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The CSI 13 1A form serves a crucial role in construction projects, particularly during the substitution request phase following bidding and negotiation. This form is utilized by contractors and architects to formally propose changes to specified products in a construction contract. Key elements of the form include the project details, substitution request number, and pertinent information about the proposed substitution, such as the manufacturer, trade name, and model number. It requires a comprehensive comparison between the proposed product and the originally specified item, ensuring that the architect or engineer receives point-by-point data for evaluation. Additionally, the form addresses the history of the proposed substitution, indicating whether it is a new product or has been in use for a certain number of years. The form also prompts the contractor to explain any differences and the rationale for not using the specified item. Furthermore, it assesses the potential impact on the overall project, including any changes to contract time and cost savings for the owner. Supporting documentation, such as drawings and product data, must accompany the submission to provide a complete picture of the proposed changes. This systematic approach ensures that all parties involved can make informed decisions regarding substitutions, ultimately contributing to the project's success.

Sample - Csi 13 1A Form

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)

File Specs

Fact Name Description
Purpose of the Form The CSI 13 1A form is used to request substitutions after the bidding or negotiating phase of a construction project.
Required Attachments Point-by-point comparative data must be attached to the form, as required by the Architect/Engineer (A/E).
Impact on Contract The proposed substitution may affect the contract time and savings to the owner, which must be clearly indicated on the form.
Governing Law This form is governed by the laws applicable in the state where the project is located, which may vary by jurisdiction.

Csi 13 1A - Usage Guidelines

Filling out the Csi 13 1A form is a straightforward process that requires careful attention to detail. This form is essential for submitting a substitution request after the bidding or negotiating phase of a project. Once the form is completed, it will be submitted to the appropriate parties for review and consideration.

  1. Project Information: Begin by entering the project name at the top of the form.
  2. Substitution Request Number: Assign a unique number to your substitution request for tracking purposes.
  3. From/To: Fill in the names of the parties involved, indicating who the request is coming from and who it is addressed to.
  4. Date: Write the date on which you are submitting the form.
  5. A/E Project Number: Include the architect/engineer project number for reference.
  6. Contract For: Specify the contract associated with this substitution request.
  7. Specification Title: Enter the title of the specifications relevant to the request.
  8. Description: Provide a brief description of the substitution being requested.
  9. Section: Indicate the section number of the specifications that pertain to the substitution.
  10. Page: Note the page number of the specifications where the relevant information can be found.
  11. Article/Paragraph: Specify the article or paragraph number related to the substitution.
  12. Proposed Substitution: Clearly describe the proposed substitution.
  13. Manufacturer: Fill in the name of the manufacturer of the proposed substitution.
  14. Address: Provide the manufacturer's address.
  15. Phone: Include a contact phone number for the manufacturer.
  16. Trade Name: List the trade name of the proposed substitution.
  17. Model No.: Enter the model number of the proposed substitution.
  18. Installer: Provide the name of the installer for the substitution.
  19. Address: Fill in the installer's address.
  20. Phone: Include the installer's contact phone number.
  21. History: Check the box that corresponds to the age of the proposed product.
  22. Differences: If applicable, indicate whether point-by-point comparative data is attached and required by the architect/engineer.
  23. Reason for Not Providing Specified Item: Explain why the specified item cannot be provided.
  24. Similar Installation: Provide details about a similar installation, including the project name, architect, address, owner, and date installed.
  25. Proposed Substitution Affects Other Parts of Work: Check 'No' or 'Yes' and provide an explanation if necessary.
  26. Savings to Owner: State the savings to the owner for accepting the substitution.
  27. Changes to Contract Time: Indicate whether the proposed substitution changes the contract time and specify the number of days to add or deduct.
  28. Supporting Data Attached: Check all applicable boxes for supporting documents you are including with the request.

Your Questions, Answered

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

The CSI 13 1A form serves as a formal request for substitution after the bidding or negotiating phase of a construction project. It allows contractors to propose alternative products or materials that differ from what was originally specified in the contract documents. This form is essential for ensuring that any changes are documented and approved by the architect or engineer (A/E), thereby maintaining clear communication and project integrity.

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

To complete the CSI 13 1A form, several key pieces of information must be included. This includes the project name, substitution request number, and details about the proposed substitution, such as the manufacturer, trade name, and model number. Additionally, the form requires a description of the differences between the proposed substitution and the originally specified product. It is also necessary to provide a reason for not using the specified item, along with any supporting data, such as drawings or product data. This comprehensive information helps facilitate the review process by the A/E.

How does a proposed substitution affect the project timeline?

