Submittal and Closeout Terms for Controls Integrators

The review comes back stamped A/N, with a note to resubmit the O&M per 01 78 23 before SC, and an FPT script attached from the CxA. Your new project engineer reads it twice and asks what half of it means. Construction runs on shorthand, and the controls trade adds its own layer on top: PICS, BTL, SCCR, loop sheets, points lists.

This is the glossary for that shorthand, alphabetical, one plain definition per term. Each definition stands on its own, and where a /learn article goes deeper, the definition links to it.

Numbers

01 33 00 Submittal Procedures

01 33 00 is the MasterFormat section number for Submittal Procedures, the Division 01 section that sets how every trade prepares, numbers, transmits, and tracks submittals, and how long the reviewer has to respond. Technical sections say what to submit; 01 33 00 says how. See reading 01 33 00.

01 78 23 Operation and Maintenance Data

01 78 23 is the MasterFormat section number for Operation and Maintenance Data, the Division 01 section that sets the content, format, and timing of O&M manuals for every trade on a project. See reading 01 78 23.

A

Action submittal

An action submittal is a submittal the reviewer must return with a disposition, such as approved or revise and resubmit, before the contractor proceeds with the work it covers. Shop drawings, product data, and samples are the usual action submittals. See shop drawings vs product data.

Approved as noted

Approved as noted is a review disposition meaning the submittal is accepted on the condition that the contractor makes the corrections the reviewer marked. Work can proceed, the comments are binding, and some specs ask for corrected copies for the record. See what approved as noted actually requires.

As-built drawings

As-built drawings are the contractor's drawings marked up to show what was actually installed, including field changes, relocated devices, and revised wire numbers. They are the source for the record drawings delivered at closeout. See as-built drawings and redlines.

B

Ball in court

Ball in court names the party that owes the next action on a submittal, RFI, or other open item. While a submittal is under review the ball is in the reviewer's court; when it comes back revise and resubmit, it is in the contractor's.

BTL listing

A BTL listing means a BACnet product passed conformance testing by BACnet Testing Laboratories, the testing program run under BACnet International, for a specific firmware revision and device profile. Many building automation specs require every BACnet device to be BTL listed. See the BACnet points list and PICS.

C

Change order

A change order is a written amendment, signed by the owner and the contractor and usually the architect or engineer, that changes the work, the contract sum, the contract time, or any combination of them. On a subcontract, the change flows down from the prime contract to the sub. See when a review comment is a change order.

Closeout

Closeout is the final phase of a construction contract, when the contractor finishes punch list work and delivers closeout submittals such as O&M manuals, record drawings, warranties, spare parts, and training, and the owner releases final payment and retainage. See the closeout checklist for a control system project.

Commissioning (Cx)

Commissioning, abbreviated Cx, is the quality process that verifies building or process systems are installed and perform as the owner's requirements and the design intend, usually led by a commissioning authority independent of the installing contractor. For a controls contractor, it centers on functional performance tests of the sequences of operations. See commissioning and functional performance tests.

D

Deferred submittal

A deferred submittal is a portion of a building's design that the building code allows to be submitted to the building official after the permit application, typically for items the contractor designs. The design professional of record reviews it before it goes to the building official. See delegated design and deferred submittals.

Delegated design

Delegated design is design work the contract documents assign to the contractor, performed by a licensed professional the contractor engages, who seals the resulting submittal. The engineer of record sets the performance criteria and reviews the submittal for conformance with them. See delegated design and deferred submittals.

Division 01

Division 01, General Requirements, is the MasterFormat division that sets project-wide administrative and procedural requirements, including submittal procedures, quality requirements, and closeout. Its sections apply to every trade, so a controls integrator is bound by them even though none of its equipment is specified there. See which CSI divisions a controls integrator actually owns.

Division 25

Division 25, Integrated Automation, is the MasterFormat division for building automation and control systems that span several building systems. Many projects still specify HVAC controls in Section 23 09 00 instead, so check which one your spec book uses. See Division 25 vs 23 09 00.

