or entity that prepared each submittal on label or title block.
Provide a space approximately 6 by 8 inches Insert size on label or beside title block to record Contractor's
review and approval markings and action taken by Architect.
Include the following information on label for processing and recording action taken:
Project name.
Date.
Name and address
of Architect.
Name and address of Contractor.
Name and address of subcontractor.
Name and address of supplier.
Name of manufacturer.
Submittal number or other unique identifier, including
revision identifier.
Submittal number shall use the following format:
Specification Section number followed by a decimal point and then a sequential number (e.g., 06100.01). Re-submittals
shall include an alphabetic suffix after another decimal point (e.g., 06100.01.A).
Number and title of appropriate Specification Section.
Drawing number and detail references, as appropriate.
Locatio
n(s) where product is to be installed, as appropriate.
Other necessary identification.
Deviations: Highlight, or encircle, or otherwise specifically identify deviations from the Contract Documents on submittals.
Additional Copies: Unless additional copies are required
for final submittal, and unless Architect observes noncompliance with provisions in the Contract Documents, initial submittal may serve as final submittal.
Submit one copy of submittal
to concurrent reviewer in addition to specified number of copies to Architect.
Additional copies submitted for maintenance manuals will not be marked with action taken and will be returned.
Transmitt
al: Package each submittal individually and appropriately for transmittal and handling. Transmit each submittal using a transmittal form. Architect will return submittals, without
review, received from sources other than Contractor.
Transmittal Form: Provide locations on form for the following information:
Project name.
Date.
Destination (To :).
Source (From
:).
Names of subcontractor, manufacturer, and supplier.
Category and type of submittal.
Submittal purpose and description.
Specification Section number and title.
Drawing number and
detail references, as appropriate.
Transmittal number, numbered consecutively.
Submittal and transmittal distribution record.
Remarks.
Signature of transmitter.
On an attached separate
sheet, prepared on Contractor's letterhead, record relevant information, requests for data, revisions other than those requested by Architect on previous submittals, and deviations from
requirements in the Contract Documents, including minor variations and limitations. Include same label information as related submittal.
Re-submittals: Make re-submittals in same form
and number of copies as initial submittal.
Note date and content of previous submittal.
Note date and content of revision in label or title block and clearly indicate extent of revision.
Resubmit
submittals until they are marked with approval from Architect, using Architect’s standard action stamp or notation."
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.
Use for Construction: Use only final submittals with mark indicating that they are marked for approval, using the Architect’s standard action stamp or notation.
CONTRACTOR'S USE OF ARCHITECT'S CAD FILES
See 1.4 A above.
ELECTRONIC SUBMITTALS
General: Electronic submittals shall be permitted, but not required. The submittal information required
in 1.4 E above shall be required for all electronic submittals. Each electronic submittal shall be accompanied by an electronic transmittal form that includes all of the information
listed in 1.4H above. Refer also to Section 2.1 of this Specification Section.
Format: Electronic submittal final sheet sizes must be 11 inches by 17 inches or smaller.
1. Submittals
larger than 11 inches by 17 inches shall be submitted in multiple hard copies only, including their attachments of any size.
2. Contractor review stamp images must be on each
individual submittal, and fully noted, dated, and signed, prior to distribution to the Architect. Submittal of a group of submittals with the Contractor's stamp only on the
cover sheet or separate transmittal attached to the submittal group, shall be rejected by the Architect and returned to the Contractor without any action being taken by the Architect.
3.
The Contractor shall provide space on the cover sheet for the Architect's or Engineer's final review stamp image.
4. Original Adobe Acrobat submittals must be in a format that
is capable of being edited under Acrobat PRO using Text Box Tool and its Properties.
Acrobat files that are encrypted, locked, or otherwise made inaccessible will be rejected.
Samples, Color Selections, and Mock-ups: When part of a submittal package, includes samples, color selections and/or mock-ups, such material must be accompanied by hard copy documentation
only, not electronic files.
PRODUCTS
ACTION SUBMITTALS
General: Prepare and submit Action Submittals required by individual Specification Sections.
Product Data: Collect information
into a single submittal for each element of construction and type of product or equipment.
If information must be specially prepared for submittal because standard printed data are not
suitable for use, submit as Shop Drawings, not as Product Data.
Mark each copy of each submittal to show which products and options are applicable.
Include the following information,
as applicable:
Manufacturer's written recommendations.
Manufacturer's product specifications.
Manufacturer's installation instructions.
Standard color charts.
Manufacturer's catalog cuts.
Wiring diagrams showing factory-installed wiring.
Printed performance curves.
Operational
range diagrams.
Mill reports.
Standard product operation and maintenance manuals.
Compliance with specified referenced standards.
Testing by recognized testing agency.
Application of
testing agency labels and seals.
