GENERAL REQUIREMENTSSUBMITTAL PROCEDURES
Section 01330
Page 1 of __
SECTION 01330
SUBMITTAL PROCEDURES
Note to PM: paragraphs 1.04 .A .2; .A .3; and 1.10 .C must be edited!
PART 1 -GENERAL
1.01summary
.AThis Section includes:
.1Part 1 – General
.a1.01 – Summary
.b1.02 – Related Documents and Sections
.c1.03 - Definitions
.d1.04 - Scheduling
.e1.05 - Deviations
.f1.06 – Submittal Format
.g1.07 - Action Submittals
.h1.08 - Informational Submittals
.i1.09 - Distribution
.j1.10 - Owner or Designer of Record’s Action
.2Part 2 – Products (Not Used)
.3Part 3 – Execution (Not Used)
.4Part 4 – Forms (Sample Submittal Transmittal form)
1.02RELATED DOCUMENTS and sections
.ADocument 00700.3.26, “Submittals”
.BSection 01310, “Project Management and Coordination”
.CSection 01320, “Construction Progress Documentation”
.DSection 01332, “Submittal Log”
.ESection 01450, “Contractor’s Quality Control (QC) System”
.FSection 01810, "General Commissioning Requirements"
1.03DEFINITIONS
.AAction Submittals - Submittals requiring Owner’s written response.
.BInformational Submittals - Submittals not requiring Owner’s written response. (Survey notes, QC Manager’s Daily Report, Laboratory test reports, etc.)
.CPreconstruction Submittals - Submittals requiring Owner’s acceptance before Contractor may proceed with the performance of on-site Work. These submittals include, but are not limited to, the CQC Plan, Fire Protection Plan, Qualifications of Key Personnel, Qualifications of Scheduler (if applicable to this contract), SWPPP (if applicable to this contract), etc. Except for the CQC Plan, which must be certified by the CQC Manager pursuant to Section 01450, all Pre-construction submittals may be signed by the Contractor’s Authorized Representative (Section 01310 1.04; 00700 3.07), Contractor’s Project Manager, or an Officer of the Contractor.
.DProduct Data Submittals – Are submittals associated with, and necessary for, the accomplishment of a specific Definable Feature of Work (DFOW) and include information such as shop drawings; samples; product certifications; sub-contractor qualifications; Manufacturer’s instructions and factory test reports; contractor designs and calculations (such as curtain walls, pre-cast concrete, etc.), equipment and systems data for Commissioning (if applicable to this contract), etc. These submittals require Owner’s acceptance before the Contractor may proceed with the DFOW associated with these submittals. Product Data submittals demonstrate to the Owner how the Contractor proposes to conform to the requirements of the Contract Documents. The CQC Manager must certify all Product Data Submittals, pursuant to Section 01450.
.EProject Management Submittals – are submittals essential to the effective management of the project. These submittals include, but are not limited to: the construction progress schedule; submittal log; Cost Breakdown/Cost Loaded Schedule; permit applications such as permits from the Fire Marshal; Coordination Drawings; Procurement Status Log (if applicable to this contract); and Commissioning Submittals (Section 01810 – if applicable to this contract). Project Management Submittals are Action Submittals. Except for Coordination Drawings, invoices and Commissioning submittals, which must be certified by the CQC Manager pursuant to Section 01450, all Project Management submittals may be signed by the Contractor’s Authorized Representative (Section 01310 1.04), Contractor’s Project Manager, or an Officer of the Contractor.
.FManagement Information Submittals – are submittals that provide the owner information about the status of the project. These submittals include Contractor Daily Reports, CQC reports, Daily Force Account reports, Accident reports, and others. Management Information Submittals are Information submittals.
.GMilestone/Project Completion Submittals – include Milestone Certifications; Manufacturer’s field test reports; Operation and Maintenance Manuals; etc. These submittals are also Action submittals. The CQC Manager must certify all Milestone/Project Completion submittals pursuant to Section 01450.
.HProject Acceptance Submittals – are those submittals required by the Owner to affect a recommendation to the Board of Supervisors to Accept the project as complete. Includes As-Built documents, Warrantees and Guarantees, etc. These submittals are Action submittals. The CQC Manager must certify all Project Acceptance submittals pursuant to Section 01450.
