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The CSI 13 1A form plays a crucial role in the construction and architectural industries, specifically during the substitution request phase after bidding and negotiating. This form allows contractors to propose alternative products or materials that differ from what was originally specified in the contract. It includes essential details such as the project name, substitution request number, and contact information for both the proposing party and the manufacturer. Additionally, it captures information about the proposed substitution, including its history, differences from the specified product, and any potential impacts on other parts of the work. The form also requires the contractor to provide a rationale for not using the specified item, alongside any supporting data like drawings, product data, or samples. Importantly, it addresses the potential financial implications for the owner, such as savings or changes to the contract timeline. Ensuring that all necessary information is accurately filled out is vital, as it aids architects and engineers in making informed decisions about the proposed changes.

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SUBSTITUTION REQUEST

(After the Bidding/Negotiating Phase)

 

PROJECT:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SUBSTITUTION

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

REQUEST NUMBER:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FROM:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

TO:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

DATE:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

A/E PROJECT NUMBER:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

RE:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CONTRACT FOR:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SPECIFICATION TITLE:

 

 

 

 

 

 

 

 

DESCRIPTION:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SECTION:

 

 

 

 

 

 

 

 

 

 

PAGE:

 

 

ARTICLE/PARAGRAPH:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PROPOSED SUBSTITUTION:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

MANUFACTURER:

 

 

 

 

 

ADDRESS:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PHONE:

 

 

 

 

 

 

 

TRADE NAME:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

MODEL NO.:

 

INTALLER:

 

 

 

 

 

 

 

 

 

 

 

 

 

ADDRESS:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PHONE:

 

 

 

 

 

 

 

HISTORY:

 

 

 

New Product

1-4 years old

 

 

5-10 years old

More than 10 years old

 

DIFFERENCES BETWEEN PROPOSED SUBSTITUTION AND SPECIFIED PRODUCT:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Point-by-point comparative data attached — REQUIRED BY A/E

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

REASON FOR NOT PROVIDING SPECIFIED ITEM:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SIMILAR INSTALLATION:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PROJECT:

 

 

 

 

 

 

 

ARCHITECT:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

ADDRESS:

 

 

 

 

 

 

 

 

 

OWNER:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

DATE INSTALLED:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PROPOSED SUBSTITUTION AFFECTS OTHER PARTS OF WORK:

No

 

 

Yes; explain

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SAVINGS TO OWNER FOR ACCEPTING SUBSTITUTION:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PROPOSED SUBSTITUTION CHANGES CONTRACT TIME:

 

 

No

Yes [Add]

 

 

 

 

[Deduct]

 

 

days.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

SUPPORTING DATA ATTACHED:

Drawings

Product Data

Samples

 

 

 

 

Tests

Reports

 

CONTINUE ON NEXT PAGE

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

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CSI Form 13.1A (April 2022 version)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

© 2022 The Construction Specifications Institute (CSI)

SUBSTITUTION REQUEST

(After the Bidding/Negotiating Phase—

Continued)

The Undersigned certifies:

·Proposed substitution has been fully investigated and determined to be equal or superior in all respects to specified product.

·Same warranty will be furnished for proposed substitution as for specified product.

·Same maintenance service and source of replacement parts, as applicable, is available.

·Proposed substitution will have no adverse effect on other trades and will not affect or delay progress schedule.

·Cost data as stated above is complete. Claims for additional costs related to accepted substitution which may subsequently become apparent are to be waived.

·Proposed substitution does not affect dimensions and functional clearances.

·Payment will be made for changes to building design, including A/E design, detailing, and construction costs caused by the substitution.

·Coordination, installation, and changes in the Work as necessary for accepted substitution will be complete in all respects.

SUBMITTED BY:

SIGNED BY:

FIRM:

ADDRESS:

TELEPHONE:

Attachments

A/E’s REVIEW AND RECOMMENDATION:

Approve Substitution—Make submittals in accordance with Specification Section 01 33 00 Submittal Procedures.

Approve Substitution as noted—Make submittals in accordance with Specification Section 01 33 00 Submittal Procedures.

Reject Substitution—Use specified materials.

Substitution Request received too late—Use specified materials.

SIGNED BY:

DATE:

OWNER’S REVIEW AND ACTION:

Substitution approved—Make submittals in accordance with Specification Section 01 33 00 Submittal Procedures. Prepare Change Order

Substitution approved as noted—Make submittals in accordance with Specification Section 01 33 00 Submittal Procedures. Prepare Change Order.

Substitution rejected—Use specified materials.

SIGNED BY:

DATE:

ADDITIONAL COMMENTS:

Contractor

Subcontractor

Supplier

Manufacturer

A/E

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CSI Form 13.1A (April 2022 version)

 

 

© 2022 The Construction Specifications Institute (CSI)

Form Specifications

Fact Name Description
Form Purpose The CSI 13.1A form is used to request substitutions for products after the bidding and negotiating phase of a construction project.
Governing Law In the United States, the use of the CSI 13.1A form is often governed by the Uniform Commercial Code (UCC) and specific state construction laws.
Required Attachments When submitting the form, point-by-point comparative data must be attached, as required by the architect or engineer (A/E).
Product Age The form allows for the categorization of the proposed substitution based on the product's age, ranging from new to over 10 years old.
Impact on Contract Time Substitutions may affect the contract time, and the form requires a specification of whether the proposed change adds or deducts days.
Owner Savings The form includes a section to outline any potential savings to the owner if the substitution is accepted, which can be a persuasive factor in the decision-making process.