When submitting a substitution request, it is important to indicate whether the proposed substitution will change the contract time. The form includes a section where the contractor can specify if accepting the substitution will add or deduct days from the project timeline. This clarity helps all parties involved understand the potential impact on the schedule and allows for better planning and coordination throughout the project.

What types of supporting data should be attached to the form?

Supporting data is crucial for the review of a substitution request. The CSI 13 1A form allows for various types of documentation to be attached, including drawings, product data sheets, samples, test results, and reports. This information provides the A/E with a thorough understanding of the proposed substitution, allowing for an informed decision regarding its acceptance. Including comprehensive supporting data can significantly enhance the chances of approval.

What happens after the CSI 13 1A form is submitted?

Once the CSI 13 1A form is submitted, the architect or engineer will review the request and the accompanying documentation. They may approve the substitution, request additional information, or deny the request based on the merits of the proposal. Communication regarding the decision will typically be sent to the contractor, and any approved substitutions will be documented in the project records. This process ensures that all changes are tracked and that the project remains aligned with its goals and specifications.

Common mistakes

When filling out the Csi 13 1A form, individuals often make several common mistakes that can lead to delays or complications in the substitution request process. Below is a list of nine frequent errors:

  1. Incomplete Information: Failing to fill in all required fields can result in the form being returned. Ensure that every section, such as the project details and substitution specifics, is fully completed.

  2. Missing Comparative Data: Not attaching the required point-by-point comparative data can lead to immediate rejection. This data is essential for the Architect/Engineer (A/E) to evaluate the proposed substitution effectively.

  3. Incorrect Manufacturer Information: Providing inaccurate details about the manufacturer, including the address and phone number, can cause communication issues. Double-check this information before submission.

  4. Neglecting to Explain Changes: If the proposed substitution affects other parts of the work, failing to explain these changes can create confusion. Always provide a clear explanation if applicable.

  5. Not Specifying Savings: Omitting the potential savings to the owner can weaken the case for the substitution. Clearly state any financial benefits associated with the proposed change.

  6. Ignoring Installation History: Not providing the installation history of the proposed substitution can lead to questions about its reliability. Include details about the age and performance of the product.

  7. Failure to Address Contract Time Changes: If the substitution affects the contract time, neglecting to indicate whether it adds or deducts days can lead to misunderstandings. Be explicit about any changes to the timeline.

  8. Not Including Supporting Data: Forgetting to attach supporting documents, such as drawings or product data, can hinder the evaluation process. Always ensure that all relevant materials are included.

  9. Submitting Late: Timing can be critical. Late submissions may not be considered, so be aware of deadlines and submit the form promptly.

By being mindful of these common mistakes, individuals can enhance the likelihood of a successful substitution request and streamline the review process.

Documents used along the form

The Csi 13 1A form is a crucial document used in construction projects to request substitutions for specified materials or products after the bidding phase. Alongside this form, several other documents are often utilized to provide additional information or context. Below is a list of these commonly used forms and documents.

  • Change Order Form: This document outlines modifications to the original contract, including changes in scope, cost, or time. It ensures that all parties agree to the adjustments and provides a record of the changes made.
  • Request for Information (RFI): An RFI is submitted when clarification is needed regarding the contract documents. It helps to resolve ambiguities and ensures that the project proceeds smoothly without delays.
  • Product Data Sheets: These sheets provide detailed specifications and performance characteristics of the proposed substitution. They are essential for evaluating whether the new product meets project requirements.
  • Samples: Physical samples of the proposed substitution may be submitted for review. They allow stakeholders to assess the quality and appearance of the product before approval.
  • Test Reports: These documents present the results of any tests conducted on the proposed substitution. They help to verify that the product meets necessary standards and specifications.
  • Drawings: Updated drawings may accompany the substitution request to show how the new product will fit into the overall design. They provide visual context for the proposed changes.
  • Meeting Minutes: Minutes from project meetings can provide insight into discussions related to the substitution request. They serve as a record of decisions made and agreements reached among stakeholders.

Each of these documents plays a vital role in the construction process, ensuring that all parties are informed and that the project can proceed efficiently. Proper documentation helps to mitigate misunderstandings and fosters a collaborative environment among team members.

Similar forms

The CSI 13 1A form serves a specific purpose in construction projects, focusing on substitution requests after the bidding or negotiating phase. A similar document is the Request for Information (RFI). An RFI is used when contractors need clarification on the project documents. Both documents require clear communication and detailed information to ensure that any changes or requests do not disrupt the project timeline. While the CSI 13 1A emphasizes substitutions for products, the RFI focuses on clarifying design or specification ambiguities.

Another comparable document is the Change Order form. This form is used to document changes to the contract, including modifications in scope, cost, or time. Like the CSI 13 1A, the Change Order requires detailed descriptions and justifications for the changes. Both documents aim to maintain project integrity while allowing for necessary adjustments. However, the Change Order often addresses broader changes, while the CSI 13 1A is more specific to product substitutions.

