Division 1 General Requirements
Submittals Section 1300
1.1 RELATED DOCUMENTS:
Submittals are prepared by the Contractor. Drawings and general provisions of Contract, including Section 0700, “General Conditions”; Section 0810, “Supplemental General Conditions”; Division 1 requirements and New Braunfels Utilities Technical Specifications and Special Provisions thereto, should be used as the related documents for this requirement.
1.2 SUMMARY
A. This Section includes administrative and procedural requirements for submittals required for performance of the Work, including the following:
1. Security plan.
2. Contractor's construction schedule.
3. Shop drawings.
4. Product data.
5. Quality assurance and quality control submittals, including calculations, mix designs and substantiating test results.
B. Administrative Submittals: Refer to other Division 1 Sections and other Contract Documents for requirements for administrative submittals. Such submittals include, but are not limited to, the following:
1. Permits.
2. Applications for Payment.
3. Performance and Payment bonds.
4. Insurance certificates.
PROJECT MANAGER MUST COORDINATE THE CONTENTS OF THIS SECTION WITH OTHER SECTIONS OF THE CONTRACT DOCUMENTS. SOME OF THE SECTIONS LISTED HEREIN WILL NEED TO BE DEVELOPED BY THE PROJECT MANAGER.
C. Related Sections: The following Sections contain requirements that relate to this Section:
1. Section 0700, “General Conditions” and Section 0810, “Supplemental General Conditions” specifies requirements for submittal of the Schedule of Values.
2. Section 0700, “General Conditions” and Section 0810, “Supplemental General Conditions” specifies requirements for submittal of Project Record Documents and warranties at project close-out.
PART 2 - PRODUCTS - not used
3.1 SUBMITTAL PROCEDURES
Contractor shall be responsible for the following:
A. Coordination: Coordinate preparation and processing of submittals with performance of construction activities. Transmit each submittal sufficiently in advance of performance of related construction activities to avoid delay.
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 elements of the Work so processing will not be delayed by the need to review submittals or resubmittals concurrently.
a. The E/A reserves the right to withhold action on a submittal requiring coordination with other submittals until all related submittals are received.
3. Processing: To avoid the need to delay installation as a result of the time required to process submittals, allow sufficient time for submittal review, including time for resubmittals.
a. Allow fourteen (14) calendar days for initial review. Allow additional time if the Engineer must delay processing to permit coordination with subsequent submittals.
b. If an intermediate submittal is necessary, process the same as the initial submittal.
c. Allow fourteen (14) calendar days for processing each resubmittal.
d. No extension of Contract Time will be authorized because of failure to transmit submittals to the E/A sufficiently in advance of the Work to permit processing.
B. Submittal Preparation: Place a permanent label or title block on each submittal for identification. Indicate the name of the entity that prepared each submittal on the label or title block.
1. Provide a space approximately 4 inches by 5 inches on the label or beside the title block on Shop Drawings to record the Contractor's review and approval markings and the action taken.
2. Include the following information on the label for processing and recording action taken.
a. Project name.
b. Date.
c. Name and address of the Contractor’s Engineer.
d. Name and address of the Contractor.
e. Name and address of the subcontractor.
f. Name and address of the supplier.
g. Name of the manufacturer.
h. Number and title of appropriate Specification Section.
i. Drawing number and detail references, as appropriate.
C. Number of Copies:
1. Two (2) copies of the proposed Construction schedule and subsequent revision are required.
2. Two (2) copies of the proposed Submittal schedule and subsequent revision are required.
3. Five (5) copies of Shop Drawings (three [3] to be retained by New Braunfels Utilities, NBU), Product, Product Samples, Quality Assurance and Quality Control submittals are required.
D. Submittal Transmittal: Package each submittal appropriately for transmittal and handling. Transmit each submittal from the Contractor to the E/A through the Owner’s Representative using a transmittal form (An example Transmittal Form is provided at the end of this section). The E/A will not accept submittals received from sources other than the Contractor.
1. On the transmittal, record relevant information and requests for data. On the form, or separate sheet, record deviations from Contract Document requirements, including variations and limitations. Include Contractor's certification that information complies with Contract Document requirements.
