013300_fl_-_submittal_procedures.pdf

National Guard Readiness Center Wilmington, North Carolina Addendum 1 16 August 2017

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 01 Specification Sections, apply to this Section.

1.2 SUMMARY

A. Section Includes:

1. Submittal schedule requirements.

2. Administrative and procedural requirements for submittals.

B. Related Requirements:

1. Section 013100 "Project Management and Coordination" for submitting coordination drawings and subcontract list and for requirements for web-based Project software.

2. Section 014000 “ Quality Requirements” for submitting test and inspection reports, and schedule of tests and inspections.

3. Section 017700 "Closeout Procedures" for submitting closeout submittals and maintenance material submittals.

4. Section 017823 "Operation and Maintenance Data" for submitting operation and maintenance manuals.

5. Section 017839 "Project Record Documents" for submitting record Drawings, record Specifications, and record Product Data.

6. Section 017900 "Demonstration and Training" for submitting video recordings of demonstration of equipment and training of Owner's personnel.

1.3 DEFINITIONS

A. Action Submittals: Written and graphic information and physical samples that require CONTRACTING OFFICER 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 CONTRACTING OFFICER'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."

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1.4 SUBMITTAL SCHEDULE

A. Submittal Schedule: Submit, as an action submittal, a list 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 CONTRACTING OFFICER 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 current 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 CONTRACTING OFFICER's final release or approval.

g. Scheduled date of fabrication.

h. Scheduled dates for installation.

i. Activity or event number.

1.5 SUBMITTAL FORMATS

A. Submittal Information: Include the following information in each submittal:

1. Project name.

2. Date.

3. Name of Architect.

4. Name of Contractor.

5. Name of firm or entity that prepared submittal.

6. Names of subcontractor, manufacturer, and supplier.

7. Unique submittal number, including revision identifier. Include Specification

Section submittal number, including revision identifier. Include Specif ication Section number with sequential alphanumeric identifier; and alphanumeric suffix for resubmittals.

8. Category and type of submittal.

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9. Submittal purpose and description.

10. Number and title of Specification Section, with paragraph number and generic name for each of multiple items.

11. Drawing number and detail references, as appropriate.

12. Indication of full or partial submittal.

13. Location(s) where product is to be installed, as appropriate.

14. Other necessary identification.

15. Remarks.

16. Signature of transmitter.

B. Options: Identify options requiring selection by CONTRACTING OFFICER.

C. Deviations and Additional Information: On each submittal, clearly indicate deviations from requirements in the Contract Documents, including minor variations and limitations; include relevant additional information and revisions, other than those requested by CONTRACTING OFFICER on previous submittals. Indicate by highlighting on each submittal or noting on attached separate sheet.

D. Paper Submittals:

1. Place a permanent label or title block on each submittal item for identification; include name of firm or entity that prepared submittal.

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

CONTRACTING OFFICER.

3. Transmittal for Submittals: Assemble each submittal individually and appropriately for transmittal and handling. Transmit each submittal using AIA Document G810 transmittal form.

E. Submittals: Prepare submittals as PDF packages, incorporating complete information into each PDF file. Name PDF file with submittal number.

F. Submittals for Web-Based Project Software: Prepare submittals as PDF files, or other format indicated by Project software website.

1.6 SUBMITTAL PROCEDURES

A. Prepare and submit submittals required by individual Specification Sections. Types of submittals are indicated in individual Specification Sections.

1. Email: Prepare submittals as PDF package, and transmit to CONTRACTING

OFFICER by sending via email. Include PDF transmittal form. Include information in email subject line as requested by CONTRACTING OFFICER.

a. CONTRACTING OFFICER will return annotated file. Annotate and retain one copy of file as a digital Project Record Document file.

2. Web-Based Project Software: Prepare submittals in PDF form, and upload to web-based Project software website. Enter required data in web-based

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software site to fully identify submittal.

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. 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 submittals for related parts of the Work specified in different Sections so processing will not be delayed because of need to review submittals concurrently for coordination.

a. CONTRACTING OFFICER reserves the right to withhold action on a submittal requiring coordination with other submittals until related submittals are received.

C. Processing Time: Allow time for submittal review, including time for resubmittals, as follows. Time for review shall commence on CONTRACTING OFFICER'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 init ial review of each submittal. Allow additional time if coordination with subsequent submittals is required.

CONTRACTING OFFICER 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 CONTRACTING

OFFICER’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 CONTRACTING OFFICER, before being returned to Contractor.

a. Submit one copy of submittal to concurrent reviewer in addition to specified number of copies to CONTRACTING OFFICER.

D. 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

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extent of revision.

3. Resubmit submittals until they are marked with approval notation from

CONTRACTING OFFICER's action stamp.

E. 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.

F. Use for Construction: Retain complete copies of submittals on Project site. Use only final action submittals that are marked with approval notation from CONTRACTING OFFICER's action stamp.

1.7 SUBMITTAL REQUIREMENTS

A. 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 unsuitable 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.