Csi 13 1A: Usage Guidelines

After you fill out the Csi 13 1A form, you will submit it for review. This process is essential for ensuring that any proposed changes to the project specifications are properly evaluated. Follow these steps carefully to complete the form accurately.

  1. Begin by entering the Project name at the top of the form.
  2. Next, write the Substitution Request Number assigned to this request.
  3. Fill in the From and To sections with the relevant parties' names.
  4. Enter the Date of the request.
  5. Provide the A/E Project Number.
  6. In the Re section, state the Contract For and the Specification Title.
  7. Complete the Description section with details about the substitution.
  8. Specify the Section and Page numbers related to the substitution.
  9. Identify the Article/Paragraph affected by the substitution.
  10. Write the details of the Proposed Substitution, including the Manufacturer, Address, and Phone number.
  11. List the Trade Name and Model No. of the proposed substitution.
  12. Provide the Installer details, including Address and Phone number.
  13. Indicate the History of the product by checking the appropriate box: New product, 1-4 years old, 5-10 years old, or more than 10 years old.
  14. Attach point-by-point comparative data to show differences between the proposed substitution and the specified product.
  15. Explain the Reason for not providing specified item.
  16. Provide details about a Similar Installation, including the Project, Architect, Address, and Date Installed.
  17. State whether the proposed substitution affects other parts of the Work by checking No or Yes and providing an explanation if necessary.
  18. Calculate the Savings to Owner for accepting the substitution and enter the amount in dollars.
  19. Indicate if the proposed substitution changes the Contract Time by checking No or Yes and adding or deducting days as appropriate.
  20. Check the boxes for any Supporting Data Attached, such as Drawings, Product Data, Samples, Tests, or Reports.

Your Questions, Answered

What is the purpose of the CSI 13 1A form?

The CSI 13 1A form is designed to facilitate the request for a substitution of materials or products after the bidding or negotiating phase of a construction project. It allows contractors to propose alternatives to specified items in the contract, ensuring that all parties can evaluate the proposed changes effectively. This form captures essential information about the project, the proposed substitution, and any potential impacts on the contract.

What information is required on the CSI 13 1A form?

The form requires various details to ensure a comprehensive review. This includes the project name, substitution request number, and contact information for both the proposing party and the manufacturer. Additionally, it asks for specifics about the proposed substitution, such as the manufacturer's name, model number, and installation history. A point-by-point comparison of the proposed item and the specified product must also be included. Furthermore, the form requests information on how the substitution may affect project costs and timelines.

How does the substitution process affect the project timeline?

The proposed substitution may impact the overall project timeline. The form includes a section where the requester must indicate whether the substitution will add or deduct days from the contract time. If changes are expected, the contractor should provide a clear explanation of the reasons behind these adjustments. This transparency helps all stakeholders understand the implications of the substitution on the project's schedule.

What supporting data is necessary when submitting the CSI 13 1A form?

When submitting the CSI 13 1A form, it is essential to include supporting data that substantiates the request for substitution. This may consist of drawings, product data sheets, samples, tests, and reports. The inclusion of this information is crucial for the architect or engineer to evaluate the proposed substitution thoroughly. Without adequate supporting documentation, the request may be delayed or denied.

Common mistakes

  1. Incomplete Project Information: Failing to fill in all required fields such as project name, substitution request number, and contract details can lead to delays.

  2. Missing Comparative Data: Not attaching point-by-point comparative data when required by the architect/engineer (A/E) can result in rejection of the request.

  3. Unclear Reasoning: Providing vague or unclear reasons for not using the specified item may confuse reviewers and hinder approval.

  4. Ignoring Installation History: Neglecting to specify the installation history of the proposed substitution can raise concerns about its reliability.

  5. Failure to Address Contract Time Changes: Not indicating whether the proposed substitution will affect the contract time can lead to misunderstandings.

  6. Omitting Supporting Data: Forgetting to attach necessary supporting data, such as drawings or product data, may result in a lack of sufficient information for review.

  7. Incorrect Contact Information: Providing inaccurate or incomplete contact information for the manufacturer or installer can create communication issues.

Documents used along the form

The CSI 13 1A form is a key document used in the construction industry to request a substitution for a specified product after the bidding or negotiating phase. Along with this form, several other documents are often necessary to ensure a smooth process. Below is a list of related forms and documents that you might encounter.