2. Number transmittals in sequence for each Series of the Specifications thus: x-xxx. The number after the dash indicates the Section of the Specifications, and the number before the dash is the sequence number of the transmittal. For example, the first item submitted related to Specification Item No. 506, “Manholes” would be labeled 1-506, the second item submitted would be labeled 2-506, etc. If the submittal item relates to a Special Provision or Special Specification, use SP506 or SS5061, for example, to indicate the applicable Specification Section. Identify resubmits; with a letter of the alphabet following the original sequence number, using “A” for the first resubmittal, “B” for the second resubmittal, etc. For example, the first resubmittal of the second item submitted for Specification SP506 would be labeled 2A-SP506.
3.2 CONTRACTOR'S CONSTRUCTION SCHEDULE
A. Bar-Chart Schedule: Prepare a fully developed, horizontal bar-chart-type, Contractor’s construction schedule. Submit initial schedule prior to or at the Pre-construction conference, and submit updated schedules as specified by the E/A, usually at each regularly scheduled Project Meeting and with each pay application.
1. Provide a separate time bar for each significant construction activity. Provide a continuous vertical line to identify the first working day of each week. Use the same breakdown of units of the Work as indicated in the "Schedule of Values."
2. Within each time bar, indicate estimated completion percentage in 10 percent increments. As Work progresses, place a contrasting mark in each bar to indicate Actual Completion.
3. Prepare the schedule on a sheet, or series of sheets, of sufficient width to show data for the entire construction period.
4. Secure time commitments for performing critical elements of the Work from parties involved. Coordinate each element on the schedule with other construction activities; include minor elements involved in the sequence of the Work. Show each activity in proper sequence. Indicate graphically the critical path items and the sequences necessary for completion of related portions of the Work.
5. Indicate the phases of work in which subcontractors will be participating. Subcontractors shall be indicated by name.
6. Coordinate the Contractor's Construction Schedule with the Schedule of Values, list of subcontracts, Submittal Schedule, progress reports, payment requests, and other schedules.
7. Indicate substantial completion in advance of the date established for Final Completion to allow time for the E/A's procedures necessary for certification of Substantial and Final Completion.
B. Work Stages: Indicate important stages of construction for each major portion of the Work, including submittal review, testing, and installation.
C. Cost Correlation: At the head of the schedule, provide a cost correlation line, indicating planned and actual costs. On the line, show dollar volume of Work performed as of the dates used for preparation of applications for payment. Refer to Section 0700, “General Conditions”, Article 14 Payment to Contractor and Completion for cost reporting and payment procedures.
D. Distribution: Following response to the initial schedule submittal, print and distribute copies to the E/A, subcontractors, suppliers, and other parties required to comply with scheduled dates. Keep a copy at the Project Site at all times.
1. When revisions are made, distribute to the same parties and post in the same locations. Delete parties from distribution when they have completed their assigned portion of the Work and are no longer involved in construction activities.
E. Schedule Updating: Revise the schedule after each meeting, event, or activity where revisions have been recognized or made and as requested by the E/A. Issue the updated schedule concurrently with the report of each meeting, or as requested by the E/A.
3.3 SHOP DRAWINGS
A. Submit newly prepared information drawn accurately to scale. Highlight, encircle, or otherwise indicate deviations from the Contract Documents. Do not reproduce Contract Documents or copy standard information as the basis of Shop Drawings. Standard information prepared without specific reference to the Project is not a Shop Drawing.
B. Shop Drawings include fabrication and installation Drawings, setting diagrams, schedules, patterns, templates and similar Drawings. Include the following information:
1. Dimensions.
2. Identification of products and materials included by sheet and detail number.
3. Compliance with specified standards.
4. Notation of coordination requirements.
5. Notation of dimensions established by field measurement.
6. Sheet Size: Except for templates, patterns and similar full-size Drawings, submit Shop Drawings on sheets at least 8-1/2 inches by 11 inches but no larger than 24 inches by 36 inches.
7. Do not use Shop Drawings without an appropriate stamp indicating action taken.
3.4 PRODUCT DATA
A. Collect Product Data into a single submittal for each element of construction or system. Product Data includes printed information, such as manufacturer's installation instructions, catalog cuts, standard color charts, roughing-in diagrams and templates, standard wiring diagrams, applicable certifications and performance curves.
