13300_Submittals-YatesRevised.pdf

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 submittals.

B. Related Sections include the following:

1. Division 1 Section "Payment Procedures" for submitting Applications for Payment and the Schedule of Values.

2. Division 1 Section "Project Management and Coordination" for submitting and distributing meeting and conference minutes and 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 inspection reports.

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

6. Division 1 Section "Project Record Documents" for submitting Record Drawings, Record Specifications, and Record Product Data.

7. Divisions 2 through 49 Sections for specific requirements for submittals in those Sections.

1.3 DEFINITIONS

A. Action Submittals: Written and graphic information that requires Conservation Team’s approval.

B. Informational Submittals: Written information that does not require Conservation Team’s responsive action. Submittals may be rejected for not complying with requirements.

1.4 SUBMITTAL PROCEDURES

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. 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.

SIDNEY YATES BUILDING

EXTERIOR REPAIR WORK AND MASONRY RE-POINTING 08 MARCH 2013

PROPERTY OF THE UNITED STATES GOVERNMENT – FOR OFFICIAL USE ONLY

Do not remove this notice – Properly destroy documents when no longer needed

SUBMITTAL PROCEDURES 013300 - 1

3. Conservation Team and the Government have the right to withhold action on a submittal requiring coordination with other submittals until related submittals are received.

B. 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.

C. Processing Time: Allow enough time for submittal review, including time for re-submittals, as follows. Time for review shall commence on Conservation Team’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.

1. Initial Review: Allow 15 business days for initial review of each submittal. Allow additional time if coordination with subsequent submittals is required. Conservation Team 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. Re-submittal Review: Allow 15 business days for review of each re-submittal.

4. Sequential Review: Where sequential review of submittals by Conservation Team or other parties is indicated, allow 21 business days for initial review of each submittal.

5. Concurrent Review: Where the Contract Documents indicate that submittals may be transmitted simultaneously to Conservation Team, allow 15 business days for review of each submittal.

D. 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 6 by 8 inches (150 by 200 mm) on label or beside title block to record Contractor's review and approval markings and action taken by Architect/Engineer.

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

a. Project name.

b. Date.

c. Name and address of Conservation Team.

d. Name and address of Contractor.

e. Name and address of subcontractor.

f. Name and address of supplier.

g. Name of manufacturer.

h. 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., 06100.01). Re-submittals shall include an alphabetic suffix after another decimal point (e.g., 06100.01.A).

SIDNEY YATES BUILDING

EXTERIOR REPAIR WORK AND MASONRY RE-POINTING 08 MARCH 2013

PROPERTY OF THE UNITED STATES GOVERNMENT – FOR OFFICIAL USE ONLY

SUBMITTAL PROCEDURES 013300 - 2

i. Number and title of appropriate Specification Section.

j. Drawing number and detail references, as appropriate.

k. Locations where product is to be installed, as appropriate.

l. Other necessary identification.

E. Deviations: Highlight or otherwise specifically identify deviations from the Contract Documents on submittals.

F. Additional Copies: Unless additional copies are required for final submittal, and unless Conservation Team observes noncompliance with provisions in the Contract Documents, initial submittal may serve as final submittal.

1. Submit one copy of submittal to concurrent reviewer in addition to specified number of copies to Conservation Team.

2. Additional copies submitted for maintenance manuals will not be marked with action taken and will be returned.

G. Transmittal Form: Unless otherwise directed by COTR, submit only digital copies of all informational submittals until they have been approved. Once approved, a final approved copy will be uploaded into ePM, a printed copy stored in the construction trailer, and a copy submitted to COTR.

1. Provide locations for the following information:

a. Project name.

b. Date.

c. Destination (To:).

d. Source (From:).

e. Names of subcontractor, manufacturer, and supplier.

f. Category and type of submittal.

g. Submittal purpose and description.

h. Specification Section number and title.

i. Drawing number and detail references, as appropriate.

j. Transmittal number.

k. Submittal and transmittal distribution record.

l. Remarks.

m. Signature of transmitter.

2. On an attached separate sheet, prepared on Contractor's letterhead, record relevant information, requests for data, revisions other than those requested by Architect/Engineer on previous submittals, and deviations from requirements in the Contract Documents, including minor variations and limitations. Include same label information as related submittal.

SIDNEY YATES BUILDING

EXTERIOR REPAIR WORK AND MASONRY RE-POINTING 08 MARCH 2013

PROPERTY OF THE UNITED STATES GOVERNMENT – FOR OFFICIAL USE ONLY

SUBMITTAL PROCEDURES 013300 - 3

H. Re-submittals: Make re-submittals 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. Re-submit submittals until they are marked with approval notation from Conservation Team or Architect's/Engineer’s action stamp where required.

I. Distribution: Furnish copies of final submittals to subcontractors, installers, authorities having jurisdiction, and others as necessary for performance of construction activities. Show distribution on transmittal forms.

J. Use for Construction: Use only final submittals with mark indicating approval by Conservation Team and/or action stamp by Architect/Engineer (where required).

PART 2 - PRODUCTS

2.1 ACTION SUBMITTALS

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

1. Submit electronic submittals directly to extranet specifically established for Project.

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. Printed performance curves.

g. Operational range diagrams.

h. Standard product operation and maintenance manuals.

i. Compliance with specified referenced standards.

j. Testing by recognized testing agency.

k. Application of testing agency labels and seals.

l. Notation of coordination requirements.

