013300_SMRT_FORMAT_FOR_SUBMITTALS.pdf

CHICOPEE ARMORY REHABILITATION MMD PROJECT NO. 985101

CHICOPEE, MASSACHUSETTS ISSUED FOR BID - 05/20/11

10090 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 1 Specification Sections, apply to this Section.

1.2 SUMMARY

A. This Section includes administrative and procedural requirements for submitting Shop

Drawings, Product Data, Samples, and other miscellaneous submittals.

B. Related Sections include the following:

1. Division 1 Section "Payment Procedures" for submitting Applications for Payment.

2. Division 1 Section "Project Management and Coordination" for submitting Coordination

Drawings.

3. Division 1 Section "Construction Progress Documentation" for submitting schedules and reports, including Contractor's Construction Schedule and the Submittals Schedule.

4. Division 1 Section "Quality Requirements" for submitting test and inspection reports and

Delegated-Design Submittals and for erecting mockups.

5. Division 1 Section "Closeout Procedures" for submitting warranties Project Record

Documents and operation and maintenance manuals.

1.3 SUBMITTALS

A. Sample Submittal: Submit first project submittal within one week of Notice to Proceed. First project submittal shall be a sample of the Contractor's submittal review stamp incorporating the specified compliance statement. Submittal shall also demonstrate correct transmittal form, submittal format, numbering, etc. for project.

1.4 DEFINITIONS

A. Action Submittals: Written and graphic information that requires Architect's responsive action including product data submittals and shop drawings. Refer to Part 2.

B. Informational Submittals: Written information that does not require Architect's approval such as test reports, certifications, maintenance data, insurance certificates, etc. Refer to Part 2.

Submittals may be rejected for not complying with requirements.

1.5 SUBMITTAL PROCEDURES

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A. General: Copies of Architectural Floor Plan drawings in digital format will be provided for a fee by the architect to those requesting same in accordance with the “Authorization Statement for Electronic Transfer” form. (Example attached herein). Information provided in digital format is for the sole information and use of the authorizing entity. Further copying or transfer of this information is prohibited by copyright.

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. 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.

C. Submittals Schedule: Comply with requirements in Division 1 Section "Construction Progress

Documentation" for list of submittals and time requirements for scheduled performance of related construction activities.

D. Processing Time: Allow enough time for submittal review, including time for resubmittals, as follows. Time for review shall commence on Architect's receipt of submittal.

1. Initial Review: Allow 21 days for review of each submittal. Allow additional time if processing must be delayed to permit coordination with subsequent submittals. Architect will advise Contractor when a submittal being processed must be delayed for coordination. Submittal review periods will apply only with the submittal and approval of the submittal schedule.

2. No extension of the Contract Time will be authorized because of failure to transmit submittals enough in advance of the Work to permit processing.

E. Identification: Place a permanent label or title block on each submittal for identification.

1. Indicate name of firm or entity that prepared each submittal on label or title block.

2. Provide a space approximately 4 by 8 inches (100 by 200 mm) on label or beside title block to record Contractor's review and approval markings and action taken by Architect.

3. Submittal tracking number: Mark each submittal with a tracking number as follows:

25-05500-1A

Resubmittal Designation. Use "A" for first resubmittal, "B" for second, etc.

Submittal sequence number for Specification Section. Use a separate number for each item submitted, in sequence, within each

Spec. Section. (For re-submittals, repeat the designation of the original submittal.)

Specification Section.

Transmittal number. Use a separate transmittal for each item or group of items within the same Section submitted together.

4. Include the following information on label for processing and recording action taken:

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a. Project name.

b. Date.

c. Name and address of Architect.

d. Name and address of Contractor.

e. Name and address of subcontractor.

f. Name and address of supplier.

g. Name of manufacturer.

h. Submittal tracking number.

i. Drawing number and detail references, as appropriate.

j. Identification of submittal as an ACTION SUBMITTAL (requiring return) or

INFORMATIONAL SUBMITTAL (requiring no return).

k. Other necessary identification.