F

Factory acceptance test (FAT)

A factory acceptance test, or FAT, is a test of a control panel or system at the integrator's shop before it ships, usually witnessed by the owner or engineer, that proves wiring, I/O, and programming against an approved procedure. Specs that require a FAT commonly require the procedure as a submittal before the test and the signed results after. See FAT and SAT for control panels.

Functional performance test (FPT)

A functional performance test, or FPT, is a commissioning test that verifies a system carries out its sequence of operations in every mode, including startup, shutdown, alarms, and failure responses. It is typically run by the contractor and witnessed by the commissioning authority. See commissioning and functional performance tests.

I

I/O list

An I/O list is a table of every hardware input and output a controller handles, giving for each one the tag, signal type, range, and the module, channel, and terminal where it lands, spares included. See I/O lists, instrument indexes, and loop drawings.

Informational submittal

An informational submittal is a submittal the reviewer receives for the record rather than for approval, such as test reports, certificates, qualification statements, and coordination drawings. It still has a due date, and the reviewer can still comment if it shows work that does not conform.

L

Loop drawing

A loop drawing shows one instrument loop from the field device to the controller, with every wire, terminal, junction box, and power source between them, so a technician can trace the signal end to end. ANSI/ISA-5.4 is the standard specs cite for their content. See I/O lists, instrument indexes, and loop drawings.

M

MasterFormat

MasterFormat is the numbering system, published by the Construction Specifications Institute and Construction Specifications Canada, that organizes construction specifications into divisions and six-digit section numbers such as 26 05 19. Since its 2004 edition it runs from Division 00 to Division 49. See which CSI divisions a controls integrator actually owns.

N

Network riser diagram

A network riser diagram is the drawing of a control system's network architecture: servers, switches, controllers, field trunks with device counts and addresses, gateways to third-party equipment, panel locations, and power sources. See the controls network riser diagram.

No exceptions taken

No exceptions taken is a review disposition meaning the reviewer found nothing to correct and the contractor may proceed. It is the cleanest return a submittal can get, and it still does not relieve the contractor of meeting the contract documents.

O

O&M manual

An O&M manual, short for operation and maintenance manual, is the closeout deliverable that gives the owner what is needed to run and maintain installed equipment: system descriptions, operating and maintenance procedures, parts lists, as-built drawings, approved submittals, and warranties. See how to build an O&M manual for a control panel.

Or-equal

Or-equal is spec language that names one or more products and allows the contractor to furnish another product equal in function, quality, and performance, subject to the engineer's acceptance. Whether an or-equal product needs a formal substitution request depends on the spec. See substitution requests and the or-equal clause.

Owner training

Owner training is the instruction a contractor gives the owner's operators and maintenance staff on installed systems, with content, hours, and timing set by the technical section and Division 01's demonstration and training requirements. It usually requires a training plan submittal before the sessions and attendance records after. See owner training deliverables.

P

PICS

A PICS, or Protocol Implementation Conformance Statement, is a manufacturer's declaration, on a form defined by the BACnet standard ASHRAE 135, of which BACnet services, object types, device profile, and data link layers a product supports. Reviewers use it to confirm a controller can do what the spec and the points list require. See the BACnet points list and PICS.

Points list

A points list is a table of every data point a building automation system exposes, giving each point's name, BACnet object type and instance, host device, units, alarm and trend settings, and description. See the BACnet points list and PICS.

Product data

Product data is a submittal of manufacturer information, such as catalog cuts, datasheets, and performance curves, marked to show the exact model and options being furnished. See catalog number highlighting.

Punch list

A punch list is the list of incomplete or incorrect work items found at inspection near substantial completion, which the contractor must finish before final completion and the release of retainage. See punch list to retainage.

R

Record drawings

Record drawings are the final drawings delivered to the owner at closeout showing the work as built, prepared from the contractor's as-built markups. Whether the contractor or the engineer produces them depends on the contract. See as-built drawings and redlines.

