ACE Consulting

Construction Material Submittal

Material submittals are a huge issue we must contend with throughout construction. A construction material submittal is simply a document that shows the exact material used and the process used to install the product. The fact is we must process and get approved large volumes of submittals, from the screws in an HVAC system to the type of paint on the walls. This means that we must specify what we want from the subcontractors and vendors to create expectations for what they must present. Simple things like making them highlight and notate the specification requirements in the submittal can facilitate the approval process. In addition, prioritizing submittals is essential since construction depends upon the submittals being reviewed and approved.

Submittal Descriptions (SD) Required submittals are specified in the technical sections. Submittal types are identified by SD numbers and titles.

SD-01 Preconstruction Submittals

Submittals are required for commencing work on site. Submittals are required prior to the start of the next major phase of the construction on a multi-phase contract. Schedules or tabular list of data or a tabular list including location, features, or other pertinent information regarding products, materials, equipment, or components to

be used in the work, submitted prior to Contract notice to proceed or next major phase of construction.

SD-02 Shop Drawings

a. Drawings, diagrams, and schedules specifically prepared to illustrate some portion of the work.

b. Diagrams and instructions from a manufacturer or fabricator for use in producing the product and as aids to the Contractor for integrating the product or system into the project.

c. Drawings prepared by or for the Contractor to show how multiple systems and interdisciplinary work will be coordinated.

SD-03 Product Data

a. Catalog cuts, illustrations, schedules, diagrams, performance charts, instructions, and brochures illustrating the size, physical appearance, and other characteristics of materials, systems, or equipment for some portion of the work.

b. Samples of warranty language when the Contract requires extended product warranties.

SD-04 Samples

a. Fabricated or unfabricated physical examples of materials, equipment, or workmanship that illustrate functional and aesthetic characteristics of a material or product and establish standards by which the work can be judged.

b. Color samples from the manufacturer’s standard line (or custom color samples if specified) to be used in selecting or approving colors for the project.

c. Field samples and mock-ups constructed on the project site establish standards by which the ensuing work can be judged. Includes assemblies or portions of assemblies that are to be incorporated into the project and those which will be removed at

the conclusion of the work.

SD-05 Design Data

Design calculations, mix designs, analyses, or other data pertaining to a part of work.

SD-06 Test Reports

a. Report signed by an authorized official of testing laboratory that a material, product, or system identical to the material, product or system to be provided has been tested in accord with specified requirements. (Testing must have been within three years of the date

of Contract award for the project.)

b. Report which includes findings of a test required to be performed by the Contractor on an actual portion of the work or prototype prepared for the project before shipment to the job site.

c. Report which includes the finding of a test made at the job site or on the sample taken from the job site, on a portion of work during or after installation.

SD-07 Certificates

a. Statements printed on the manufacturer’s letterhead and signed by responsible officials of the manufacturer of the product, system, or material attesting that product, system, or material meets specification requirements. Must be dated after awarding of project Contract and name the project.

b. Document required of Contractor, or of a manufacturer, supplier, installer, or subcontractor through Contractor, the purpose of which is to further the quality of orderly progression of a portion of the work by documenting procedures, acceptability of methods, or personnel qualifications.

SD-08 Manufacturer’s Instructions

Preprinted material describing installation of a product, system, or material, including special notices and Material Safety Datasheets concerning impedances, hazards, and safety precautions.

SD-09 Manufacturer’s Field Reports

Documentation of the testing and verification actions taken by the manufacturer’s representative at the job site, in the vicinity of the job site, or on a sample taken from the job site, on a portion of the work, during or after installation, to confirm compliance with

manufacturer’s standards or instructions. The documentation must be signed by an authorized official of a testing laboratory or agency and must state the test results; and indicate whether the material, product, or system has passed or failed the test.

Factory test reports.

SD-10 Operation and Maintenance Manuals

a. Data that is furnished by the manufacturer, or the system provider, to the equipment operating and maintenance personnel, including manufacturer’s help and product line documentation necessary to maintain and install equipment. This data is needed

by operating and maintenance personnel for the safe and efficient operation, maintenance, and repair of the item.

b. This data is intended to be incorporated in an operations and

maintenance manual or control system.

SD-11 Closeout Submittals

a. Documentation to record compliance with technical or administrative requirements or to establish an administrative mechanism.

b. Special requirements necessary to properly close out a construction Contract. For example, Record Drawings and as-built drawings. Also, submittal requirements are necessary to properly close out a major phase of construction on a multi-phase Contract.

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