01 33 00 - Submittal Procedures

1.0 General

1.1 Section Includes

A. Definitions.

B. Submittal procedures.

C. Construction progress schedules.

D. Proposed product list.

E. Product data.

F. Electronic CAD files of Project Drawings.

G. Shop Drawings.

H. Samples.

I. Other submittals.

J. Test reports.

K. Certificates.

L. Manufacturer's instructions.

M. Construction photographs.

N. Contractor review.

O. Engineer review.

1.2 Definitions

A. Action Submittals: Written and graphic information and physical samples that require

Engineer's responsive action.

B. Informational Submittals: Written and graphic information and physical Samples that do not require Engineer's responsive action. Submittals may be rejected for not complying with requirements.

1.3 Submittal Procedures

A. Transmit each submittal with an Engineer-accepted form.

B. Sequentially number transmittal forms. Mark revised submittals with original number and sequential alphabetic suffix.

C. Identify: Project, Contractor, Subcontractor and supplier, pertinent Drawing and detail number, and Specification Section number appropriate to submittal:

1. Specification: Specification Number, Article Number (include the Paragraph Letter if more than one item is included in the Article section) dash submittal number.

Example: 1.0 – 03 30 00, 2.02 (1st submittal) Plan Sheet: Plan and Sheet Number dash submittal number.

2. Mark revised resubmittals with original number and sequential numerical suffix.

D. Apply Contractor's stamp, signed or initialed, certifying that review, approval, verification of products required, field dimensions, adjacent construction Work, and coordination of information is according to requirements of the Work and Contract

Documents. Submittals not containing an executed certification stamp shall be returned.

E. Schedule submittals to expedite Project and submit electronic submittals via email as

PDF electronic files. Coordinate submission of related items:

1. Email submittals shall have the Contract Name, Contract Number, “Shop Drawing”, and Submittal Identification Number in the subject line.

2. Engineer will review submittal as received. PDF submittal will be returned to

Contractor with comment(s) and Action using the same method as submitted.

3. PDF electronic files: Where documents are scanned, all text shall be clearly readable and no information blurred/pixilated. Any non-readable text, blurred/pixilated information on a submittal will cause it to be rejected.

F. For each submittal for review, allow 15 days excluding delivery time to and from

Contractor.

G. Identify variations in Contract Documents and product or system limitations that may be detrimental to successful performance of completed Work.

H. Allow 4”x4” space on submittals for Contractor and Engineer review stamps.

I. When revised for resubmission, identify changes made since previous submission.

J. Distribute copies of reviewed submittals as appropriate. Instruct parties to promptly report inability to comply with requirements.

K. Submittals not requested will not be recognized nor processed.

L. Incomplete Submittals: Engineer will not review. Complete submittals for each item are required. Delays resulting from incomplete submittals are not the responsibility of

Engineer.

1.4 Construction Progress Schedules

A. Comply with Section 01 32 16 – Construction Progress Schedule.

1.5 Proposed Product List

A. Within 15 days after the date of Notice to Proceed, submit list of major products proposed for use, with name of manufacturer, trade name, and model number of each product.

B. For products specified only by reference standards, indicate manufacturer, trade name, model or catalog designation, and reference standards.

1.6 Product Data

A. Product Data: Action Submittal: Submit to Engineer for review for assessing conformance with information given and design concept expressed in Contract

Documents.

B. Submit electronic submittals via email as PDF electronic files.

C. Mark each copy to identify applicable products, models, options, and other data.

Supplement manufacturers' standard data to provide information specific to this

Project.

D. Indicate product utility and electrical characteristics, utility connection requirements, and location of utility outlets for service for functional equipment and appliances.

E. After review, produce copies and distribute according to "Submittal Procedures" Article and for record documents described in Section 01 73 00 - Execution Requirements.

1.7 Electronic Cad Files of Project Drawings

A. Electronic CAD Files of Project Drawings: May only be used to expedite production of

Shop Drawings for the Project. Use for other Projects or purposes is not allowed.

