• Sections aligning with PART 1—GENERAL are:
• Summary
• Price and Payment Procedures
• Administrative Requirements
• Quality Requirements
• Temporary Facilities and Controls
• Sections aligning with PART 2—PRODUCTS are:
• Product Requirements
• Performance Requirements
• Sections aligning with PART 3—EXECUTION are:
• Execution and Closeout Requirements
• Life Cycle Activities
The relationship between Division 01 and SectionFormatTM defines an organizing principle. The logic of this organization provides the flexibility by combining procedural requirements into a few sections or dividing them into many as dictated by the complex- ity of the project.
7.3 Division 01 Relation to Other Documents
Each of the contract documents complements one another and should not duplicate specific information. The provisions of the conditions of the contract and the agreement apply broadly to the work of the project, and Division 01 expands on these provisions, giving just enough detail to apply broadly to the other specification sections. The speci- fications and drawings further expand on Division 01 and provide detailed requirements for specific portions of the work.
7.3.1 Procurement Requirements
By definition in American Institute of Architects (AIA) and Engineers Joint Contract Documents Committee (EJCDC) general conditions, procurement requirements are not a part of the contract documents. Provisions that are stated only in procurement require- ments are not enforceable during administration of the construction contract.
The procurement requirements should not repeat Division 01 provisions but should instead refer to the appropriate Division 01 sections, by number and title, to direct the bidder to relevant information.
Provisions applicable only during the bidding stage, such as document acquisi- tion and cost, bid security requirements, and bid opening dates, should be stated in the procurement requirements rather than in Division 01.
7.3.2 Owner-Contractor Agreement
The owner-contractor agreement includes by reference all other contract documents.
Certain provisions of the owner-contractor agreement are supplemented by the provi- sions of Division 01 sections that define in greater detail the responsibilities of the parties to the contract.
92 Chapter 7 General Requirements
For example, Section 01 10 00—Summary specifies administrative details and the responsibilities of the owner and the contractor, including a summary of the work, identification of other contracts, work restrictions such as limitations on ac- cess and use of the site, and the need to accommodate the owner’s occupancy during construction.
Similarly, Section 01 20 00—Price and Payment Procedures expands on the re- lated provisions stated in the agreement, such as allowances, alternates, and unit prices.
7.3.3 General Conditions
The general conditions of the contract govern the execution of the work and apply broadly to sections of the specifications, including those in Division 01. Among the topics usually covered are property surveys, temporary utilities and services, warranties, progress schedules, record documents, submittals, cutting and patching, cleaning, schedule of values, applica- tions for payment, and closeout procedures. As these topics are covered only in very broad terms, they must be specified in further detail in Division 01 to tailor requirements to a specific project. Although the topics are addressed in two locations, the Construction Speci- fications Institute (CSI) principle of “say it once” is not violated because the requirements are stated in two different levels of detail, without duplication or conflict. For example, the general conditions broadly state that the owner may employ separate contractors and will provide coordination.
If separate contractors are in fact employed, Division 01 could specify this in Sec- tion 01 12 00—Multiple Contract Summary and could further identify the contracts, the scope of work in each, and the responsibilities of the owner, the architect/engineer (A/E), and each contractor in the coordination process.
7.3.4 Supplementary Conditions
Supplementary conditions should not repeat information contained in the General Con- ditions or encroach on topics that belong more appropriately in Division 01. Proper coordination between Division 01 and supplementary conditions will avoid conflicts, omissions, and duplications.
Other than a statement establishing the authority of Division 01, the supplemen- tary conditions should not contain general references to Division 01. Statements in the supplementary conditions referring to specific sections in Division 01 are not necessary but may be helpful to the user.
For example, a statement may be added to the supplementary conditions stating that shop drawings, product data, samples, and other submittals shall be prepared and submitted according to the requirements of specification Section 01 33 00—Submittal Procedures.
7.3.5 Other Specification Sections
Specification sections are subject to the administrative and procedural requirements of the conditions of the contract and of Division 01. Project requirements become more specific for each successive level of a three-tier hierarchy:
• The general conditions state provisions in broad terms.