1. Mark each copy to show applicable choices and options. Where printed Product Data includes information on several products that are not required, mark copies to indicate the applicable information. Include the following information:
a. Manufacturer's printed recommendations.
b. Compliance with trade association standards.
c. Compliance with recognized testing agency standards.
d. Application of testing agency labels and seals.
e. Notation of dimensions verified by field measurement.
f. Notation of coordination requirements.
2. Do not submit Product Data until compliance with requirements of the Contract Documents has been confirmed.
3. Distribution: Furnish copies of final submittal to installers, subcontractors, suppliers, manufacturers, fabricators, and others required for performance of construction activities. Show distribution on transmittal forms.
a. Do not proceed with installation until a copy of the final submission of Product Data is in the Installer's possession.
b. Do not permit use of unmarked copies of Product Data in connection with construction.
4. Water and Wastewater Items or Projects: The Contractor shall submit descriptive information and evidence that the materials and equipment the Contractor proposes for incorporation into the Work is of the kind and quality that satisfies the specified functions and quality. New Braunfels Utilities Standard Products Lists (SPL) form a part of the Specifications. Contractors may, when appropriate, elect to use products from the SPL; however, submittal to the E/A is still required. Should the Contractor elect to use any materials from these lists, each product shall be completely and clearly identified by its corresponding SPL number when making the product submittal. This will expedite the review process in which the E/A, and, if necessary, the Water and Wastewater Utility Standard Products Committee, decides whether the products meet the Contract requirements and the specific use foreseen by the E/A in the design of this engineered Project. The purpose of the SPL’s is to expedite review, by the E/A and, if necessary, the Water and Wastewater Utility Standard Products Committee, of Contractor product submittals. The SPL’s should not be interpreted as being a pre-approved list of products necessarily meeting the requirements for a given construction Project. Items contained in the SPL cannot be substituted for items shown on the Drawings, or called for in the specifications, or specified in the Bidding Requirements, Contract Forms and Conditions of Contract, unless approved by the E/A in conjunction with the Water and Wastewater Utility Standard Products Committee. The Standard Product List current at the time of plan approval will govern.
3.5 QUALITY ASSURANCE AND QUALITY CONTROL SUBMITTALS
A. Submit quality assurance and quality control submittals, including design data, certifications, manufacturer's instructions, manufacturer's field reports, materials test results, field testing and inspection reports, and other quality-control submittals as required under other Sections of the Specifications.
B. Certifications: Where other Sections of the Specifications require certification that a product, material, or installation complies with specified requirements, submit a certification from the manufacturer or responsible Engineer certifying compliance with specified requirements.
1. Signature: Certification shall be signed by an officer of the corporation or other individual authorized to sign documents on behalf of the company.
C. Calculations: When required in the technical specification, calculations shall be prepared and stamped by a Professional Engineer registered in the State of Texas.
D. Concrete, Controlled Low Strength Material, Asphalt Stabilized Base and Hot Mix Asphaltic Concrete Mix Designs and Substantiating Test Data: Requirements for submittal of mix designs and substantiating test data are specified in the applicable Technical Specification Section. Each separate batch plant supplying ASB, HMAC and/or concrete shall submit mix designs to the Owner’s Representative for review.
3.6 TECHNICAL SUBMITTALS REQUIRED
A. Technical submittals required include, but are not limited to, the following list. This list is provided as an aid to the Contractor, but is not intended to be all inclusive. The Contractor shall refer to the Technical Specifications for additional requirements.
Specification |
Type of Submittal |
|
|
|
|
206S - Asphalt Stabilized Base |
Material Data |
|
210 - Flexible Base |
Material Data, Test Results |
|
402 - Controlled Low Strength Material |
Material Data, Mix Designs |
|
403 - Concrete for Structures |
Material Data, Mix Designs, Test Results |
|
405 - Concrete Admixtures |
Product Data |
|
408 - Concrete Joint Materials |
Product Data |
|
409 - Membrane Curing |
Product Data |
|
503 - Frames, Grates, Rings and Covers |
Product Data |
|
504 - Adjusting Structures |
Material Data |
|
506 - Manholes |
Material Data, Product Data |
|
508 - Miscellaneous Structures and Appurtenances |
Material Data, Product Data |
|
509 - Trench Safety Systems |
Sealed Trench Safety Systems Plan, Calculations |
|
510 - Pipe |
Material Data, Product Data |
|
511 - Valves |
Product Data |
|
610 - Preservation of Trees and Other Vegetation |
Product Data |
|
801 - Construction Detour |
Product Data |
3.7 ENGINEER/ARCHITECT'S ACTION
A. Except for submittals, for the record, or for information where action and return is not required, the E/A will review each submittal, mark to indicate action taken, and return within the time frame specified in Paragraph 3.1.A.3.