F. Deviations: Submit only specified products. Highlight, encircle, or otherwise identify minor deviations from the Contract Documents on submittals. Deviations not specifically approved and later found to be in conflict with Contract Documents may be rejected. Refer to Division 1

Section "Product Requirements" for substitution requirements.

G. Transmittal: Package each submittal individually and appropriately for review and handling.

Submittals transmitted together will be reviewed and returned together. Transmit each submittal using a transmittal form. Architect will return submittals, without review, received from sources other than Contractor.

1. 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 of the Contract Documents, including minor variations and limitations. Include the same label information as the related submittal.

2. Include Contractor's certification stating that information submitted complies with requirements of the Contract Documents.

3. Transmittal Form: Provide locations on form for the following information:

a. Project name.

b. Date.

c. Destination (To:).

d. Source (From:).

e. Names of subcontractor, manufacturer, and supplier.

f. Submittal tracking number.

g. Submittal purpose and description.

h. Submittal and transmittal distribution record.

i. Remarks.

j. Signature of transmitter.

H. Distribution: Furnish copies of approved 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: Use only approved submittals with mark indicating action taken by

Architect in connection with construction.

PART 2 - PRODUCTS

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2.1 ACTION SUBMITTALS

A. General: Prepare and submit Action Submittals required by individual Specification Sections.

1. Number of Copies: Submit the number of copies of each submittal the Contractor requires plus those required for reviewers, unless otherwise indicated. Architect will retain two copies. Mark up and retain one returned copy as a Project Record Document.

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 printed 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 written recommendations.

b. Manufacturer's product specifications.

c. Manufacturer's installation instructions.

d. Standard color charts.

e. Manufacturer's catalog cuts.

f. Wiring diagrams showing factory-installed wiring.

g. Printed performance curves.

h. Operational range diagrams.

i. Mill reports.

j. Standard product operating and maintenance manuals.

k. Compliance with recognized trade association standards.

l. Compliance with recognized testing agency standards.

m. Application of testing agency labels and seals.

n. Notation of coordination requirements.

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: Include the following information, as applicable:

a. Dimensions.

b. Identification of products.

c. Fabrication and installation drawings.

d. Roughing-in and setting diagrams.

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

f. Shopwork manufacturing instructions.

g. Templates and patterns.

h. Schedules.

i. Design calculations.

j. Compliance with specified standards.

k. Notation of coordination requirements.

l. Notation of dimensions established by field measurement.

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

3. Sheet Size: Except for templates, patterns, and similar full-size drawings, submit Shop

Drawings on sheets at least 8-1/2 by 11 inches (215 by 280 mm) but no larger than 30 by

40 inches (750 by 1000 mm).

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4. Number of Copies: Submit one reproducible print and two blue- or black-line prints.

Architect will return the reproducible print. At the Contractor's option, a black line print may be submitted as the reproducible print.

D. Coordination Drawings: Comply with requirements in Division 1 Section "Project Management and Coordination."

E. Samples: Prepare physical units of materials or products, including the following:

1. Comply with requirements in Division 1 Section "Quality Requirements" for mockups.

2. Samples for Selection:

a. When indicated, submit manufacturer's color charts consisting of units or sections of units showing the full range of colors, textures, and patterns available.

b. When indicated, submit full-size units or samples of size indicated, prepared from the same material to be used for the Work, cured and finished in manner specified, and physically identical with the 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.

3. Preparation: Mount, display, or package Samples in manner specified to facilitate review of qualities indicated. Prepare Samples to match Architect's sample where so indicated.

Attach label on unexposed side that includes the following:

a. Generic description of Sample.

b. Product name or name of manufacturer.

c. Sample source.

4. Additional Information: On an attached separate sheet, prepared on Contractor's letterhead, provide the following:

a. Size limitations.

b. Compliance with recognized standards.

c. Availability.

d. Delivery time.

