HomeMy WebLinkAboutSection 01300 Submittals
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SECTION 01300 SUBMITTALS
PART 1 - GENERAL
1.01 SUMMARY:
A. This Section includes definitions, descriptions, transmittal, approval procedures and
review of "Compliance" and "Miscellaneous" Submittals.
1.02 GENERAL INFORMATION:
A. Definitions:
1. Compliance Submittals include shop drawings, product data, and samples
which are prepared by the Contractor, Subcontractor, manufacturer, or Supplier
and submitted by the Contractor to the City as a basis for approval of the use
of Equipment and Materials proposed for incorporation in the Work or needed
to describe installation, operation, maintenance, or technical properties.
a. Shop drawings include custom-prepared data of all types including
drawings, diagrams, performance curves, material schedules, templates,
instructions, and similar information not in standard printed form
applicable to other projects.
b. Product data includes standard printed information on materials, products
and systems; not custom-prepared for this Project, other than the
designation of selections from available choices.
c. Samples include both fabricated and unfabricated physical examples of
materials, products, and Work; both as complete units and as smaller
portions of units of Work; either for limited visual inspection or (where
indicated) for more detailed testing and analysis. Mock-ups are a special
form of samples which are too large to be handled in the specified
manner for transmittal of sample Submittals.
2. Miscellaneous Submittals are those technical reports, administrative
Submittals, certificates, and guarantees not defined as shop drawings, product
data, or samples.
a. Technical reports include laboratory reports, tests, technical procedures,
technical records, Contractor's design analysis and Contractor's survey
field notes for construction staking, before cross-sections and after cross-
sections.
b. Administrative Submittals are those nontechnical Submittals required by
the Contract Documents or deemed necessary for administrative records.
These Submittals include maintenance agreements, workmanship Bonds,
Project photographs, physical work records, statements of applicability,
copies of industry standards, as-constructed data,
security/protection/safety data, and similar type Submittals.
c. Certificates and guarantees are those Submittals on Equipment and
Materials where a written certificate or guarantee from the manufacturer
or Supplier is called for in the Specifications.
d. Reports as required by Contract describing Contractor's means and
methods for items such as dewatering, earth and water retaining,
erosion/turbidity control, and safety plans.
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3. Refer to ARTICLE 1.03 of this Part for detailed lists of documents and specific
requirements.
B. Quality Requirements:
1. Submittals such as shop drawings and product data shall be of the quality for
legibility and reproduction purposes. Every line, character, and letter shall be
clearly legible. Drawings such as reproducibles shall be useable for further
reproduction to yield legible hard copy.
2. Documents submitted to the City that do not conform to these requirements
shall be subject to rejection by the City, and upon request by City, Contractor
shall resubmit conforming documents. If conforming Submittals cannot be
obtained, such documents shall be retraced, redrawn, or photographically
restored as may be necessary to meet such requirements. Contractor's (or his
Subcontractor's) failure to initially satisfy the legibility quality requirements will
not relieve Contractor (or his Subcontractors) from meeting the required
schedule for Submittal of shop drawings and product data.
C. Language and Dimensions:
1. All words and dimensional units shall be in the English language.
2. Metric dimensional unit equivalents may be stated in addition to the English
units.
D. Submittal Completeness:
1. Submittals shall be complete with respect to dimensions, design criteria,
materials of construction, and other information specified to enable the City to
review the information effectively.
2. Where standard drawings are furnished which cover a number of variations of
the general class of equipment, each such drawing shall be individually
annotated to describe exactly which parts of the drawing apply to the
equipment being furnished. Use hatch marks to indicate variations that do not
apply to the Submittal. The use of "highlighting markers" is not an acceptable
means of annotating Submittals. Such annotation shall also include proper
identification of the Submittal permanently attached to the drawing.
3. Reproduction or copies of Contract Drawings or portions thereof will not be
accepted as complete fabrication or erection drawings. The Contractor may
use a reproduction of the City- prepared Contract Drawings for erection
drawings such as to indicate information on erection or to identify detail
drawing references. Where the drawings are revised to show this additional
Contractor information, the City's title block shall be replaced with a
Contractor's title block and the City's professional seal shall be removed from
the drawing. The Contractor shall revise these erection drawings for
subsequent City revisions to the Contract Drawings.
1.03 COMPLIANCE SUBMITTALS:
A. Items shall include, but not be limited to, the following:
1. Manufacturer's specifications for materials, pipe and fittings to be used.
2. Catalogs, or parts thereof, of manufactured equipment.
3. Shop fabrication and erection drawings (Valve Vaults).
4. Horizontal Directional Drilling route, plan and procedures.
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5. Detailed equipment installation drawings, showing foundation details, anchor
bolt sizes and locations, baseplate sizes, location of City's connections; and all
clearances required for erection, operation, and disassembly for maintenance.