B. Electronic CAD Files of Project Drawings: Distributed only under the following conditions:

1. Use of files is solely at receiver's risk. Engineer does not warrant accuracy of files.

Receiving files in electronic form does not relieve receiver of responsibilities for measurements, dimensions, and quantities set forth in Contract Documents. In the event of ambiguity, discrepancy, or conflict between information on electronic media and that in Contract Documents, notify Engineer of discrepancy and use information in hard-copy Drawings and Specifications.

2. CAD files do not necessarily represent the latest Contract Documents, existing conditions, and as-built conditions. Receiver is responsible for determining and complying with these conditions and for incorporating addenda and modifications.

3. User is responsible for removing information not normally provided on Shop

Drawings and removing references to Contract Documents. Shop Drawings submitted with information associated with other trades or with references to

Contract Documents will not be reviewed and will be immediately returned.

4. Receiver shall not hold Engineer responsible for data or file clean-up required to make files usable, nor for error or malfunction in translation, interpretation, or use of this electronic information.

5. Receiver shall understand that even though Engineer has computer virus scanning software to detect presence of computer viruses, there is no guarantee that computer viruses are not present in files or in electronic media.

6. Receiver shall not hold Engineer responsible for such viruses or their consequences, and shall hold Engineer harmless against costs, losses, or damage caused by presence of computer virus in files or media.

1.8 Shop Drawings

A. Shop Drawings: Action Submittal: Submit to Engineer for assessing conformance with information given and design concept expressed in Contract Documents.

B. Indicate special utility and electrical characteristics, utility connection requirements, and location of utility outlets for service for functional equipment and appliances.

C. When required by individual Specification Sections, provide Shop Drawings signed and sealed by a Professional Engineer responsible for designing components shown on

Shop Drawings:

1. Include signed and sealed calculations to support design.

2. Submit Shop Drawings and calculations in form suitable for submission to and approval by authorities having jurisdiction.

3. Make revisions and provide additional information when required by authorities having jurisdiction.

D. Preparation: Fully illustrate requirements in the Contract Documents. Include the following information:

1. Dimensions.

2. Identification of products.

3. Fabrication and installation drawings.

4. Roughing-in and setting diagrams.

5. Wiring diagrams showing field-installed wiring, including power, signal, and control wiring.

6. Shopwork manufacturing instructions.

7. Templates and patterns.

8. Schedules.

9. Compliance with specified standards.

10. Notation of coordination requirements.

11. Notation of dimensions established by field measurement.

12. Relationship to adjoining construction clearly indicated.

13. Wiring Diagrams: Differentiate between manufacturer-installed and field-installed wiring.

E. 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.

F. Submit electronic submittals via email as PDF electronic files.

G. After review, produce copies and distribute according to "Submittal Procedures" Article and for record documents described in Section 01 77 00 - Closeout Requirements.

1.9 Samples

A. Samples: Action Submittal: Submit to Engineer for assessing conformance with information given and design concept expressed in Contract Documents.

B. Samples for Selection as Specified in Product Sections:

1. Submit to Engineer for aesthetic, color, and finish selection.

2. Submit Samples of finishes, textures, and patterns for Engineer selection.

C. Submit Samples to illustrate functional and aesthetic characteristics of products, with integral parts and attachment devices. Coordinate Sample submittals for interfacing

Work.

D. Include identification on each Sample, with full Project information.

E. Submit number of Samples specified in individual Specification Sections; Engineer will retain one (1) Sample.

F. Reviewed Samples that may be used in the Work are indicated in individual

Specification Sections.

G. Samples will not be used for testing purposes unless specifically stated in the

Specification Section.

H. After review, produce copies and distribute according to "Submittal Procedures" Article and for record documents described in Section 01 78 39 – Project Record Documents.

1.10 Other Submittals

A. Closeout Submittals: Comply with Section 01 77 00 - Closeout Requirements.

B. Informational Submittal: Submit data for Engineer's knowledge as Contract

Administrator or for Owner.

C. Submit information for assessing conformance with information given and design concept expressed in Contract Documents.

1.11 Test Reports

A. Informational Submittal: Submit reports for Engineer's knowledge as Contract

Administrator or for Owner.

B. Submit test reports for information for assessing conformance with information given and design concept expressed in Contract Documents.

1.12 Certificates

A. Informational Submittal: Submit certification by manufacturer, installation/application

Subcontractor, or Contractor to Engineer, in quantities specified for Product Data.

