Chap 5 – Submittals Flashcards by P. Ripley

Administrative and procedural requirements governing submittals during the construction stage are located where? (2 places)

…. in the conditions of the contract, and
….Division 01—General Requirements.
CAPG 5.1

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Both AIA and EJCDC General Conditions require the contractor to issue a schedule of submittals coordinated with the _____________ .

….. construction progress schedule
CAPG 5.1

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Division 01 specification sections expand on the _____________ .

….. general and supplementary conditions
CAPG 5.1

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Division 01 specification sections specify more detailed administrative and procedural requirements for submittals required in _____________ .

…..Divisions 02 through 49 of the specifications.
CAPG 5.1

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The amount of review time needed by the A/E to render professional judgment on submittals is usually stipulated where?

…. in Division 01
CAPG 5.1

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AIA A201 indicates that the contractor shall perform no portion of the work requiring submittals until ________ .

…. the submittal has been approved by the architect
CAPG 5.3

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In the traditional D-B-B project delivery method, submittals are processed during the ________ stage of a project.

…. construction
CAPG 5.3

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Four categories of submittals include:

Action Submittals
Informational Submittals
Closeout Submittals
Maintenance Material Submittals

CAPG 5.3

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T/F: The submittal process may be used to approve substitutions.

FALSE:
CAPG 5.3

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T/F: Approval of submittals does not relieve the contractor of the his responsibility to fulfill the contract requirements.

TRUE:
CAPG 5.3

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Action submittals are submittals requiring __________ .

….responsive action by the A/E, normally review and approval.
CAPG 5.3.1 Intro

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Examples of action submittals include:

Product Data
Shop Drawings
Samples

CAPG 5.3.1

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The number of copies of each shop drawing to be submitted, the format size, and whether any accompanying data are required would be listed where?

….either the conditions of the contract or Division 01 (or both)
CAPG 5.3.1.2

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T/F: The contractor is not required to verify that the samples comply with the contract requirements before forwarding them to the A/E.

FALSE:

CAPG 5.3.1.3

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T/F: Informational submittals require timely and responsive action by the A/E.

FALSE: These are submittals not requiring responsive action by the A/E.
CAPG 5.3.2

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Examples of informational submittals include:

Coordination drawings
Certificates
Design Data
Test Reports
Manufacturer’s Instructions
Manufacturer’s Reports
Sustainable Design Reports
Qualification Statements
Construction Photographs

CAPG 5.3.2

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T/F: The contract documents should clearly differentiate between submittals that require A/E review and those that do not.

TRUE:
CAPG 5.3.2

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Coordination drawings are usually prepared by the ___________ to show how multiple system and interdisciplinary work will be coordinated.

…. contractor
CAPG 5.3.2.1

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Certificates may be required to certify _____________ of materials, fabrications, or installation.

…. quality or characteristics
CAPG 5.3.2.2

The ____________ may require data or certification indicating that the design meets local codes or regulations.

….the AHJs
CAPG 5.3.2.3

Submittals used for the purpose of achieving a certain level of sustainability based on a sustainable rating system are normally required to be separate from _________ .

….construction submittals.
CAPG 5.3.2.7

To ensure that a company or individual is qualified, specifications may require _____________ from fabricators, erectors, and installers

….. qualification statements
CAPG 5.3.2.8

Examples of closeout submittals include:

O&M data
Bonds
Special warranties
Record documents
Spare parts and called attic stock
Keying

CAPG 5.4

T/F: Division 01—General Requirements typically includes a section on submittal procedures containing information applicable to all submittals required for the project.

TRUE:
CAPG 5.5

T/F: Specific requirements for submittals are listed in the sections in Divisions 02 through 49.

TRUE: CAPG 5.5

The contractor reviews each submittal and ___________ to indicate the action taken.

…. stamps it CAPG 5.6 Intro

Submittals are reviewed and approved by the contractor to ensure that:

* contract document requirements have been met, * check dimensions, and * coordinate with subcontractors. CAPG 5.6 Intro

T/F: The A/E reviews the submittal to determine accuracy and completeness of dimensions or quantities.