6. Restrained lengths of pipe as recommended by the pipe manufacturer for the
different type of fittings to be used for this project and in accordance with site
conditions.
7. Bills of material and spare parts list.
8. Instruction books and operating manuals.
9. Material lists, schedules, samples and color charts.
10. Performance tests and certifications on equipment by manufacturers.
11. Concrete and asphalt mix design information.
12. Environmental Protection Plan and Best Management Practices (BMP’s).
13. Dewatering Plan.
14. All drawings, catalogs or parts thereof, manufacturer's specifications and data,
samples, instructions, and other information specified or necessary:
a. For City to determine that the Equipment and Materials conform with the
design concept and comply with the intent of the Contract Documents.
b. For the proper erection, installation, operation and maintenance of the
Equipment and Materials which the City will review for general content but
not for substance.
c. For the City to determine what supports, anchorages, structural details,
connections, and services are required for the Equipment and Materials,
and the effects on contiguous or related structures and Equipment and
Materials.
B. Schedule and Log of Compliance Submittals:
1. Prepare for the City, a schedule and log for submission of all Compliance
Submittals specified or necessary for City's review of the use of Equipment and
Materials proposed for incorporation in the Work or needed for proper
installation, operation or maintenance. Submit the schedule and log with the
procurement schedule and Work progress schedule. Schedule submission of
all Compliance Submittals to permit review, fabrication and delivery in time so
as to not cause a delay in the Work of Contractor or his Subcontractors or any
other contractors as described herein.
2. While scheduling for Compliance Submittals allow 15 working days for City's
reviewing of original Submittals & 10 working days for reviewing resubmittals.
3. The schedule shall indicate the anticipated dates of original submission, and
shall be based upon at least one resubmission of each item.
4. Schedule all Compliance Submittals required prior to fabrication or
manufacture for submission within 90 days of the Notice to Proceed. Schedule
Compliance Submittals pertaining to storage, installation and operation at the
site for City's acceptance prior to delivery of the Equipment and Materials.
5. Resubmit Compliance Submittals the number of times required for City's
"Submittal Accepted." However, any need for resubmittals in excess of the
number set forth in the accepted schedule, or any other delay in obtaining
acceptance of Submittals, will not be grounds for extension of the Contract
Time, provided the City completes its reviews within the times stated above.
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C. Transmittal of Compliance Submittals:
1. All Compliance Submittals of Equipment and Materials furnished by
Subcontractors, Manufacturers, and Suppliers shall be submitted to the City by
Contractor.
2. After checking and verifying all field measurements, transmit all Compliance
Submittals to the City for acceptance as follows:
a. Identify each Compliance Submittal by Submittal Number, Project name
and number, Contract title and number, and the Specification Section and
article number marked thereon or in the letter of transmittal.
Unidentifiable Submittals will be returned for proper identification.
b. Check and stamp Compliance Submittals of Subcontractors, Suppliers,
and Manufacturers with Contractor's approval prior to transmitting them to
the City. Contractor's stamp of approval shall constitute a representation
to the City that Contractor has either determined and verified all
quantities, dimensions, field construction criteria, materials, catalog
numbers, and similar data, or he assumes full responsibility for doing so,
and that he has coordinated each Compliance Submittal with the
requirements of the Work and the Contract Documents.
c. At the time of each submission, call to the attention of City in the letter of
transmittal any deviations from the requirements of the Contract
Documents.
d. Make all modifications noted or indicated by City and return revised prints,
copies, or samples until accepted. Direct specific attention in writing, or
on revised Submittals, to changes other than the modifications called for
by the City on previous Submittals. After Submittals have been accepted,
submit copies thereof for final distribution. Prints of accepted drawings
transmitted for final distribution will not be further reviewed and are not to
be revised. If errors are discovered during manufacture or fabrication,
correct the Submittal and resubmit for review.
e. Following completion of the Work and prior to final payment, furnish those
Drawings necessary to indicate "as constructed" conditions, including field
modifications, in the number of copies specified. Furnish additional
copies for insertion in equipment instruction books as required. All such
copies shall be clearly marked "AS CONSTRUCTED."
f. Work requiring a Compliance Submittal shall not be commenced or
shipped until the Submittal has been stamped "Submittal Accepted" or
"Submittal Acceptable as Noted" by the City.
g. Keep a copy or sample of each Compliance Submittal in good order at the
site.