B. Indicate material or product conforms to or exceeds specified requirements. Submit supporting reference data, affidavits, and certifications as appropriate.

C. Certificates may be recent or previous test results on material or product but must be acceptable to Engineer.

1.13 Manufacturer's Instructions

A. Informational Submittal: Submit manufacturer's installation instructions for Engineer's knowledge as Contract Administrator or for Owner.

B. Submit printed instructions for delivery, storage, assembly, installation, adjusting, and finishing, to Engineer in quantities specified for Product Data.

C. Indicate special procedures, perimeter conditions requiring special attention, and special environmental criteria required for application or installation.

1.14 Construction Photographs

A. Provide photographs of Site and construction throughout progress of Work produced by an experienced photographer acceptable to Engineer.

B. Take photographs as evidence of existing Project conditions.

C. Digital Images: Deliver complete set of digital image electronic files on CD-ROM or

USB to Owner with Project record documents. Identify electronic media with date photographs were taken. Submit images that have same aspect ratio as sensor, uncropped.

1.15 Contractor Review

A. Review for compliance with Contract Documents and approve submittals before transmitting to Engineer.

B. Contractor: Responsible for:

1. Determination and verification of materials including manufacturer's catalog numbers.

2. Determination and verification of field measurements and field construction criteria.

3. Checking and coordinating information in submittal with requirements of Work and of Contract Documents.

4. Determination of accuracy and completeness of dimensions and quantities.

5. Confirmation and coordination of dimensions and field conditions at Site.

6. Construction means, techniques, sequences, and procedures.

7. Safety precautions.

8. Coordination and performance of Work of all trades.

C. Stamp, sign or initial, and date each submittal to certify compliance with requirements of Contract Documents.

D. Do not fabricate products or begin Work for which submittals are required until approved submittals have been received from Engineer.

1.16 Engineer Review

A. Do not make "mass submittals" to Engineer. "Mass submittals" are defined as six or more submittals or items in one day or 15 or more submittals or items in one week. If

"mass submittals" are received, Engineer's review time will be extended as necessary to perform proper review. Engineer will review "mass submittals" based on priority determined by Engineer after consultation with Owner and Contractor.

B. Informational submittals and other similar data are for Engineer's information, do not require Engineer's responsive action, and will not be reviewed or returned with comment.

C. Submittals made by Contractor that are not required by Contract Documents may be returned without action.

D. Submittal approval does not authorize changes to Contract requirements unless accompanied by Change Order, or Field Order.

E. Engineer's Action: Where action and return is required, Engineer will provide timely review of each submittal in accordance with the accepted Schedule of Submittals:

1. Submittals returned with "APPROVED" action indicate that the information submitted was found to be in conformance with the design concept and in compliance with the requirements of the Contract Documents. Contractor may proceed with performance of the Work covered by the submittal.

2. Submittals returned with "APPROVED AS CORRECTED" action indicates that the information submitted was found to be in conformance with the design concept and in compliance with the requirements of the Contract Documents, provided the noted clarifications or corrections are completed. Submission of a corrected submittal indicating the changes noted by Engineer is required as part of the

Project Record Documents. Contractor may proceed with performance of the Work covered by the corrected submittal.

3. Submittals returned with "REVISE AND RESUBMIT" action indicate that: (1) information submitted is at least partially not in conformance with the design concept, (2) information submitted is at least partially not in compliance with the requirements of the Contract Documents, (3) submittal is incomplete and does not include all items required by the individual Specification Sections, or (4) certifications or computations required by the individual Specification Sections have not been included in the submittal. Submittal will be returned to Contractor noting the reasons for noncompliance. Contractor shall not proceed with the performance of the Work covered by submittal until corrected information is submitted and approved.

4. Submittals returned with "NOT APPROVED" action indicates that the Engineer interprets the information submitted to be not in conformance with the design concept or not in compliance with the Contract Documents. Performance of the

Work shall not proceed until submittal is revised, resubmitted, and approved.

F. Owner may offset payment due to Contractor to cover additional costs charged from the Engineer to the Owner for the Engineer’s review time beyond the first resubmission review.

2.0 Products - Not Used.

3.0 Execution - Not Used.

END OF SECTION