Notation of coordination requirements.
Submit Product Data before or concurrent with Samples.
Number of Copies: Submit three copies of Product Data,
unless otherwise indicated. Architect will return two copies. Mark up and retain one returned copy as a Project Record Document.
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, unless submittal of Architect's CAD Drawings are otherwise
permitted.
Preparation: Fully illustrate requirements in the Contract Documents. Include the following information, as applicable:
Dimensions.
Identification of products.
Fabrication
and installation drawings.
Roughing-in and setting diagrams.
Wiring diagrams showing field-installed wiring, including power, signal, and control wiring.
Shop-work manufacturing instructions.
Templat
es and patterns.
Schedules.
Design calculations.
Compliance with specified standards.
Notation of coordination requirements.
Notation of dimensions established by field measurement.
Relationship
to adjoining construction clearly indicated.
Seal and signature of professional engineer if specified.
Wiring Diagrams: Differentiate between manufacturer-installed and field-installed
wiring.
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 30 by 40 inches.
Number
of Copies: Submit two opaque (bond) copies of each submittal. Architect, through Construction Manager, will return one copy.
Number of Copies: Submit three opaque copies of each submittal,
unless copies are required for operation and maintenance manuals. Submit five copies where copies are required for operation and maintenance manuals. Architect will retain two copies;
remainder will be returned. Mark up and retain one returned copy as a Project Record Drawing.
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.
Transmit Samples that contain multiple, related components such as accessories together in one submittal package.
Identification:
Attach label on unexposed side of Samples that includes the following:
Generic description of Sample.
Product name and name of manufacturer.
Sample source.
Number and title of appropriate
Specification Section.
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.
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.
Samples not incorporated into the Work, or otherwise designated as Owner's property, are the property of Contractor.
Samples
for Initial Selection: Submit manufacturer's color charts consisting of units or sections of units showing the full range of colors, textures, and patterns available.
Number of Samples:
Submit one full set(s) of available choices where color, pattern, texture, or similar characteristics are required to be selected from manufacturer's product line. Architect will return
submittal with options selected.
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.
Number of Samples: Submit three sets of Samples. Architect will retain
two Sample sets; remainder will be returned. Mark up and retain one returned Sample set as a Project Record Sample.
Submit a single Sample where assembly details, workmanship, fabrication
techniques, connections, operation, and other similar characteristics are to be demonstrated.
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.
Product Schedule or List: Prepare a written summary indicating
types of products required for the Work. Organize list by specification section number. Identify proposed as well as name of contractor or supplier. Include the following information
in tabular form:
Type of product. Include unique identifier for each product.
Number of Copies: Submit three copies of product schedule or list, unless otherwise indicated. Architect will return two copies.
Mark up and retain one returned copy as a Project Record
Document.
Contractor's Construction Schedule: Provide to Architect for review. .
Subcontract List: Prepare a written summary identifying individuals or firms proposed for each portion
of the Work, including those who are to furnish products or equipment fabricated to a special design. Include the following information in tabular form:
Name, address, and telephone
number of entity performing subcontract or supplying products.
Number and title of related Specification Section(s) covered by subcontract.
Drawing number and detail references, as appropriate,
covered by subcontract.
Number of Copies: Submit three copies of subcontractor list, unless otherwise indicated. Architect will return two copies.
Mark up and retain one returned copy
as a Project Record Document.
INFORMATIONAL SUBMITTALS
General: Prepare and submit Informational Submittals required by other Specification Sections.
Number of Copies: Submit two copies
of each submittal, unless otherwise indicated. Architect will not return copies.
Certificates and Certifications: Provide a notarized 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.
Test and Inspection
Reports: Comply with requirements specified in Division 01 Section "Quality Requirements."
Coordination Drawings: Comply with requirements specified in Division 01 Section "Project
Management and Coordination."
Contractor's Construction Schedule: As required.
Qualification Data: Prepare written information that demonstrates capabilities and experience of firm
or person. Include lists of completed projects with project names and addresses, names and addresses of architects and owners, and other information specified.
Welding Certificates:
Prepare written certification that welding procedures and personnel comply with requirements in the Contract Documents. Submit record of Welding Procedure Specification (WPS) and Procedure
Qualification Record (PQR) on AWS forms. Include names of firms and personnel certified.
Installer Certificates: Prepare 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.
Manufacturer Certificates: Prepare written statements on manufacturer's letterhead certifying that manufacturer complies with requirements in the Contract Documents. Include evidence
of manufacturing experience where required.
Product Certificates: Prepare written statements on manufacturer's letterhead certifying that product complies with requirements in the Contract
Documents.
Material Certificates: Prepare written statements on manufacturer's letterhead certifying that material complies with requirements in the Contract Documents.
Material Test
Reports: Prepare 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.