1.04SCHEDULING
.ASchedule preparation and processing of Submittals in accordance with other sections of the Contract Documents and the specific Submittal deadlines and timeframes stated below.
.1Unless otherwise specifically stated in the Contract Documents, or specifically Approved or Directed in writing by the Owner’s Project Manager, all Preconstruction Submittals are due no later than 45 Days from the Official Start Date stated in the Notice to Proceed. (See Document 00700.3.26.A.7) General acceptance of the Contractor’s Progress Schedule, Submittal Log, or other related submittals by the Owner does not constitute specific Approval by the Owner’s Project Manager for deviation from the 45 Day cut-off date for Preconstruction Submittals. Contractor must make a specific request in writing for each proposed deviation and the Owner’s Project Manager must grant specific written Approval for each proposed deviation to the cut-off date.
.2Unless a longer period is specifically stated in the Contract Documents, allow 21 Days(Note to PM: ensure this is adequate time)for Owner’s review and return of all Submittals and resubmittals, unless this time is specifically modified in the technical sections of the Project Manual. (See Document 00700.3.26.D, “Minimum Submittal Review Times” and Section 01332, “Submittal Log”.)
.3The Contractor must submit complete and contract-conforming Product Data Submittals to the Owner in-time to allow for Contractor procurement of the product, so as not to affect the Contractor’s construction progress. All Product Data Submittals must be provided to the Owner within 150 days from the start date stated in the Notice to Proceed.All product data submittals are Action submittals
.4The Contractor must submit complete and contract-conforming Project Management submittals to the Owner timely enough so as not to affect the Contractor’s construction progress. All Project Management Submittals, except for Coordination Drawings—Section 01335-- must be provided to the Owner within 90 days from the start date stated in the Notice to Proceed. For the timeframe for submission and acceptance of Coordination Drawings refer to Section 01335.
.5The Contractor must submit complete and contract-conforming Milestone Completionsubmittalsbefore Owner will issue a Milestone Completion letter. All Milestone Completion submittals, including O&M manuals, Commissioning Test Results, etc. are Action submittals requiring Owner acceptance of the submittal.
.6All Project Acceptance (close-out) submittals must be submittedwithin ten days of final milestone completion of the project, unless an earlier milestone is specifically established for these submittals. The CountyBoard of Supervisors will not make final acceptance of the project unless on Project Close-out submittals have been accepted by the OAR.
1.05DEVIATIONS
.ASpecifically identify each proposed deviation from the requirements of the Contract Documents.
.1Only making notations on the Submittal to identify the deviation is not sufficient to satisfy this requirement. (See also Document 00700.3.26.A.5)
.2Each proposed deviation must be clearly highlighted, encircled, noted, or otherwise clearly identified on the Submittal and individually explained in writing in the transmittal accompanying the Submittal.
.3Making notations on the Submittal without the attached written explanation will not relieve the Contractor of responsibility for deviation from the requirements of the Contract Documents.
.4Unless specific deviations have been noted in writing by the Contractor and specifically accepted in writing by the Owner or Designer of Record, no deviations from the requirements of the Contract Documents are permitted.
.BIf a Submittal contains no proposed deviation(s) from the requirements of the Contract Documents, the Contractor must indicate on the transmittal accompanying the Submittal that the Submittal contains “No Deviations” from the requirements of the Contract Documents.
1.06SUBMITTAL FORMAT
.AThe submittal transmittal cover sheet, in Part 4 of this Section, must be filled out and accompany each submittal.
.1Itemize each proposed deviation from the requirements of the Contract Documents. If a Submittal contains no proposed deviation(s), indicate that the Submittal contains “No Deviations.” Owner and Designer of Record may return Submittals “Returned Without Action” that do not list proposed deviations or state that Submittal contains “No Deviations” from the Contract Documents.
.2Pursuant to Section 01450 the Quality Control Manager must certify all submittals.
.BContractor must number all Submittals serially and continue in sequence. Resubmittals must have suffix letter A, B, C, etc. following the original Submittal number.
.CEach Action submittal must have a separate table of contents. Each product in the submittal must be identified in the table of contents. The TOC must also identify the manufacturer, make and model number of each product.
.DWithin the body of the submittal, each product section must be tabbed to match the table of contents and must be separated from adjacent product sections with a blank sheet of heavy duty bond paper.