  • CSI Form 13.1B: This form is used to document the architect's decision regarding the substitution request. It provides a formal response, indicating whether the proposed substitution is approved or rejected.
  • Submittal Form: This document outlines the details of materials or products that the contractor plans to use. It ensures that all parties are on the same page regarding specifications and compliance with the project requirements.
  • Change Order: A change order is a formal document that modifies the original contract. It can be used to add or deduct costs and time associated with changes, including those resulting from approved substitutions.
  • Product Data Sheets: These sheets provide detailed information about a proposed product, including specifications, performance data, and installation instructions. They help verify that the substitution meets project requirements.
  • Samples: Physical samples of the proposed substitution may be submitted to allow for visual inspection and approval. This helps ensure that the aesthetic and functional qualities meet the project's standards.
  • Test Reports: If applicable, these reports demonstrate that the proposed substitution has been tested for quality and performance. They provide essential evidence to support the substitution request.
  • Drawings: Updated drawings may be necessary to show how the proposed substitution will fit into the overall project. This can clarify any changes in design or installation requirements.
  • Manufacturer's Warranty: A warranty document from the manufacturer can assure the owner of the quality and reliability of the proposed substitution. It is often required to validate the substitution's acceptance.

Understanding these documents can help streamline the process of managing substitutions in construction projects. Each form plays a vital role in ensuring clarity and compliance throughout the project lifecycle.

Similar forms

The CSI 13 1A form is a crucial document in construction projects, specifically for requesting substitutions after the bidding phase. Several other documents serve similar purposes in construction management and project documentation. Here’s a look at six of them:

  • Change Order: This document formalizes changes to the original contract. Like the CSI 13 1A, it outlines what changes are being made, why they are necessary, and how they affect the project's cost and timeline.
  • Request for Information (RFI): An RFI seeks clarification on project details. It shares a common goal with the CSI 13 1A, which is to ensure all parties have a clear understanding of project specifications and requirements.
  • Submittal: A submittal provides detailed information about materials or products intended for use in the project. Similar to the CSI 13 1A, it requires documentation and approval from the architect or engineer before proceeding.
  • Field Order: This is a directive issued by the architect or engineer to address minor changes in the work. It aligns with the CSI 13 1A's purpose of facilitating adjustments while maintaining project integrity.
  • Notice of Nonconformance: This document notifies a contractor of work that does not meet contract specifications. Both documents aim to maintain quality and compliance throughout the project lifecycle.
  • Product Data Submission: This document includes technical information about products to be used in the project. It is similar to the CSI 13 1A in that it requires detailed information about the proposed items and their compliance with project specifications.

Understanding these documents can streamline communication and decision-making processes in construction projects. Each serves its purpose but shares the common goal of ensuring project success through clarity and compliance.

Dos and Don'ts

When filling out the Csi 13 1A form, there are important guidelines to follow. Below is a list of things you should and shouldn't do:

  • Do provide accurate information in all fields, including project details and contact information.
  • Do attach any required supporting data, such as point-by-point comparative data, to justify your substitution request.
  • Don't leave any sections blank. Incomplete forms may lead to delays in processing your request.
  • Don't submit the form without reviewing it for errors. Double-check all entries for accuracy and completeness.

Misconceptions

The CSI 13 1A form is an essential document in construction projects, particularly when it comes to requesting substitutions after the bidding or negotiating phase. However, several misconceptions surround its purpose and usage. Here are five common misunderstandings:

  • Misconception 1: The form is only necessary for major changes.
  • Many believe that the CSI 13 1A form is only required for significant substitutions. In reality, it should be used for any proposed changes, regardless of their size. Even minor adjustments can impact project specifications and should be documented properly.

  • Misconception 2: Substitutions can be made without prior approval.
  • Some assume that they can implement substitutions without formal approval. This is incorrect. The purpose of the form is to seek the architect's or engineer's approval before proceeding with any changes to ensure compliance with project standards.

  • Misconception 3: The form is only for new products.
  • It is a common belief that the CSI 13 1A form is exclusively for new products. However, it can also be used for existing products that may offer better performance or cost savings. The key is to provide a valid rationale for the substitution.

  • Misconception 4: Supporting data is optional.
  • Some people think that attaching supporting data is optional. This is a misunderstanding. The form requires specific documentation, such as comparative data and product information, to justify the substitution effectively.

  • Misconception 5: The form does not affect project timelines.
  • Lastly, many believe that using the CSI 13 1A form has no impact on project timelines. In fact, proposed substitutions can affect contract time, either by adding or deducting days. It is crucial to address this aspect in the form.

Key takeaways

Here are key takeaways for filling out and using the Csi 13 1A form:

  • The form is used for substitution requests after the bidding or negotiating phase.
  • Clearly fill in all project details, including the project name, substitution request number, and relevant dates.
  • Provide a detailed description of the proposed substitution, including the manufacturer, model number, and trade name.
  • Indicate the history of the proposed product, such as whether it is new or has been in use for several years.
  • Attach point-by-point comparative data to highlight differences between the proposed substitution and the specified product.
  • Explain the reason for not providing the specified item, and include similar installation references if applicable.
  • Note any potential savings for the owner and whether the substitution affects the contract time.