Proprietary Specifications

Proprietary specifications are those that require the use of a single approved product type for any
particular installation. Proprietary specifications are often used in cases where there is existing equipment
or installations already on site. In these cases the owner may want to maintain consistency of materials or
possibly simply prefers a specific type of product. Also, in highly complex installations where there is
only one specific piece of equipment that will accomplish a specified task, a proprietary specification is
required.

Architects and engineers typically try to avoid utilizing proprietary specifications except when absolutely
necessary, and will usually allow the contractor to select from a list of approved suppliers. Requiring the
use of one specific product type can lead to the perception of favoritism towards a certain manufacturer
and may eliminate competition during the bid phase, which may increase the project cost.

Advantages:

 They allow for close control of product selection.

 The drawings can be more complete and more detailed because they can be prepared based on
precise information from the selected manufacturer.
 The specification can be shorter.
 They simplify the bidding by narrowing competition and eliminating product pricing as a major
variable.

Disadvantages:

 They reduce the competition.

 They may specify products the Contractor is not familiar with or has had little experience with.
 Care should be taken to assure no error is made when specifying model numbers or product
designations.

Examples

E.g. 1 Floor tiles shall be “Contempo” as manufactured by Kentile Corp.

A proprietary specification is allowed only under the conditions listed in Volume 4, Chapter 1
Approval of Materials

Proprietary specifications can be made “open” by adding the phrase “or equal”.

E.g. 2 Globe Valves: All bronze, union bonnet, Walworth No. 95 or 96; Kennedy Fig. 89 or 90; Crane
No. 7 or 17, or equal.
Proprietary Specifications

E.g. 3 Waterproof Glue: Polyvinyl acetate emulsion with 55% solids. “Wilhold” manufactured by
Acorn Adhesives; “Weldwood” manufactured by U.S. Plywood; or equal.

(1) At least two brand names of comparable quality or utility must be listed.

(2) Specifiers may use a format listing two brand names with only one model number. If this format is
used, the following conditions result.

(a) The bidders are informed of only one brand that they know will be accepted.

(b) The second named brands’ model must be determined by the bidder and approved by the
Owner’s Representative after the contract is let. Studies have shown the bidder will usually select
the first brand; thus competition is reduced and the bid may be increased.

(c) Since the Owner’s Representative has to approve the second brand, time delays may result.

(d) After award, the Owner’s Representative may have trouble requiring the Owner’s
Representative’s choice of a certain model number for the second brand to be used.

(3) The Facilities Manual clearly explains the exceptions to specifying two brands (Volume 4, Chapter 1).
However, there seems to be much confusion over these exceptions. The following explanation should
help.

(a) Naming only one brand followed by “or equal” is permissible if the specifier knows of only
one brand that will satisfy the use. The phrase, “No known equal” should follow the specification.

(b) Naming only one brand not followed by “or equal” is allowed only under the following
circumstances.

1) The product is to match an existing installation, such as, “Locks, floor surfaces.”
Terms such as, “Convenience for maintenance,” “the vendor gives us good service,” are
not valid reasons. These terms frequently appear in specifications. The phrase, “To match
existing” should follow the specification.

2) Use of a unique product is approved by the Office of the President.

3) Use of an experimental product is approved by The Regents.

An easy way to determine the valid use of items (a), (b)1), (b)2), or (b)3) is to ask yourself the questions:
Proprietary Specifications

Can I justify the specification at an Arbitration Hearing? Will I be able to honestly answer a
question directed at me by a contractor or an attorney representing a contractor?

(c) A combination of descriptive and proprietary methods may be used.

E.g. 4 Door louvers shall be aluminum Type NL-138 with push frame both sides of door, primed
finish, as manufactured by Construction Specialties, Inc., Aerolite, Co., or equal.

E.g. 5

SECTION 01 2500 - SUBSTITUTION PROCEDURES

PART 1 - GENERAL

1.1 SUMMARY

A. Section includes administrative and procedural requirements for substitutions.

B. Related Requirements:
1. Section 01 6000 "Product Requirements" for requirements for submitting comparable product
submittals for products by listed manufacturers.

1.2 DEFINITIONS

A. Substitutions: Changes in products, materials, equipment, and methods of construction from those
required by the Contract Documents and proposed by Contractor.

