01 33 00 - Submittal Procedures.pdf

01 33 00 - SUBMITTAL PROCEDURES

Herbert, Rowland & Grubic, Inc. 01 33 00 - 1 011364.0448

SECTION 01 33 00 - SUBMITTAL PROCEDURES

PART 1 - GENERAL

1.1 SECTION INCLUDES

A. Definitions.

B. Submittal procedures.

C. Construction progress schedules.

D. Proposed product & Subcontractor lists.

E. Product data.

F. Shop Drawings.

G. Samples.

H. Other submittals.

I. Test reports.

J. Certificates.

K. Manufacturer's instructions.

L. Manufacturer's field reports.

M. Erection Drawings.

N. Construction photographs.

O. Contractor review.

P. 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.

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1.3 SUBMITTAL PROCEDURES

A. Transmit each submittal with 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: 03 30 00, 2.02-01 (1st submittal).

2. Plan Sheet: Plan and Sheet Number dash submittal number.

3. Mark revised resubmittals with original number and sequential alphabetic 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 reasonable time for Engineer.

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.

Herbert, Rowland & Grubic, Inc. 01 33 00 - 3 011364.0448

1.4 CONSTRUCTION PROGRESS SCHEDULES

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

1.5 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.

1.6 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.

Herbert, Rowland & Grubic, Inc. 01 33 00 - 4 011364.0448

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 Procedures.

1.7 OTHER SUBMITTALS

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

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.

1.8 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.

1.9 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.

1.10 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.

Herbert, Rowland & Grubic, Inc. 01 33 00 - 5 011364.0448

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

1.11 CONSTRUCTION PHOTOGRAPHS

A. Comply with Section 01 32 33 – Photographic Documentation.

1.12 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.

1.13 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, Field Order, or Work Change Directive.

E. Engineer's Action: Where action and return is required, Engineer will provide timely

Herbert, Rowland & Grubic, Inc. 01 33 00 - 6 011364.0448 review of each submittal in accordance with the accepted Schedule of Submittals:

1. Submittals returned with "APPROVED" 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. 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 beyond the first resubmission review.

PART 2 - PRODUCTS - Not Used.

PART 3 - EXECUTION - Not Used.

END OF SECTION

F. Owner may offset payment due to Contractor to cover additional costs beyond the first resubmission review.