1. Compliance with specified characteristics is the Contractor's responsibility.
B. Action Stamp: The E/A will stamp each submittal with a uniform, action stamp. The E/A will mark the stamp appropriately to indicate the action taken, as follows:
1. “Reviewed”: the Work covered by the submittal may proceed provided it complies with requirements of the Contract Documents. Final payment depends on that compliance.
2. "Reviewed with Comments”: the Work covered by the submittal may proceed provided it complies with notations or corrections on the submittal and requirements of the Contract Documents. Final payment depends on that compliance.
3. "Revise and Resubmit” or “Rejected": do not proceed with Work covered by the submittal, including purchasing, fabrication, delivery, or other activity. Revise or prepare a new submittal according to the notations and resubmit without delay. Repeat if necessary to obtain different action mark.
a. Do not use, or allow others to use, submittals marked "Revise and Resubmit" or “Rejected” at the Project Site or elsewhere where Work is in progress.
4. Other Action: Where a submittal is for information, or for record purposes, or for special processing, or for other activity, the E/A will return the submittal marked “Record Copy”, “Action Not Required” or “No Action Taken."
C. Unsolicited Submittals: The E/A will return unsolicited submittals to the sender without action.
3.8 PREPARATION AND SUBMITTAL OF CONSTRUCTION RECORD DRAWINGS
The Owner’s Representative and the Contractor’s Superintendent will each maintain a set of bluelines noting any changes in ink during construction of the Project. The Owner’s Representative and the Contractor’s Superintendent will compare bluelines at least weekly (at a time mutually acceptable to both) to exchange information and compare notes to ensure all items installed and changes are documented. The following is a recommended minimum of items to be noted:
GENERAL
1. Notes should be sufficiently clear to allow a draftsperson to easily make the necessary changes without the need for field checks and interpretation.
2. One complete set of Construction Record bluelines will be submitted prior to the final pay request and forwarded to the Owner.
WATER/WASTEWATER PROJECTS
1. Type, name and model numbers of all valves (with # of turns to open/close), air release valves, drain and fire hydrants noted at locations installed.
2. Installed locations of all assignments, appurtenances and elevations which differ from those indicated on the Drawings.
3. Pipe manufacturer type and classification noted in sufficient detail to determine location and extent of each type or classification installed.
4. Modification to any standard or special details noted.
5. Location and description of pipe closures.
6. Thrust blocking locations and restrained pipe lengths, approximate dimensions and quantities noted.
7. Location, type and quantity of all addition and deletions.
8. Changes in grade.
The above list is not intended to be complete. Any information noted which could be used for future maintenance, location and construction projects is encouraged to be noted on the bluelines.
3.9 CONSTRUCTION DIARIES
The Contractor shall prepare a daily construction diary recording as a minimum the following information concerning events at the site and submit duplicate copies to the Owner’s Representative at weekly intervals. The copies are to be signed by the project Superintendent as defined in Section 0700, Article 6.01.B.
1. Work performed.
2. Approximate count of Contractor’s personnel, by classification, on the site.
3. List of subcontractors and personnel by classification on the site.
4. List of all equipment on the site by make and model.
5. High and low temperatures together with general weather conditions.
6. Start time and finish time of day’s work.
7. Accidents and / or unusual events.
8. Meetings and significant decisions made.
9. Stoppages, delays, shortages and / or losses.
10. Meter readings and / or similar recordings.
11. Emergencies procedures that may have been needed.
12. Orders and requests of governing authorities.
13. Change Orders received and implemented.
14. Services connected and / or disconnected.
15. Installed equipment and / or system tests and / or startups and results.
16. Partial completions and / or occupancies.
17. Date of substantial completion certified.
Click here for an Example Submittal (PDF)
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