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7.3 Division 01 Relation to Other Documents 93
• Division 01—General Requirements elaborate on the broad provisions of the con- ditions of the contract, but it is still written broadly enough to apply to the work of all specification sections.
• PART 1—GENERAL in a specification section becomes very specific in project requirements for that section only.
Refer to Figure 7.3 for illustration of this hierarchy. For example, the general con- ditions establish the fact that testing may be required. Division 01 specifies the broad administrative and procedural requirements for testing laboratory services such as who selects the laboratory, who pays for which services, qualifications of the testing labora- tory, submittal of reports, and the contractor’s responsibilities for cooperation. The individual specification sections state further requirements of particular tests to be per- formed, the number of tests required, and other details applicable only to the work or products in that section. As another example, although routine submittal procedures are covered in Division 01, the specific items for which shop drawings or samples must be submitted are unique to individual specification sections, and specific requirements must be identified in those sections. Figure 7.4 gives examples of the levels of detail of general administrative and procedural requirements found in various construction documents.
Although Division 01 requirements are generally arranged in the order of the three parts of SectionFormatTM, PART 1—GENERAL should, in most cases, contain the bulk of these provisions.
Figure 7.3
Hierarchy of General Administrative and Procedural Requirements
Govern
Govern
Governs
GovernGovern
General Conditions
PART 1 GENERAL Division 01 General Requirements
General Conditions of the contract contain broad administrative and procedural provisions which govern all other contract documents.
PART 1—General portion of each specification section contains administrative and procedural requirements which only pertain to that section.
Division 01—General Requirements expands broad administrative and procedural requirements stated in the conditions of the contract, but are still written broadly enough to apply to the work of all specifications sections.
Figure 7.4
AIA Document A201. Level of Detail for General Administrative and Procedural Requirements
Supplementary Conditions 3. In Paragraph 3.12.5 add the following:
“Prepare and submit Shop Drawings, Samples and other data in accordance of Section 01 33 00—Submittal Procedures.”
AIA Document A201, General Conditions of the Contract for Construction
3.12 SHOP DRAWINGS, PRODUCT DATA AND SAMPLES
3.12.1 Shop Drawings are drawings, diagrams, schedules and other data specially prepared for the Work by the Contractor or a Subcontractor, Sub-subcontractor, manufacturer, supplier or distributor to illustrate some portion of the Work.
3.12.2 Product Data are illustrations, standard schedules, performance charts, instructions, brochures, diagrams and other information furnished by the Contractor to illustrate materials or equipment for some portion of the Work.
3.12.3 Sample are physical examples that illustrate materials, equipment or workmanship and establish standards by which the Work will be judged.
3.12.4 Shop Drawings, Product Data, Samples and similar submittals are not Contract Documents. Their purpose is to demonstrate the way by which the Contractor proposes to conform to the information given and the design concept expressed in the Contract Documents for those portions of the Work for which the Contract Documents require submittals. Review by the Architect is subject to the limitations of Section 4.2.7. Informational submittals upon which the Architect is not expected to take responsive action may be so identified in the Contract Documents.
Submittals that are not required by the Contract Documents may be returned by the Architect without action.
3.12.5 The Contractor shall review for compliance with the Contract Documents, approve and submit to the Architect Shop Drawings, Product Data, Samples and similar submittals required by the Contract Documents in accordance with the submittal schedule approved by the Architect or in the absence of an approved submittal schedule, with reasonable promptness and in such sequence as to cause no delay in the Work or in the activities of the Owner or of separate contractors.
3.12.6 By submitting Shop Drawings, Product Data, Samples and similar submittals, the Contractor represents to the Owner and Architect that the Contractor has (1) reviewed and approved them, (2) determined and verified materials, field measurements and field construction criteria related thereto, or will do so and (3) checked and coordinated the information contained within such submittals with the requirements of the Work and of the Contract Documents.