3. Quantity Requirements:
a. Except as otherwise specified, transmit all manufacturer's or fabricator's
Shop Drawings in the quantity as follows:
i. Initial Submittal: Seven copies including one reproducible to City.
Two copies will be returned to Contractor.
ii. Resubmittals: Seven copies including one reproducible to City.
Two copies will be returned to Contractor.
iii. Submittal for Final Distribution: Four copies to City.
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iv. As-Constructed Prints: Three copies including one reproducible to
City.
b. Transmit Submittals of product data as follows:
i. Initial Submittal: Seven copies to City. Two copies will be returned
to Contractor.
ii. Resubmittals: Seven copies to City. Two copies will be returned to
Contractor.
iii. Submittal for Final Distribution: Four copies to City.
c. Transmit Submittals of material Samples, color charts, and similar items
as follows:
i. Initial Submittal: Six to City.
ii. Resubmittal: Six to City.
iii. Upon approval, one Sample will be returned to Contractor.
d. Transmit Submittals of equipment instruction books as follows:
i. Initial Submittal: Three copies to City. One copy will be returned to
Contractor.
ii. Resubmittals: Three copies to City. One copy will be returned to
Contractor.
iii. Submittal for Final Distribution: Three copies to City.
e. Transmit Submittals for Reference Only - Three copies to City.
4. Copies of the equipment contractor's erection drawings and other Compliance
Submittals required for the installation of equipment furnished by others under
separate contract for installation under this Contract will be transmitted to
Contractor by the City in the final distribution of such Submittals.
D. City's Review:
1. The City will review and return Compliance Submittals to Contractor with
appropriate notations via City. Instruction books and similar Submittals will be
reviewed by the City for general content but not for substance.
2. The City's acceptance of Compliance Submittals will not relieve Contractor
from his responsibility as stated in the GENERAL CONDITIONS.
E. Compliance Submittal Action Stamp:
1. The City's review action stamp, appropriately completed, will appear on all
Compliance Submittals of Contractor when returned by the City. Review status
designations listed on City's action stamp are defined as follows:
a. "ACCEPTED AS SUBMITTED": Signifies Equipment or Material
represented by the Submittal conforms with the design concept and
complies with the intent of the Contract Documents and is acceptable for
incorporation in the Work. Contractor is to proceed with fabrication or
procurement of the items and with related Work. Copies of the Submittal
are to be transmitted to the City for final distribution.
b. "ACCEPTED AS NOTED”: Signifies Equipment and Material represented
by the Submittal conforms with the design concept and complies with the
intent of the Contract Documents and is acceptable for incorporation in
the Work subject to the condition that as constructed it shall be in
accordance with all notations and/or corrections indicated. Contractor is to
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proceed with fabrication or procurement of the items and with related
Work in accordance with City's notations and is to submit a revised
Submittal responsive to notations marked on the returned Submittal or
written in the letter of transmittal.
c. "RETURNED FOR REVISION": Means that deviations from the
requirements of the Contract Documents exist in the submittal. Contractor
is to resubmit revised information responsive to City's annotations on the
returned Submittal or written in the letter of transmittal. Fabrication or
procurement of items represented by the Submittal and related Work is
not to proceed until the Submittal is approved.
d. "NOT ACCEPTABLE (SUBMIT ANEW)": Signifies Equipment and
Material represented by the Submittal does not conform with the design
concept or comply with the intent of the Contract Documents and is
disapproved for use in the Work. Contractor is to submit Compliance
Submittals responsive to the Contract Documents.
e. "PRELIMINARY SUBMITTAL": Signifies Submittals of such preliminary
nature that a determination of conformance with the design concept or
compliance with the intent of the Contract Documents must be deferred
until additional information is furnished. Contractor is to submit such
additional information to permit layout and related activities to proceed.
f. "FOR REFERENCE ONLY": Signifies Submittals which are for
supplementary information only; pamphlets, general information sheets,
catalog cuts, standard sheets, bulletins and similar data, all of which are
useful to the City in design, operation, or maintenance, but which by their
nature do not constitute a basis for determining that items represented
thereby conform with the design concept or comply with the intent of the
Contract Documents. The City reviews such Submittals for general
content but not for substance.
g. "DISTRIBUTION COPY (PREVIOUSLY ACCEPTED)": Signifies
Submittals which have been previously accepted and are being
distributed to Contractor, City, Resident Project Representative, and
others for coordination and construction purposes.
