HomeMy WebLinkAbout01 33 00 Submittal ProceduresTHE KENT
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SECTION 01 33 00 - 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 01 29 00 "Payment Procedures" for submitting Applications for Payment and the
schedule of values.
2. Section 01 32 00 "Construction Progress Documentation" for submitting schedules and
reports, including Contractor's construction schedule.
3. Section 01 78 23 "Operation and Maintenance Data" for submitting operation and
maintenance manuals.
4. Section 01 78 39 "Project Record Documents" for submitting record Drawings, record
Specifications, and record Product Data.
1.3 DEFINITIONS
A. Action Submittals: Written and graphic information and physical samples that require Architect'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 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. File Transfer Protocol (FTP): Communications protocol that enables transfer of files to and from
another computer over a network and that serves as the basis for standard Internet protocols.
An FTP site is a portion of a network located outside of network firewalls within which internal
and external users can access files.
D. 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.
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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 submittals noted by Architect 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 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 final release or approval.
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. 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.
4. 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.
a. Architect reserves the right to withhold action on a submittal requiring coordination
with other submittals until related submittals are received.
B. Processing Time: Allow time for submittal review, including time for resubmittals, as follows.
Time for review shall commence on Architect's and Construction Manager'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.
1. Initial Review: Allow 15 days for initial review of each submittal. Allow additional time if
coordination with subsequent submittals is required. Architect or Construction Manager
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will advise 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 15 days for review of each resubmittal.
4. 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.
5. Concurrent Consultant Review: Where the Contract Documents indicate that submittals
may be transmitted simultaneously to Architect and to Architect's consultants, allow 15
days for review of each submittal. Submittal will be returned to Architect and Construction
Manager, through Architect, before being returned to Contractor.
C. Paper Submittals: Place a permanent label or title block on each submittal item for identification.
1. Indicate name of firm or entity that prepared each submittal on label or title block.
2. Provide a space approximately 6 by 8 inches on label or beside title block to record
Contractor's review and approval markings and action taken by Architect.
3. Include the following information for processing and recording action taken:
a. Project name.
b. Date.
c. Name of Architect.
d. Name of Construction Manager.
e. Name of Contractor.
f. Name of subcontractor.
g. Name of supplier.
h. Name of manufacturer.
i. Submittal number or other unique identifier, including revision identifier.
1) Submittal number shall use Specification Section number followed by a
decimal point and then a sequential number (e.g., 061000.01). Resubmittals
shall include an alphabetic suffix after another decimal point (e.g.,
061000.01.A).
j. Number and title of appropriate Specification Section.
k. Drawing number and detail references, as appropriate.
l. Location(s) where product is to be installed, as appropriate.
m. Other necessary identification.
4. Additional Paper Copies: Unless additional copies are required for final submittal, and
unless Architect or Construction Manager observes noncompliance with provisions in the
Contract Documents, initial submittal may serve as final submittal.
a. Submit one copy of submittal to concurrent reviewer in addition to specified
number of copies to Architect and Construction Manager.
5. Transmittal for Paper Submittals: Assemble each submittal individually and appropriately
for transmittal and handling. Transmit each submittal using a transmittal form.
Architect and Construction Manager will return without review submittals received from
sources other than Contractor.
a. Transmittal Form for Paper Submittals: Provide locations on form for the following
information:
1) Project name.
2) Date.
3) Destination (To).
4) Source (From).
5) Name and address of Architect.
6) Name of Construction Manager.
7) Name of Contractor.
8) Name of firm or entity that prepared submittal.
9) Names of subcontractor, manufacturer, and supplier.
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10) Category and type of submittal.
11) Submittal purpose and description.
12) Specification Section number and title.
13) Specification paragraph number or drawing designation and generic name
for each of multiple items.
14) Drawing number and detail references, as appropriate.
15) Indication of full or partial submittal.
16) Transmittal number, numbered consecutively.
17) Submittal and transmittal distribution record.
18) Remarks.
19) Signature of transmitter.
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 with links enabling
navigation to each item.
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 approval
markings and action taken by Architect.
4. Transmittal Form for Electronic Submittals: Use 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.
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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 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 approval notation from Architect'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 approval notation from Architect's action stamp.
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. Submit electronic submittals via email as PDF electronic files.
a. Architect, through Construction Manager, will return annotated file. Annotate and
retain one copy of file as an electronic Project record document file.