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 that show 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 Shop Drawings, and before or concurrent with Samples.

B. 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 unless submittal based on Architect's digital data drawing files is otherwise permitted.

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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.

C. Samples: Submit Samples for review of kind, color, pattern, and texture for a check of these characteristics with other materials.

1. Transmit Samples that contain multiple, related components such as accessories together in one submittal package.

2. Identification: Permanently attach label on unexposed side of Samples that includes the following:

a. Project name and submittal number.

b. Generic description of Sample.

c. Product name and name of manufacturer.

d. Sample source.

e. Number and title of applicable Specification Section.

f. Specification paragraph number and generic name of each item.

3. Email Transmittal: Provide PDF transmittal. Include digital image file illustrating Sample characteristics, and identification information for record.

4. 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.

5. 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 two full set(s) of available choices where color, pattern, texture, or similar characteristics are required to be selected from manufacturer’s product line. CONTRACTING OFFICER will return submittal with options selected.

6. Samples for Verification: Submit full-size units or Samples of size

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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.

CONTRACTING OFFICER will retain two Sample sets; remainder will be returned.

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.

D. 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.

E. Qualification Data: Prepare written information that demonstrates capabilities and experience of firm or person. Include lists of completed projects with project names and addresses, contact information of CONTRACTING OFFICERs and owners, and other information specified.

F. Design Data: Prepare and submit written and graphic information indicating compliance with indicated performance and design criteria in individual Specification Sections. Include list of assumptions and summary of loads. Include load diagrams if applicable. Provide name and version of software, if any, used for calculations.

Number each page of submittal.

G. Certificates:

1. Certificates and Cert if icat ions Submittals: Submit 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 o n b e h a l f o f t h a t e n t i t y . Provide a n o t a r i z e d s i g n a t u r e wh e r e indicated.

2. Installer Certificates: Submit written statements on manufacturer’s

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letterhead certifying that Installer complies with requirements in the Contract Documents and, where required, is authorized by manufacturer for this specific Project.

3. Manufacturer Certificates: Submit written statements on manufacturer's letterhead c e r t i f y i n g t h a t m a n u f a c t u r e r c o m p l i e s w i t h r e q u i r e m e n t s i n t h e Contract Do c u m e n t s . Include e v id e n c e o f m a n u f a c t u r i ng e xper ie nc e wh e r e required.

4. Material Certificates: Submit written statements on manufacturer’s letterhead certifying that material complies with requirements in the Contract Documents.

5. Product Certificates: Submit written statements on manufacturer’s letterhead certifying that product complies with requirements in the Contract Documents.

6. 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.

H. Test and Research Reports:

1. 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.

2. 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.

3. 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.

4. Preconstruction Test Reports: Submit reports writ ten by a qual if ied test ing 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.

5. 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.

6. 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:

a. Name of evaluation organization.

b. Date of evaluation.

c. Time period when report is in effect.

d. Product and manufacturers' names.

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e. Description of product.

f. Test procedures and results.

g. Limitations of use.

1.8 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 insufficient to perform services or certification required, submit a written request for additional information to CONTRACTING

OFFICER.

B. Delegated-Design Services Certification: In addition to Shop Drawings, Product

Data, and other required submittals, submit digitally signed PDF file and 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.

C. BIM Document Incorporation: Incorporate delegated-design drawing and data files into BIM established for Projectin the CADD drawing format established for the project.

AutoCAD, latest version..

1. Prepare delegated-design drawings in the following format: Same digital data software program, version, and operating system as original Drawings.

1.9 CONTRACTOR'S REVIEW

A. Action Submittals 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 CONTRACTING OFFICER.

B. Contractor’s Approval: Indicate C o n t r a c t o r ’ s a p p r o v a l f o r e a c h su b m i t t a l w i t h a uniform approval stamp. Include 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. CONTRACTING OFFICER will not review submittals received from Contractor that do not have Contractor's review and approval.

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1.10 CONTRACTING OFFICER'S REVIEW

A. Action Submittals: CONTRACTING OFFICER will review each submittal, indicate corrections or revisions required, and return it.

1. PDF Submittals: CONTRACTING OFFICER will indicate, via markup on each submittal, the appropriate action.

B. Informational Submittals: CONTRACTING OFFICER wi l l review each submittal and will not return it, or will return it if it does not comply with requirements.

CONTRACTING OFFICER will forward each submittal to appropriate party.

C. Partial submittals prepared for a portion of the Work will be reviewed when use of partial s u b m i t t a l s h a s r e c e i v e d p r i o r a p p r o v a l f r o m

C O N T R A C T I N G O FF I C E R .

D. Incomplete submittals are unacceptable, will be considered nonresponsive, and will be returned for resubmittal without review.

E. CONTRACTING OFFICER will discard submittals received from sources other than Contractor.

F. Submittals not required by the Contract Documents will be returned by

CONTRACTING OFFICER without action.

PART 2 - PRODUCTS (Not Used)

PART 3 - EXECUTION (Not Used)

END OF SECTION 013300

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