3.12.7 The Contractor shall perform no portion of the Work for which the Contract Documents require submittal and review of Shop Drawings, Product Data, Samples or similar submittals until the respective submittal has been approved by the Architect.
3.12.8 The Work shall be in accordance with approved submittals except that the Contractor shall not be relieved of responsibility of deviations from requirements of
the Contract Documents by the Architect’s approval of Shop Drawings, Product Data, Samples or similar submittals unless the Contractor has specifically informed the Architect in writing of such deviation at the time of submittal and (1) the Architect has given written approval to the specific deviation as a minor change in the Work, or (2) a Change Order or Construction Change Directive has been issued authorizing the deviation. The Contractor shall not be relieved of responsibility for errors or omissions in Shop Drawings, Product Data, Samples or similar submittals by the Architect’s approval thereof.
3.12.9 The Contractor shall direct specific attention, in writing or on resubmitted Shop Drawings, Product Data, Samples or similar submittals, to revisions other than those requested by the Architect on previous submittals. In the absence of such written notice, the Architect’s approval of a resubmission shall not apply to such revisions.
3.12.10 The Contractor shall not be required to provide professional services that constitute the practice of architecture or engineering unless such services are specifically required by the Contract Documents for a portion of the Work or unless the Contractor needs to provide such services in order to carry out the Contractor’s responsibilities for construction means, methods, techniques, sequences and procedures. The Contractor shall not be required to provide professional services in violation of applicable law. If professional design services or certifications by a design professional related to systems, materials or equipment are specifically required of the Contractor by the Contract Documents, the Owner and the Architect will specify all performance and design criteria that such services must satisfy. The Contractor shall cause such services or certifications to be provided by a properly licensed design professional, whose signature and seal shall appear on all drawings, calculations, specifications, certifications, Shop Drawings and other submittals prepared by such professional.
Shop Drawings and other submittals related to the Work designed or certified by such professional, if prepared by others, shall bear such professional’s written approval when submitted to the Architect. The Owner and the Architect shall be entitled to rely upon the adequacy, accuracy and completeness of the services, certifications and approvals performed or provided by such design professionals, provided the Owner and Architect have specified to the Contractor all performance and design criteria that such services must satisfy. Pursuant to this Section 3.12.10, the Architect will review, approve or take other appropriate action on submittals only for the limited purpose of checking for conformance with information given and the design concept expressed in the Contract Documents. The Contractor shall not be responsible for the adequacy of the performance and design criteria specified in the Contract Documents.
Section 05 42 00—Cold-Formed Metal Joist Framing
1.05 SUBMITTALS
A. Submit shop drawings and product data.
B. Indicate on shop drawings component details, framed openings, welds, type and location of fasteners, and accessories or items required of other related work.
Section 09 60 00—Access Flooring
1.09 SUBMITTALS
A. Submit shop drawings and product data.
B. Indicate flooring layout, interruptions to grid, special sized panels required, panels drilled or cut-out for services, appurtenances or interruptions, edge details, elevation differences, grilles, and registers.
Section 01 33 00- Submittal Procedures, PART 1—GENERAL
1.03 SUBMITTAL PROCEDURES A. Transmit each submittal with AIA
form G810
B. Sequentially number transmittal forms.
Resubmittals to have original number with an alphabetic suffix.
C. Identify Project, Contractor, Subcontractor or supplier: pertinent Drawing sheet and detail number and specification Section number as appropriate.
D. Affix Contractor’s stamp, signed or initialed certifying that review verification or product’s required field dimensions, adjacent construction Work, and coordination of information, is in accordance with the requirements of the Work and Contract Documents.
E. Schedule submittals to expedite the Word and deliver to Architect/
Engineer at business address.
Coordinate submittal of related items.
F. Identify variations from Contract Documents and product or system limitations which may be detrimental to successful performance or the completed Work.
G. Provide space for Contractor and Architect/ Engineer review stamps.
H. Revise and resubmit submittals as required, identify all changes made since previous submittal.
I. Distribute copies of reviewed submittals to concerned parties. Instruct parties to promptly report any inability to comply with provisions.
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