5. Submit Samples for review of kind, color, pattern, and texture for a final check of these characteristics with other elements and for a comparison of these characteristics between final submittal and actual component as delivered and installed.

a. If variation in color, pattern, texture, or other characteristic is inherent in the product represented by a Sample, submit at least three sets of paired units that show approximate limits of the variations.

b. Refer to individual Specification Sections for requirements for Samples that illustrate workmanship, fabrication techniques, details of assembly, connections, operation, and similar construction characteristics.

6. Number of Samples for Selection: Submit three sets of Samples. Architect will retain one Sample sets; remainder will be returned. Mark up and retain one returned Sample set as a Project Record Sample.

a. Submit a single Sample where assembly details, workmanship, fabrication techniques, connections, operation, and other similar characteristics are to be demonstrated.

7. 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.

10090 SUBMITTAL PROCEDURES 013300 - 6

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.

F. Product Schedule or List: 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.

2. Number and name of room or space.

3. Location within room or space.

G. Delegated-Design Submittal: Comply with requirements in Division 1 Section "Quality

Requirements."

H. Contractor's Construction Schedule: Comply with requirements in Division 1 Section

"Construction Progress Documentation" for Architect’s action.

I. Submittals Schedule: Comply with requirements in Division 1 Section "Construction Progress

Documentation."

J. Application for Payment: Comply with requirements in Division 1 Section "Payment

Procedures."

K. Schedule of Values: Comply with requirements in Division 1 Section "Payment Procedures."

L. 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:

1. Name, address, and telephone number of entity performing subcontract or supplying products.

2. Number and title of related Specification Section(s) covered by subcontract.

3. Drawing number and detail references, as appropriate, covered by subcontract.

2.2 INFORMATIONAL SUBMITTALS

A. General: Prepare and submit Informational Submittals required by other Specification Sections.

1. Number of Copies: Submit two copies of each submittal, unless otherwise indicated.

Architect will not return copies.

2. 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.

3. Test and Inspection Reports: Comply with requirements in Division 1 Section "Quality

Requirements."

B. Contractor's Construction Schedule: Comply with requirements in Division 1 Section

"Construction Progress Documentation."

10090 SUBMITTAL PROCEDURES 013300 - 7

C. 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.

D. Product Certificates: Prepare written statements on manufacturer's letterhead certifying that product complies with requirements.

E. Welding Certificates: Prepare written certification that welding procedures and personnel comply with requirements. Submit record of Welding Procedure Specification (WPS) and

Procedure Qualification Record (PQR) on AWS forms. Include names of firms and personnel certified.

F. Installer Certificates: Prepare written statements on manufacturer's letterhead certifying that

Installer complies with requirements and, where required, is authorized for this specific Project.

G. Manufacturer Certificates: Prepare written statements on manufacturer's letterhead certifying that manufacturer complies with requirements. Include evidence of manufacturing experience where required.

H. Material Certificates: Prepare written statements on manufacturer's letterhead certifying that material complies with requirements.

I. 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.

J. 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.

K. 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.

L. 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.

M. Product Test Reports: Prepare written reports indicating current product produced by manufacturer complies with requirements. 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.

N. 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:

1. Name of evaluation organization.

2. Date of evaluation.

3. Time period when report is in effect.

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4. Product and manufacturers' names.

5. Description of product.

6. Test procedures and results.

7. Limitations of use.

O. Maintenance Data: Prepare written and graphic instructions and procedures for operation and normal maintenance of products and equipment. Comply with requirements in Division 1

Section "Closeout Procedures."

P. 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.

Q. 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:

1. Preparation of substrates.

2. Required substrate tolerances.

3. Sequence of installation or erection.

4. Required installation tolerances.

5. Required adjustments.

6. Recommendations for cleaning and protection.

R. Manufacturer's Field Reports: Prepare written information documenting factory-authorized service representative's tests and inspections. Include the following, as applicable:

1. Name, address, and telephone number of factory-authorized service representative making report.

2. Statement on condition of substrates and their acceptability for installation of product.

3. Statement that products at Project site comply with requirements.

4. Summary of installation procedures being followed, whether they comply with requirements and, if not, what corrective action was taken.