Rejected

Rejected is a review disposition meaning the submittal does not meet the contract documents and the contractor must submit again, often with a different product or approach. Some specs call the same disposition not approved.

Request for information (RFI)

A request for information, or RFI, is a formal written question from the contractor to the design team to clarify the contract documents, resolve a conflict, or confirm design intent. An RFI answer does not by itself change the contract sum or time; if the answer changes the work, a change order follows. See submittal vs RFI.

Retainage

Retainage is a percentage of each progress payment that the owner withholds until the work is complete, held as security for punch list and closeout obligations. The contract sets the percentage, often 5 to 10 percent, and some contracts reduce it at a milestone. See punch list to retainage.

Revise and resubmit

Revise and resubmit is a review disposition meaning the submittal needs corrections and must be submitted again before the work it covers can proceed. The resubmittal should answer each comment and show what changed. See answering review comments on a resubmittal.

S

SCCR

SCCR, short-circuit current rating, is the maximum available fault current a control panel or component can safely withstand at its rated voltage. The National Electrical Code requires industrial control panels with power circuits to be marked with it, and UL 508A gives a method for determining a panel's rating. See UL 508A in the submittal.

Schedule of values

A schedule of values is the breakdown of the contract sum into line items, each with a dollar value, used as the basis for reviewing and paying progress payment applications.

Sequence of operations

A sequence of operations is the written description of how a control system behaves: what starts, stops, modulates, and alarms, under which conditions, in every mode. Controllers are programmed from it and tested against it. See sequence of operations.

Shop drawing

A shop drawing is a drawing prepared by the contractor, a fabricator, or a supplier to show how a specific part of the work will be built and installed, such as control panel layouts, schematics, and wiring diagrams. See what a complete panel drawing package includes.

Site acceptance test (SAT)

A site acceptance test, or SAT, is a test of a control system after installation, proving that field wiring, instruments, and communications work with the real equipment before startup or commissioning. See FAT and SAT for control panels.

Spare parts

Spare parts, in a specification, are the replacement components and extra materials the contractor must hand over to the owner at closeout, with the items and quantities listed in the technical section. Division 01 usually sets how they are packaged, labeled, and documented. See spare parts and warranty letters.

Submittal register

A submittal register, also called a submittal schedule, is the list of every submittal a contract requires, built before work starts, with spec references, responsible parties, and planned submission dates. See building the submittal register.

Substantial completion

Substantial completion is the stage at which the work is complete enough, per the contract documents, for the owner to occupy or use it for its intended purpose. It commonly starts warranty periods and triggers the punch list and the release of most retainage, though the contract decides each of these.

Substitution request

A substitution request is a formal proposal to furnish a product or method other than the one specified, submitted with evidence that it is equal and a statement of its cost, schedule, and coordination effects. Many specs accept substitution requests only within a set period after award. See substitution requests and the or-equal clause.

T

Transmittal

A transmittal is the cover document that travels with a submittal and records the exchange: who sent what to whom, on what date, under which submittal number and spec section, and what action is requested. See what a transmittal has to say.

U

UL 508A

UL 508A is the UL standard for industrial control panels, covering construction, component selection, wiring, and short-circuit current rating. A panel shop listed under UL's 508A program can apply the listing mark to panels it builds to the standard. See UL 508A in the submittal.

How Submittal Kit handles this

Hunting a library for "variable frequency drive" when the datasheet says VFD, or the other way round, wastes a search you already knew the answer to. Submittal Kit ships the shorthand integrators share, described in abbreviations we understand, so search reaches documents that spell out what you abbreviated, and the reverse. Your own words come first; the industry reading only runs when they find nothing. Equipment tags decode too: VFD-101 reads back as Variable Frequency Drive on the equipment record. Terms that mean two things, such as LS for a level switch or a lift station, get both readings instead of a guess. Your own aliases in library vocabulary win where they disagree.

Disclosure: I build Submittal Kit. These definitions hold on any job, whatever tool you track it in.