F. Instruction Books / Operation & Maintenance Manuals:
1. Equipment instruction books and manuals shall be prepared by the
manufacturer and shall include the following:
a. Index and tabs.
b. Instructions for installation, start-up, operation, inspection, maintenance,
parts lists and recommended spare parts, and data sheets showing model
numbers.
c. Applicable drawings.
d. Name of contact person, phone number, and address of the nearest
authorized service facility.
e. Attached to the above shall be a notice of the exact warranty effective
dates, beginning and ending.
f. All additional data specified.
2. Information listed above shall be bound into hard-back binders of three-ring
type. Sheet size shall be 8-1/2 x 11. Binder color shall be yellow for Electrical
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and Electronics and brown for Miscellaneous Equipment. Capacity shall be a
minimum of 1-1/2-inch, but sufficient to contain and utilize sheets with ease.
a. The following information shall be imprinted, inserted or affixed by label
on the binder front cover:
i. Equipment name.
ii. Manufacturer's name.
iii. Project name:
iv. Contract number:
v. Reference to applicable Drawing No. & Technical Specifications
Section.
b. The following information shall be imprinted, inserted, or affixed by label
on the binder spine:
i. Equipment name.
ii. Manufacturer's name.
iii. Project Name:
iv. Contract number:
v. Reference to applicable Drawing No. & Technical Specifications
Section.
c. Format: The overall manual should be constructed around certain types
of structures or equipment in the project, and not merely assembled by
technical specification section, so that all pertinent data needed by
personnel to operate or maintain the equipment or structure is in one
binder (as far as is practical). The Contractor shall coordinate with the
Resident Engineer as to how the manuals are to be assembled.
G. Samples:
1. Office samples shall be of sufficient size and quantity to clearly illustrate the
following:
a. Functional characteristics of the product, with integrally related parts and
attachment devices.
b. Full range of color, texture, and pattern.
1.04 MISCELLANEOUS SUBMITTALS:
A. Miscellaneous Submittals are comprised of technical reports, administrative
Submittals, and guarantees which relate to the Work, but do not require City’s
approval prior to proceeding with the Work. Miscellaneous Submittals may include
but are not limited to (At City's discretion):
1. Welder qualification tests.
2. Welding procedure qualification tests.
3. X-ray and radiographic reports.
4. Field test reports.
5. Concrete cylinder test reports.
6. Certification on Materials:
a. Steel mill tests.
b. Paint lab tests.
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c. Cement tests.
7. Soil test reports.
8. Temperature records.
9. Shipping or packing lists.
10. Job progress schedules.
11. Equipment and Material delivery schedules.
12. Progress photographs.
13. Warranties and guarantees.
14. Fire protection and hydraulic calculations.
15. Surveying field notes.
16. Pump tests.
17. Traffic control plan.
B. Transmittal of Miscellaneous Submittals:
1. All Miscellaneous Submittals furnished by Subcontractors, manufacturers, and
Suppliers shall be submitted to City by Contractor unless otherwise specified.
a. Identify each miscellaneous Submittal by Project name and number,
Contract title and number, and the specification section and article
number marked thereon or in the letter of transmittal. Unidentifiable
Submittals will be returned for proper identification.
b. At the time of each submission, call to the attention of the City in the letter
of transmittal any deviations from the requirements of the Contract
Documents.
2. Quantity Requirements:
a. Technical reports and administrative Submittals except as otherwise
specified: Four copies to City.
b. Written Certificates and Guarantees: Two copies to City.
3. Test Reports:
a. Responsibilities of Contractor and City regarding tests and inspections of
Equipment and Materials and completed Work are set forth elsewhere in
these Contract Documents.
b. The party specified responsible for testing or inspection shall in each
case, unless otherwise specified, arrange for the testing laboratory or
reporting agency to distribute test reports as follows:
i. City: Two copies.
ii. Resident Project Representative: One copy.
iii. Contractor: Two copies.
iv. Manufacturer or supplier: One copy.
C. City's Review:
1. City will review Miscellaneous Submittals for indications of Work or material
deficiencies.
2. City will respond to Contractor on those Miscellaneous Submittals which
indicate Work or material deficiency.
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PART 2 - PRODUCTS (Not applicable)
PART 3 - EXECUTION
3.01 SUBMITTAL LOG: Contractor shall maintain an accurate Submittal Log and a Distribution
List for the duration of the Work, showing current status of all Submittals and Distributees
at all times in a form acceptable to the City. Contractor shall make the Submittal Log
available to the City for its review on request, and shall bring a copy of the Submittal Log
to all Progress Meetings.
3.02 PRODUCT ON SITE: Only products, materials and equipment, that are in compliance with
these Specifications and the Plans AND for which the compliance documents (shop
drawings) have been duly approved, are allowed on site and are allowed to be used in the
work.
END OF SECTION