.EEach submittal must be bound either in a 3-ring binder or in plastic spiral.
1.07ACTION SUBMITTALS
.APrepare and submit Action Submittals required by individual sections of the Project Manual.
.BRefer to Section 01332, “Submittal Log”, for the number of copies to be submitted.
.CProduct Data
.1Collect information into a single Complete Submittal for each Definable Feature of Work and type of product or equipment.
.2If information must be specially prepared for Submittal because standard printed data are not suitable for use, submit as Shop Drawings, not as Product Data.
.3Mark each copy of each Submittal to show which Products and options are applicable.
.4Include the following information, as applicable:
.aManufacturer's product specifications.
.bManufacturer's installation instructions.
.cStandard color charts.
.dManufacturer's catalog cuts.
.eDiagrams showing factory-installed wiring, controls and piping diagrams.
.fPrinted performance curves, performance characteristics and capacities.
.gOperational range diagrams.
.hMill reports.
.iStandard product operating and maintenance manuals.
.jCompliance with recognized trade association standards.
.kCompliance with recognized testing agency standards.
.lApplication of testing agency labels and seals.
.mNotation of coordination requirements.
.nShow wiring, piping diagrams, controls.
.DShop Drawings
.1Preparation: Include the following information, as applicable:
.aDimensions.
.bIdentification of Products.
.cFabrication and installation drawings.
.dRoughing-in and setting diagrams.
.eWiring diagrams showing field-installed wiring, including power, signal, and control wiring.
.fShop work manufacturing instructions.
.gTemplates and patterns.
.hSchedules.
.iDesign calculations.
.jCompliance with specified standards.
.kNotation of coordination requirements.
.lNotation of dimensions established by field measurement.
.mIdentify details by reference to Drawing and detail, schedule, or room numbers shown and specified.
.2Wiring Diagrams: Differentiate between manufacturer-installed and field-installed wiring.
.3Sheet Size: Except for templates, patterns, and similar full-size drawings, submit Shop Drawings on sheets at least 8-1/2” x 11” (215 by 280 mm) but no larger than 36” x 48” (914 mm x 1219 mm).
.4Contractor must review and coordinate all Subcontractors’ Shop Drawings before submission to Owner. If required or needed, Contractor must prepare and submit Coordination Drawings.
.5Submittals must be complete for each item of Work and must not be submitted piecemeal.
.6Present Shop Drawings in a clear and thorough manner. Identify details by reference to sheet and detail, schedule, and room numbers shown on Drawings.
.EManufacturer's Instructions: Prepare written or published information that documents manufacturer's recommendations, guidelines, and procedures for installing or operating a product or equipment.
.1Include name of product and name, address, and telephone number of manufacturer.
.2Include the following, as applicable:
.aPreparation of substrates.
.bRequired substrate tolerances.
.cSequence of installation or erection.
.dRequired installation tolerances.
.eRequired adjustments.
.fRecommendations for cleaning and protection.
.FSamples
.1Refer to Section 01332, “Submittal Log” and the Technical Specifications for the number of Samples to be submitted.
.2Each Sample must clearly note the manufacturer, trade name, product, lot style, color, model, etc., locations of use, and Contract Document reference.
.GCoordination Drawings(See also Section 01335, “Coordination Drawings”)
.1Contractor must prepareandsubmit drawings to demonstrate the coordination of methods, materials, equipment, plans, or sequence the Contractor proposes to use when:
.aCoordination Drawings are specifically required by other sections of the Project Manual
.bLimited space is available for installation of different components
.cCoordination is required for installation of Products and materials Fabricated by separate entities
.dThe relationship of components is shown on separate Shop Drawings or Submittals.
.2Coordination Drawings must be submitted in the format required for Shop Drawings.
1.08INFORMATIONAL SUBMITTALS
.APrepare and submit Informational Submittals required by other section of the Project Manual.
.1Number of Copies
.a Refer toSection 01332, “Submittal Log”, for the number of copies to be submitted.
.bOwner will not return copies.
.BMaterial Certificates: Prepare written statements on manufacturer's letterhead certifying that material complies with the requirements of the Contract Documents. An officer or other individual authorized to sign documents on behalf of that entity must sign certificates and certifications.
.CMaterial 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 the requirements of the Contract Documents.
.DPreconstruction 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.