1.3 ACTION SUBMITTALS

A. Substitution Requests: Submit three copies of each request for consideration. Identify product or
fabrication or installation method to be replaced. Include Specification Section number and title
and Drawing numbers and titles.
1. Substitution Request Form: Use form acceptable to Architect.
2. Documentation: Show compliance with requirements for substitutions and the following, as
applicable:
a. Statement indicating why specified product or fabrication or installation cannot be
provided, if applicable.
Proprietary Specifications

b. Coordination information, including a list of changes or revisions needed to other

parts of the Work and to construction performed by Owner and separate contractors
that will be necessary to accommodate proposed substitution.
c. Detailed comparison of significant qualities of proposed substitution with those of the
Work specified. Include annotated copy of applicable Specification Section.
Significant qualities may include attributes such as performance, weight, size,
durability, visual effect, sustainable design characteristics, warranties, and specific
features and requirements indicated. Indicate deviations, if any, from the Work
specified.
d. Product Data, including drawings and descriptions of products and fabrication and
installation procedures.
e. Samples, where applicable or requested.
f. Certificates and qualification data, where applicable or requested.
g. List of similar installations for completed projects with project names and addresses
and names and addresses of architects and owners.
h. Material test reports from a qualified testing agency indicating and interpreting test
results for compliance with requirements indicated.
i. Research reports evidencing compliance with building code in effect for Project.
Detailed comparison of Contractor's construction schedule using proposed
substitution with products specified for the Work, including effect on the overall
j. Contract Time. If specified product or method of construction cannot be provided
within the Contract Time, include letter from manufacturer, on manufacturer's
letterhead, stating date of receipt of purchase order, lack of availability, or delays in
delivery.
k. Cost information, including a proposal of change, if any, in the Contract Sum.
l. Contractor's certification that proposed substitution complies with requirements in
the Contract Documents except as indicated in substitution request, is compatible
with related materials, and is appropriate for applications indicated.
m. Contractor's waiver of rights to additional payment or time that may subsequently
become necessary because of failure of proposed substitution to produce indicated
results.
3. Architect's Action: If necessary, Architect will request additional information or
documentation for evaluation within seven (7) days of receipt of a request for substitution.
Architect will notify Contractor of acceptance or rejection of proposed substitution within
Proprietary Specifications

fifteen (15) days of receipt of request, or seven (7) days of receipt of additional information
or documentation, whichever is later.
a. Forms of Acceptance: Change Order, Construction Change Directive, or Architect's
Supplemental Instructions for minor changes in the Work.
b. Use product specified if Architect does not issue a decision on use of a proposed
substitution within time allocated.
1.4 QUALITY ASSURANCE
A. Compatibility of Substitutions: Investigate and document compatibility of proposed
substitution with related products and materials. Engage a qualified testing agency to perform
compatibility tests recommended by manufacturers.

PART 2 - PRODUCTS

2.1 SUBSTITUTIONS
A. Substitutions for Cause: Submit requests for substitution immediately on discovery of need for
change, but not later than fifteen (15) days prior to time required for preparation and review of
related submittals.
1. Conditions: Architect will consider Contractor's request for substitution when the following
conditions are satisfied:
a. Requested substitution is consistent with the Contract Documents and will produce
indicated results.
b. Requested substitution provides sustainable design characteristics equivalent or greater
than the specified product provided.
c. Requested substitution will not adversely affect Contractor's construction schedule.
d. d. Requested substitution has received necessary approvals of authorities having
jurisdiction.
e. Requested substitution is compatible with other portions of the Work.
f. Requested substitution has been coordinated with other portions of the Work.
g. Requested substitution provides specified warranty.
h. If requested substitution involves more than one contractor, requested substitution has
been coordinated with other portions of the Work, is uniform and consistent, is
compatible with other products, and is acceptable to all contractors involved.
B. Substitutions for Convenience: Architect will consider requests for substitution if received within
60 days after the Notice to Proceed.
Proprietary Specifications

1. Conditions: Architect will consider Contractor's request for substitution when the following
conditions are satisfied:
a. Requested substitution offers Owner a substantial advantage in cost, time, energy
conservation, or other considerations, after deducting additional responsibilities Owner
must assume. Owner's additional responsibilities may include compensation to Architect
for redesign and evaluation services, increased cost of other construction by Owner, and
similar considerations.
b. Requested substitution does not require extensive revisions to the Contract Documents.
c. Requested substitution is consistent with the Contract Documents and will produce
indicated results.
d. Requested substitution provides sustainable design characteristics that are equivalent or
greater than specified product provided.
e. Requested substitution will not adversely affect Contractor's construction schedule.
f. Requested substitution has received necessary approvals of authorities having
jurisdiction.
g. Requested substitution is compatible with other portions of the Work.
h. Requested substitution has been coordinated with other portions of the Work.
i. Requested substitution provides specified warranty.
j. If requested substitution involves more than one contractor, requested substitution has
been coordinated with other portions of the Work, is uniform and consistent, is
compatible with other products, and is acceptable to all contractors involved.