Product Test Reports: Prepare written reports indicating 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.
Research/Evaluation
Reports: Prepare 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:
Name of evaluation organization.
Date of evaluation.
Time period when report is in effect.
Product and manufacturers' names.
Description of product.
Test procedures
and results.
Limitations of use.
Schedule of Tests and Inspections: Comply with requirements of other Specification sections.
Preconstruction Test Reports: Prepare 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, where and when directed.
Compatibility Test Reports: Prepare 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, where and when directed.
Field Test Reports: Prepare reports written by a qualified testing agency, on testing agency's standard form, 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, where
and when directed.
Maintenance Data: Prepare written and graphic instructions and procedures for operation and normal maintenance of products and equipment.
Design Data: Prepare 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.
Manufacturer's Instructions: Prepare written or published information that documents manufacturer's recommendations, guidelines, and procedures for installing
or operating a product or equipment. Include name of product and name, address, and telephone number of manufacturer. Include the following, as applicable:
Preparation of substrates.
Required
substrate tolerances.
Sequence of installation or erection.
Required installation tolerances.
Required adjustments.
Recommendations for cleaning and protection.
Manufacturer's Field
Reports: Prepare written information documenting factory-authorized service representative's tests and inspections. Include the following, as applicable:
Name, address, and telephone
number of factory-authorized service representative making report.
Statement on condition of substrates and their acceptability for installation of product.
Statement that products at
Project site comply with requirements.
Summary of installation procedures being followed, whether they comply with requirements and, if not, what corrective action was taken.
Results
of operational and other tests and a statement of whether observed performance complies with requirements.
Statement whether conditions, products, and installation will affect warranty.
Other
required items indicated in individual Specification Sections.
Insurance Certificates and Bonds: Prepare written information indicating current status of insurance or bonding coverage.
Include name of entity covered by insurance or bond, limits of coverage, amounts of deductibles, if any, and term of the coverage.
Material Safety Data Sheets (MSDSs): Submit information
directly to Owner; do not submit to Architect.
Architect will not review submittals that include MSDSs and will return the entire submittal for re-submittal.
DELEGATED DESIGN
Performance
and Design Criteria: Where professional design services or certifications by a design professional are specifically required of Contractor by the Contract Documents, provide products
and systems complying with specific performance and design criteria indicated.
If criteria indicated are not sufficient to perform services or certification required, submit a written
request for additional information to Architect.
Delegated-Design Submittal: In addition to Shop Drawings, Product Data, and other required submittals, submit three copies of a statement, signed and sealed by the responsible design
professional, for each product and system specifically assigned to Contractor to be designed or certified by a design professional.
Indicate that products and systems comply with performance
and design criteria in the Contract Documents. Include list of codes, loads, and other factors used in performing these services.
EXECUTION
CONTRACTOR'S REVIEW
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.
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.
1. Refer to
Section 1.6 above.
ARCHITECT'S ACTION
General: Architect will not review submittals that do not bear Contractor's approval stamp and will return them without action.
Action Submittals:
Architect will review each submittal, make marks to indicate corrections or modifications required, and return it. Architect will stamp each submittal with an action stamp and will
mark stamp appropriately to indicate action taken, as follows:
When submittals are reviewed by the Architect each submittal must be returned to the Contractor stamped or marked by the
Architect in one of the following ways:
1. APPROVED: The Contractor is advised that "APPROVED" means that fabrication, manufacture, or construction may proceed, provided the work complies
with the Contract Documents.
2. APPROVED AS NOTED: The Contractor is advised that "APPROVED AS NOTED" means that fabrication, manufacture, or construction may proceed, provided the
work complies with the Architect's notations and instructions on the Submittals, and the Contract Documents.
REVISE AND RESUBMIT: The Contractor is advised that "REVISE AND RESUBMIT"
means that no work may be fabricated, manufactured, or constructed and that the Contractor must make a new submittal to the Architect. Any submission marked "REVISE AND RESUBMIT" is
not permitted on the site.
4. NOT APPROVED: The Contractor is advised that "NOT APPROVED" means that no work may be fabricated, manufactured, or constructed and that the Contractor
should not continue with this Submittal. A submittal marked “NOT
APPROVED” can be interpreted as a product, design, shop drawing, or other submittal that is completely unacceptable for use or consideration for use in the Project.
5. OTHER: The Contractor
is advised that other possible replies are possible. If these are applicable, the submittal will be indicated with a “write in” section under “OTHER”.
Informational Submittals: Architect
will review each submittal and will not return it, or will return it if it does not comply with requirements. Architect will forward each submittal to appropriate party.
Partial submittals
are not acceptable, will be considered non-responsive, and will be returned without review.
Submittals not required by the Contract Documents may not be reviewed and may be discarded.
END
OF SECTION 01 33 00