FALSE: These are the contractor’s responsibility. CAPG 5.6 Intro

The A/E’s review is limited to determining whether the submittal is ___________ The A/E’s review should not go beyond this basic responsibility.

….. consistent with the design intent indicated in the contract documents. CAPG 5.6 Intro

Using a stamp, action taken by the contractor and/or A/E is typically one of the following:

* Approved * Approved as Noted * Revise and Resubmit * Rejected * No Action Taken or Required * Not Required for Review CAPG 5.6 Intro

T/F: The rejection of a submittal for good cause can create a condition of entitlement for claim on the part of the contractor

FALSE: Rejection of a submittal for good cause is not a cause for a delay claim CAPG 5.6 Intro

T/F: The contractor and the A/E accept unnecessary risk by reviewing and approving incomplete submittals.

TRUE: CAPG 5.6.1

When partial submittals are necessary to expedite the project, they should be ________________ .

….identified as such. CAPG 5.6.2

How should the A/E handle submittals that were submitted, but not required?

Return without review, marked “not required for review.” CAPG 5.6.4

What is the difference between the AIA A201 and the EJCDC C-700 with regard to contractor submittals sent to the A/E?

EJCDC C-700 requires each submittal bear a contractor’s stamp (or other written validation) AIA A201 only states that the contractor shall “review and approve”, (no mention of written or stamped endorsement). CAPG 5.6.5

If the A/E wants to add language requiring the use of a submittal stamp by the contractor, where would this language be added?

….Division 01 CAPG 5.6.5

T/F: A contractor’s submittal stamp becomes a contract document when submitted to the A/E

FALSE: The submittal stamp is not a contract document and cannot be used to add to or deduct from requirements of the contract documents. CAPG 5.6.5

T/F: Contract documents require that the A/E and contractor review and approve submittals: therefore language such as “reviewed” or “no exceptions taken” do not suffice.

TRUE: Such statements do not alleviate the obligation to “approve” a submittal. CAPG 5.6.5

Subcontractors and suppliers are responsible for:

* Reading and understanding the contract documents * Knowing the construction progress schedule and allowing adequate time for contractor and A/E review * Properly preparing submittals * Submitting in a timely manner * Using a transmittal form * Reviewing other submittals and coordinating with them * Maintaining records and current status CAPG 5.7

The contractor is responsible for:

* Reading and understanding the contract documents * Establishing a realistic submittal schedule that allows for re-submittal * Coordinating submittals including work by owner’s separate contractors * Reviewing submittals for compliance with contract documents, site conditions, dimensions * Approving submittals before transmitting them to the A/E * Using a transmittal form * Distributing approved submittals to subcontractors and others * Maintaining copies of all approved submittals at the site for reference * Maintaining logs and tracking progress CAPG 5.7

The A/E is responsible for:

* Specifying reasonable requirements * Reading and understanding the contract documents * Verifying that the contractor has reviewed, stamped, and approved submittals * Reviewing and approving submittals in a timely manner or taking other appropriate action * Reviewing submittals for conformance with design intent * Using a transmittal form * Forwarding submittals to consultants and the owner * Maintaining a copy of approved submittals * Maintaining a submittal log and tracking progress CAPG 5.7

Consultants are responsible for:

* Specifying reasonable requirements * Reading and understanding the contract documents * Reviewing and approving submittals in a timely manner * Reviewing submittals for conformance with design intent * Using a transmittal form * Returning submittals to the A/E CAPG 5.7

Whose responsibility is it to maintain a submittal log?

…. should be maintained by both the A/E and the contractor. CAPG 5.8

If any part of a submittal does not conform to the contract requirements, then _____________ .

The preparer should specifically indicate any part of the submittal that does not conform to the contract requirements. CAPG 5.9

T/F: When contract documents identify a specific amount of time for the A/E review of submittals, it will be found in the general conditions.

FALSE: AIA and EJCDC general conditions are not specific about the amount of time allotted to the A/E to review submittals. CAPG 5.9.2

The A/E’s review time for submittals is usually stated as part of the contract documents where?

….in either Division 01 or the supplementary conditions. CAPG 5.9.2

General conditions state that the A/E’s action on submittals will follow the submittal schedule approved by the A/E, or, _______________ .

…. with reasonable promptness CAPG 5.9.2