The Submittal form is also similar in function to the CSI 13 1A. Submittals are documents that contractors provide to show compliance with project specifications. They often include product data, samples, and shop drawings. Like the CSI 13 1A, submittals require detailed information about the proposed products. Both processes involve the architect's review and approval, ensuring that the selected materials meet the project's standards.

Another related document is the Product Data Sheet. This document provides detailed information about a specific product, including its specifications, performance data, and installation instructions. The Product Data Sheet complements the CSI 13 1A by offering in-depth information on the proposed substitution. Both documents require manufacturers' details and must be reviewed by the architect or engineer before approval.

The Request for Proposal (RFP) is another document that shares similarities with the CSI 13 1A form. An RFP is issued to solicit bids for a project and often outlines specific requirements for products and services. While the RFP is more general and used at the beginning of a project, the CSI 13 1A comes into play later, focusing on specific substitutions. Both documents are essential in ensuring that the project meets the owner's expectations and requirements.

Finally, the Notice of Intent to Claim is akin to the CSI 13 1A in that it addresses potential changes to the contract. This document is used to notify the owner of a contractor's intention to claim additional time or costs due to unforeseen circumstances. While the CSI 13 1A specifically deals with product substitutions, both documents require thorough documentation and justification to support the claims being made. They aim to protect the interests of the parties involved while ensuring transparency in the project’s progress.

Dos and Don'ts

When filling out the CSI 13 1A form, it is crucial to approach the task with care and attention to detail. Here are some essential dos and don'ts to keep in mind:

  • Do provide complete and accurate information in all fields.
  • Do attach any required supporting data, such as comparative data or product samples.
  • Do clearly explain any reasons for not providing the specified item.
  • Do ensure that any changes in contract time are explicitly noted.
  • Don't leave any sections blank unless instructed otherwise.
  • Don't submit the form without double-checking for errors.
  • Don't neglect to mention how the proposed substitution affects other parts of the work.
  • Don't forget to include your contact information for follow-up questions.

Misconceptions

Understanding the CSi 13 1A form is essential for anyone involved in construction projects. However, several misconceptions can lead to confusion. Here are eight common misunderstandings about this important document:

  • It's only for new products. Many believe the form is only applicable for new products. In reality, it can also be used for products that are several years old, as indicated in the history section.
  • Only the architect can submit a substitution request. While architects play a crucial role, anyone involved in the project, including contractors and subcontractors, can submit a request using this form.
  • Submitting the form guarantees approval. A request does not automatically mean it will be accepted. The architect or engineer must review and approve the proposed substitution based on its merits.
  • All supporting data is optional. This is not true. The form explicitly states that point-by-point comparative data is required, along with any other relevant supporting documents.
  • The form is only about cost savings. While savings to the owner is a consideration, the form also addresses installation similarities and potential impacts on other parts of the work.
  • Changes to contract time are not a concern. The form allows for changes in contract time, whether it adds or deducts days. This aspect is crucial for project scheduling.
  • All substitutions must be identical to the specified product. Substitutions do not have to be identical; they should meet or exceed the specifications in terms of quality and performance.
  • Once submitted, the request cannot be modified. Requests can be modified or supplemented with additional information if necessary, as long as it’s done before a decision is made.

By addressing these misconceptions, stakeholders can navigate the substitution process more effectively, ensuring that all parties are on the same page and that the project runs smoothly.

Key takeaways

When filling out and utilizing the CSI 13 1A form, several key points should be kept in mind to ensure a smooth process. Below are essential takeaways that can help guide you through the procedure.

  • Understand the Purpose: The form is designed to request substitutions for products after the bidding or negotiating phase has concluded.
  • Complete All Sections: Each part of the form must be filled out accurately, including project details, substitution information, and the reasons for the request.
  • Provide Comparative Data: Attach point-by-point comparative data to demonstrate how the proposed substitution meets or exceeds the specifications of the original product.
  • Document History: Clearly indicate the age and history of the proposed substitution. This information can impact the decision-making process.
  • Explain Differences: Detail any differences between the proposed substitution and the specified product. Clarity in this section can facilitate a quicker review.
  • Assess Impact on Project: Consider how the substitution may affect other parts of the work, and be prepared to explain any implications.
  • Calculate Savings: If applicable, provide a clear calculation of the savings to the owner for accepting the substitution.
  • Attach Supporting Data: Include any relevant supporting documents such as drawings, product data, samples, tests, or reports to strengthen your request.

By adhering to these takeaways, you can enhance the likelihood of a favorable outcome when submitting a substitution request using the CSI 13 1A form.