5. Results of operational and other tests and a statement of whether observed performance complies with requirements.

6. Statement whether conditions, products, and installation will affect warranty.

7. Other required items indicated in individual Specification Sections.

S. 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.

T. Material Safety Data Sheets: Submit information directly to Owner. If submitted to Architect, Architect will not review this information but will return it with no action taken.

PART 3 - EXECUTION

3.1 CONTRACTOR'S REVIEW

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A. Review each submittal and check for compliance with the Contract Documents. Note corrections and field dimensions. Mark with approval stamp before submitting to Architect.

B. 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. Stamp or statement shall include the following: "The Contractor represents that he has determined and verified all materials, field measurements, and field construction criteria related thereto or will do so, and that he has checked and coordinated the information contained within such submittals with the requirements of the Work and of the Contract

Documents.”

3.2 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 respond to each submittal with an action stamp and will mark stamp appropriately to indicate action taken, as follows:

APPROVED

PROVIDE AS NOTED

REJECTED

REVISE AND RESUBMIT

RESUBMIT SPECIFIED ITEM

INFORMATIONAL SUBMITTAL FOR RECORD ONLY

NOT A REQUIRED SUBMITTAL - NOT REVIEWED

This review was performed for the limited purpose of determining general conformance with the design concept of the project and general compliance with the formation given in the Contract Documents.

Modifications or comments made on the submittal during this review don not relieve the Contractor from compliance with the requirements of the drawings and specifications. Approval of a specific item does not include approval of the assembly of which the item is a component. The Contractor is responsible for: quantities and dimensions to be confirmed and correlated at the jobsite; information that pertains solely to the fabrication processes or to the means, methods, techniques, sequences and procedures of construction; coordination of the work of all trades; and for performing all work in a safe and satisfactory manner.

SMRT, Inc.

10090 SUBMITTAL PROCEDURES 013300 - 10

Date _________________

By ___________________

C. The action stamp above will be appropriately marked and executed to indicate whether the submittal returned is approved for unrestricted release, final-but-restricted release, returned for resubmittal, or not approved.

1. Final Unrestricted Release/Approved: When the Architect/Engineer marks a submittal or a part of a submittal "APPROVED", the Work covered by the submittal or part of a submittal may proceed provided it complies with requirements of the Contract

Documents. Final payment depends on that compliance.

a. Marking: "APPROVED”

2. Final-But-Restricted Release/Conditionally Approved: When the Architect/Engineer marks a submittal or part of a submittal "PROVIDE AS NOTED," the Work covered by the submittal or part of a 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.

a. Marking: “PROVIDE AS NOTED”

3. Returned for Resubmittal/Not Approved: When the Architect/Engineer marks a submittal or part of a submittal "REVISE AND RESUBMIT," do not proceed with Work covered by the submittal or part of a 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 "REVISE AND

RESUBMIT" at the Project Site or elsewhere where Work is in progress.

b. Marking: “REVISE AND RESUBMIT” or “RESUBMIT SPECIFIC ITEM”

4. Not approved: When the Architect/Engineer marks a submittal or part of a submittal

“REJECTED”, the Work covered by the submittal or part of a submittal does not conform to the contract documents. Submittal of specified item is required prior to proceeding with Work covered by the submittal.

5. Informational Submittal: Informational submittal items are filed for project record only.

Informational submittals do not require an action, though they may cause a reaction if the information reported identifies a problem to be resolved. Refer to specific submittals for further information.

6. Not a Required Submittal: When the Architect/Engineer marks a submittal or part of a submittal "NOT A REQUIRED SUBMITTAL - NOT REVIEWED", the submittal is not required and approval is not required. All copies may be returned with no action taken.

D. Submittals not required by the Contract Documents will not be reviewed and may be discarded.

END OF SECTION 013300

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