2. Action Submittals: Submit three paper copies of each submittal unless otherwise
indicated. Architect, through Construction Manager, will return two copies.
3. Informational Submittals: Submit two paper copies of each submittal unless otherwise
indicated. Architect and Construction Manager will not return copies.
4. 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.
a. Provide a digital signature with digital certificate on electronically submitted
certificates and certifications where indicated.
b. Provide a notarized statement on original paper copy certificates and certifications
where indicated.
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.
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d. Statement of compliance with specified referenced standards.
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. Three paper copies of Product Data unless otherwise indicated. Architect, through
Construction Manager, will return two copies.
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 30 by 42 inches.
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.
3. 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.
4. 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.
a. Number of Samples: Submit one full set of available choices where color, pattern,
texture, or similar characteristics are required to be selected from manufacturer's
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product line. Architect, through Construction Manager, will return submittal with
options selected.
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. 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.
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. Product Schedule: As required in individual Specification Sections, prepare a written summary
indicating types of products required for the Work and their intended location. Include the
following information in tabular form:
1. Type of product. Include unique identifier for each product indicated in the Contract
Documents or assigned by Contractor if none is indicated.
2. Manufacturer and product name, and model number if applicable.
3. Number and name of room or space.
4. Location within room or space.
5. Submit product schedule in the following format:
a. Three paper copies of product schedule or list unless otherwise indicated.
Architect, through Construction Manager, will return two copies.
F. Coordination Drawing Submittals: Comply with requirements specified in Section 01 31 00
"Project Management and Coordination."
G. Contractor's Construction Schedule: Comply with requirements specified in Section 01 32 00
"Construction Progress Documentation."
H. Application for Payment and Schedule of Values: Comply with requirements specified in
Section 01 29 00 "Payment Procedures."
I. Test and Inspection Reports and Schedule of Tests and Inspections Submittals: Comply with
requirements specified in Section 01 40 00 "Quality Requirements."
J. Closeout Submittals and Maintenance Material Submittals: Comply with requirements specified
in Section 01 77 00 "Closeout Procedures."
K. Maintenance Data: Comply with requirements specified in Section 01 78 23 "Operation and
Maintenance Data."
L. Qualification Data: Refer to Specification Section 01 40 00 “Quality Requirements.”
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M. 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.
N. Installer Certificates: Refer to Specification Section 01 40 00 “Quality Requirements.”
O. Manufacturer Certificates: Refer to Specification Section 01 40 00 “Quality Requirements.”
P. Product Certificates: Submit written statements on manufacturer's letterhead certifying that
product complies with requirements in the Contract Documents.
Q. Material Certificates: Submit written statements on manufacturer's letterhead certifying that
material complies with requirements in the Contract Documents.
R. 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.
S. 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.
T. 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.
U. 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.
V. 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.
W. 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.
X. 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.
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2.2 DELEGATED-DESIGN SERVICES
A. 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.
1. If criteria indicated are not sufficient to perform services or certification required, submit a
written request for additional information to Architect.
B. Delegated-Design Services Certification: In addition to Shop Drawings, Product Data, and other
required submittals, submit three paper copies of certificate, 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.
1. 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.
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 and Construction
Manager.
B. Project Closeout and Maintenance Material Submittals: See requirements in Section 01 77 00
"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.
PART 3 - EXECUTION
3.1 CONSTRUCTION MANAGER'S REVIEW
A. 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.
3.2 CONTRACTOR'S REVIEW
A. 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.
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3.3 ARCHITECT'S ACTION
A. General: Architect will not review submittals that do not bear Contractor's approval stamp and
will return them without action.
B. 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, selected from Approved, Approved
as Noted, Revise and Resubmit or Rejected.
1. While the term Approved, and Approved as Noted are used in this section, the terms are
used to explicitly mean that the submittals bearing these responses are being reviewed
by the Architect for design conformance only.
C. 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.
D. Partial submittals prepared for a portion of the Work will be reviewed when use of partial
submittals has received prior approval from Architect.
E. Incomplete submittals are not acceptable, will be considered non-responsive, and will be
returned without review.
F. Submittals not required by the Contract Documents may not be reviewed and may be
discarded.
END OF SECTION 01 33 00