SIDNEY YATES BUILDING

EXTERIOR REPAIR WORK AND MASONRY RE-POINTING 08 MARCH 2013

PROPERTY OF THE UNITED STATES GOVERNMENT – FOR OFFICIAL USE ONLY

SUBMITTAL PROCEDURES 013300 - 4

4. Submit Product Data before or concurrent with Samples.

5. Number of Copies: Documents may be submitted electronically for review. One paper copy of approval must remain readily available in the construction trailer.

C. Shop Drawings: Prepare project-specific information, drawn accurately to scale.

1. Preparation: Fully illustrate requirements in the Contract Documents. Include the following information, as applicable:

a. Dimensions.

b. Identification of products.

c. Fabrication and installation drawings.

d. Shopwork manufacturing instructions.

e. Templates and patterns.

f. Schedules.

g. Design calculations.

h. Compliance with specified standards.

i. Notation of coordination requirements.

j. Notation of dimensions established by field measurement.

k. Relationship to adjoining construction clearly indicated.

l. Electrical and Lighting Diagrams: Differentiate between manufacturer-installed and field-installed wiring. Include materials hoist on drawings.

m. Seal and signature of Professional Engineer if specified.

2. Sheet 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).

3. Number of Copies: Submit digital copies and one paper copy of each submittal. One paper copy of approved paperwork must be kept on file in the site office.

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 a label on the 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 appropriate Specification Section.

SIDNEY YATES BUILDING

EXTERIOR REPAIR WORK AND MASONRY RE-POINTING 08 MARCH 2013

PROPERTY OF THE UNITED STATES GOVERNMENT – FOR OFFICIAL USE ONLY

SUBMITTAL PROCEDURES 013300 - 5

3. Disposition: Maintain sets of approved samples at project site construction trailer for quality-control comparison throughout the course of construction activity. Sample sets may be used to determine final acceptance of construction work.

a. Samples that may be incorporated into the Work are indicated in individual specification sections. Such samples must be in undamaged condition at time of use.

b. Samples not incorporated into the Work, or otherwise designated as Government’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 Three (3) full set(s) of available choices where color, pattern, texture, or similar characteristics are required to be selected from manufacturer's product line. Government will return submittal with options selected and this approved set is to be stored in the construction trailer until the project is complete.

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 (3) sets of samples. Construction Manager will retain two (2) Sample sets at trailer; 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 (3) sets of paired units that show approximate limits of variations.

E. Product Schedule or List: 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.

2. Number of Copies: Submit digital copy and one paper copy of product schedule or list, unless otherwise indicated. Government will return approved paper copy to be filed in trailer.

a. Mark up and retain one returned copy as a Project Record Document.

F. Contractor's Construction Schedule: Comply with requirements specified in Division 1 Section "Construction Progress Documentation" for Conservation Team’s action.

SIDNEY YATES BUILDING

EXTERIOR REPAIR WORK AND MASONRY RE-POINTING 08 MARCH 2013

PROPERTY OF THE UNITED STATES GOVERNMENT – FOR OFFICIAL USE ONLY

SUBMITTAL PROCEDURES 013300 - 6

G. Submittals Schedule: Comply with requirements specified in Division 1 Section "Construction Progress Documentation."

H. Application for Payment: Comply with requirements specified in Division 1 Section "Payment Procedures."

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

J. 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. Use CSI Form 1.5A. 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 covered by subcontract.

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

4. Number of Copies: Submit three copies of subcontractor list, unless otherwise indicated.

Engineer/Architect will return two copies.

a. Mark up and retain one returned copy as a Project Record Document.

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.

Conservation Team 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. Inspection Reports: Comply with requirements specified in Division 1 Section "Quality Requirements."

4. Submit digital copies to all parties unless otherwise directed.

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

C. Contractor's Construction Schedule: Comply with requirements specified in Division 1 Section "Construction Progress Documentation."

D. 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.

SIDNEY YATES BUILDING

EXTERIOR REPAIR WORK AND MASONRY RE-POINTING 08 MARCH 2013

PROPERTY OF THE UNITED STATES GOVERNMENT – FOR OFFICIAL USE ONLY

SUBMITTAL PROCEDURES 013300 - 7

E. 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.

F. 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.

G. Product Certificates: Prepare written statements on manufacturer's letterhead certifying that product complies with requirements in the Contract Documents.

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

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 in the Contract Documents.

J. 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.

K. 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.

L. 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.

M. Material Safety Data Sheets (MSDSs): Submit information directly to COTR and Conservation Team. Keep paper copies filed for easy access in the trailer.

N. 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.

SIDNEY YATES BUILDING

EXTERIOR REPAIR WORK AND MASONRY RE-POINTING 08 MARCH 2013

PROPERTY OF THE UNITED STATES GOVERNMENT – FOR OFFICIAL USE ONLY

SUBMITTAL PROCEDURES 013300 - 8

2.3 DELEGATED DESIGN

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 the Conservation Team.

B. 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.

1. Indicate 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. 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 COTR.

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.

3.2 CONSERVATION TEAM AND/OR ARCHITECT'S/ENGINEER’S ACTIONS

A. General: Government will not review submittals that do not bear Contractor's approval stamp and will return them without action.

B. Action Submittals: Government will review each submittal, make marks to indicate corrections or modifications required, and return it. Where required, Conservation Team will stamp submittals appropriately to indicate action taken.

C. Information Submittals: Government will forward each submittal to appropriate party.

D. Partial submittals are not acceptable, will be considered non-responsive, and will be returned without review.

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

END OF SECTION 013300

SIDNEY YATES BUILDING

EXTERIOR REPAIR WORK AND MASONRY RE-POINTING 08 MARCH 2013

PROPERTY OF THE UNITED STATES GOVERNMENT – FOR OFFICIAL USE ONLY

SUBMITTAL PROCEDURES 013300 - 9