.EField 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 the requirements of the Contract Documents.
.FManufacturer's Field Reports: Prepare written information documenting factory-authorized service representative's tests and inspections. Include the following, as applicable:
.1Name, address, and telephone number of factory-authorized service representative making report.
.2Statement on condition of substrates and their acceptability for installation of product.
.3Statement that Products at Project Site comply with the requirements of the Contract Documents.
.4Summary of installation procedures being followed, whether they comply with requirements and, if not, what corrective action was taken.
.5Results of operational and other tests and a statement of whether observed performance complies with requirements.
.6Statement whether conditions, Products, and installation will affect Warranty/Guarantee.
.7Other required items indicated in individual sections of the Contract Documents.
1.09TRANSMITTAL DISTRIBUTION
.AParallel Distribution of Submittals (Note to spec writer: If you have a CM firm, you may want the contractor to present all copies of submittals to CM, who will distribute. If no CM firm, may want contractor to distribute all submittals. Edit this section accordingly!)
.1Contractor is required to make parallel distribution of Submittals to multiple Submittal reviewers.
.2Refer to Section 01332, “Submittal Log”, for distribution of Submittals.
.3Contractor must, at its own expense, make parallel distribution of all Submittals.
.4Submittals must be concurrently transmitted to all parallel reviewers.
1.10Owner’s ACTION (See also Document 00700.3.26.E, "Action and Distribution")
.AGeneral
.1Owner will not review Submittals that do not bear the Contractor’s certification stamp and will return them “Returned Without Action.”
.BAction Submittals: Owner will review each Submittal, make marks to indicate corrections or modifications required, and return it.
.1Owner will place a cover sheet on each submittal (See Forms, Part 4) and will mark appropriately to indicate action taken, as follows:
.aFinal Unrestricted Release: When “No Exceptions Taken” is indicated, Contractor may proceed with Fabrication, Manufacture, or construction, providing such Work complies with the requirements of the Contract Documents. Final acceptance will depend on that compliance.
.bFinal-but-Restricted-Release: When “Make Corrections Noted” is indicated, Contractor may proceed with Fabrication, Manufacture, or construction, providing such Work complies with the requirements of the Contract Documents and the corrections noted. Final acceptance will depend on that compliance.
.cWhen marked“No Exceptions Taken” or “Make Corrections Noted” the Submittal is considered “acceptable.”
.dReturned for Resubmittal: Where the Submittal is marked “Revise and Resubmit,” do not proceed with the Work covered by the Submittal, including purchasing, Fabrication, delivery, or other activity for the product Submitted. Revise or prepare a new submittal according to the Owner’s or Designer of Record’s notations and corrections.
.eRejected: Where the submittal is marked “Rejected,” do not proceed with the Work covered by the submittal, including purchasing, Fabrication, delivery, or other activity for the product Submitted. Prepare a new Submittal for a product that complies with the requirements of the Contract Documents.
.fIncomplete: Where the submittal is marked “Submit Additional Information,” do not proceed with the Work covered by the Submittal. Prepare additional information requested, or required by the Contract Documents, that indicates compliance.
.gReturned Without Action: Where the submittal is marked “Returned Without Action,” it was not reviewed and Contractor must not proceed with the Work covered by the Submittal. Prepare a new Submittal that complies with the requirements of the Contract Documents.
.CResubmittals: Contractor must make all required corrections and submit corrected resubmittals until achieving final acceptance. The Contractor must append an alpha character to the initial Submittal number to identify the resubmission. (The first iteration of the resubmittal starts by appending an “A”, the second iteration would be assigned a “B”, and so on for as many follow-up iterations as are necessary to achieve acceptance of the Submittal by the Owner.)
.DInformation Submittals: Information Submittals, on which Owner is not required to take action, will not be returned to the Contractor.
.ESubmittals received from sources other than through Contractor’s office will be “Returned Without Action” or may be discarded.
PART 2 -PRODUCTS (Not used)
PART 3 -EXECUTION (Not Used)
PART 4 -FORMS Sample Transmittal Cover form:
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CONTRACTOR SUBMITTAL TRANSMITTAL LETTER FOR ACTION SUBMITTALS
Date______
To: (County of Santa Barbara Project Manager)
From: (Name of Contractor)
Project Name and Number: ______
Forwarded herewith is the following submittal number