HomeMy WebLinkAbout01-3300-Submittal-Procedures_Rev_1Dennis Yarmouth Intermediate Middle School January 19, 2021
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SUBMITTAL PROCEDURES
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SECTION 01 3300
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.
3. Material and submittal requirements for fulfillment of Project LEED Certification.
a. LEED submittal requirements are detailed herein and additionally in Divisions 01 -
33 Sections of this Project Manual.
b. Each LEED submittal shall be accompanied by a completed “LEED Material
Documentation Sheet,” a copy of which is attached at the end of this Section.
B. Related Requirements:
1. Section 01 2900 "Payment Procedures" for submitting Applications for Payment and the
schedule of values.
2. Section 01 3100 "Project Management and Coordination" for submitting coordination
drawings and subcontract list and for requirements for web-based Project software.
3. Section 01 3200 "Construction Progress Documentation" for submitting schedules and
reports, including Contractor's construction schedule.
4. Section 01 4000 "Quality Requirements" for submitting test and inspection reports, and
schedule of tests and inspections.
5. Section 01 7700 "Closeout Procedures" for submitting closeout submittals and
maintenance material submittals.
6. Section 01 7823 "Operation and Maintenance Data" for submitting operation and
maintenance manuals.
7. Section 01 7839 "Project Record Documents" for submitting record Drawings, record
Specifications, and record Product Data.
8. Section 01 8113 "Sustainable Design Requirements" for sustainable design submittals.
1.3 DEFINITIONS
A. Action Submittals: Written and graphic information and physical samples that require
Architect's 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 Architect'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."
Dennis Yarmouth Intermediate Middle School January 19, 2021
Dennis Yarmouth Regional School District 100% Construction Documents
Perkins Eastman DPC, project #71011
SUBMITTAL PROCEDURES
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C. File Transfer Protocol (FTP): Communications protocol that enables transfer of files to and from
another computer over a network and that serves as the basis for standard Internet protocols.
An FTP site is a portion of a network located outside of network firewalls within which internal
and external users are able to access files.
1. Architect will provide Contractor with a user ID and password for access to Architect’s
FTP site.
D. Portable Document Format (PDF): An open standard file format licensed by Adobe Systems
used for representing documents in a device-independent and display resolution-independent
fixed-layout document format.
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 Architect 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. 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.
3. 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 Architect's final release or approval.
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
number with sequential alphanumeric identifier; and alphanumeric suffix for resubmittals.
8. Category and type of submittal.
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.
Dennis Yarmouth Intermediate Middle School January 19, 2021
Dennis Yarmouth Regional School District 100% Construction Documents
Perkins Eastman DPC, project #71011
SUBMITTAL PROCEDURES
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16. Signature of transmitter.
B. Options: Identify options requiring selection by Architect.
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 Architect on
previous submittals. Indicate by highlighting on each submittal or noting on attached separate
sheet.
D. PDF Submittals: Prepare submittals as PDF package, incorporating complete information into
each PDF file. Name PDF file with submittal number.
1.6 SUBMITTAL PROCEDURES
A. Prepare and submit submittals required by individual Specification Sections. Types of
submittals are indicated in individual Specification Sections.
1. FTP Site: Prepare submittals in PDF form, and upload to Architect’s FTP Site. Enter
required data on subject line to fully identify submittal.
a. Architect will return annotated file. Annotate and retain one copy of file as a digital
Project Record Document file.
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. Architect 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 Architect'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 initial review of each submittal. Allow additional time if
coordination with subsequent submittals is required. Architect 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 Architect'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 Architect before being
returned to Contractor.
Dennis Yarmouth Intermediate Middle School January 19, 2021
Dennis Yarmouth Regional School District 100% Construction Documents
Perkins Eastman DPC, project #71011
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a. Submit one copy of submittal to concurrent reviewer in addition to specified
number of copies to Architect.
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 extent of
revision.
3. Resubmit submittals until they are marked with approval notation from Architect'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 Architect'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.
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.
Dennis Yarmouth Intermediate Middle School January 19, 2021
Dennis Yarmouth Regional School District 100% Construction Documents
Perkins Eastman DPC, project #71011
SUBMITTAL PROCEDURES
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2. Imperial Measure: Dimensions shall be in feet and inches, not metric.
3. BIM Incorporation: Develop and incorporate Shop Drawing files into BIM established for
Project.
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. Electronic Submittals: Provide corresponding electronic submittal of Sample transmittal,
digital image file illustrating Sample characteristics, and identification information for
record. Prepare submittals in PDF form, and upload to Architect’s FTP Site. Enter
required data on subject line to fully identify submittal.
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. Color Samples: Color samples shall not be photocopies or pdf files of
manufacturer’s color charts. Submit actual color chips or swatches showing color,
texture, and pattern.
b. Number of Samples: Submit one full set of available choices where color, pattern,
texture, or similar characteristics are required to be selected from manufacturer's
product line. Architect will return submittal with options selected.
6. 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. Color Samples: Color samples shall not be photocopies or pdf files of
manufacturer’s color charts. Submit actual color chips or swatches showing color,
texture, and pattern.
b. Number of Samples: Submit three sets of Samples. Architect will retain two
Sample sets; 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.
Dennis Yarmouth Intermediate Middle School January 19, 2021
Dennis Yarmouth Regional School District 100% Construction Documents
Perkins Eastman DPC, project #71011
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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 architects 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 Certifications 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 on behalf of that
entity. Provide a notarized signature where indicated.
2. Installer Certificates: Submit 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.
3. Manufacturer Certificates: Submit written statements on manufacturer's letterhead
certifying that manufacturer complies with requirements in the Contract Documents.
Include evidence of manufacturing experience where 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.
Dennis Yarmouth Intermediate Middle School January 19, 2021
Dennis Yarmouth Regional School District 100% Construction Documents
Perkins Eastman DPC, project #71011
SUBMITTAL PROCEDURES
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4. Preconstruction Test Reports: Submit 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 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.
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 Architect.
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 Incorporation: Incorporate delegated-design drawing and data files into BIM established for
Project.
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 Architect.
B. Contractor's Approval: Indicate Contractor's approval for each submittal with 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. Architect will not review submittals received from Contractor that do not have Contractor's
review and approval.
Dennis Yarmouth Intermediate Middle School January 19, 2021
Dennis Yarmouth Regional School District 100% Construction Documents
Perkins Eastman DPC, project #71011
SUBMITTAL PROCEDURES
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1.10 ARCHITECT'S REVIEW
A. Action Submittals: Architect will review each submittal, indicate corrections or revisions
required, and return it.
1. PDF Submittals: Architect will indicate, via markup on each submittal, the appropriate
action.
B. Informational Submittals: Architect will review each submittal and will not return it, or will return
it if it does not comply with requirements. Architect will forward each submittal to appropriate
party.
C. Partial submittals prepared for a portion of the Work will be reviewed when use of partial
submittals has received prior approval from Architect.
D. Incomplete submittals are unacceptable, will be considered nonresponsive, and will be returned
for resubmittal without review.
E. Architect will discard submittals received from sources other than Contractor.
F. Submittals not required by the Contract Documents will be returned by Architect without action.
G. Architect will not review submittals that do not bear Contractor's approval stamp and will return
them without action.
PART 2 - PRODUCTS (Not Used)
PART 3 - EXECUTION (Not Used)
END OF SECTION