Division 23 Heating, Ventilating, and Air Conditioning (HVAC)
Missing Certification or Compliance Documentation in Division 23 Heating, Ventilating, and Air Conditioning (HVAC) submittals
Short answer
A required listing, test report, certification, or compliance document is absent from the submittal package. Default grade in Division 23 Heating, Ventilating, and Air Conditioning (HVAC): Fix and Resubmit.
A required listing, test report, certification, or compliance document is absent from the submittal package. This guide covers how it shows up specifically in Division 23 Heating, Ventilating, and Air Conditioning (HVAC) submittals.
What to look for in Division 23 Heating, Ventilating, and Air Conditioning (HVAC)
Required certifications in HVAC submittals:
- AHRI (Air-Conditioning, Heating, and Refrigeration Institute) certification - the gold standard for HVAC equipment capacity verification. Absence of AHRI certified rating is a common blocker.
- UL listing (UL 1995 for HVAC equipment, UL 181 for duct systems, UL 555/555S for fire/smoke dampers)
- ASHRAE 90.1 compliance (energy efficiency requirements)
- ASHRAE 62.1 compliance (ventilation/IAQ)
- AMCA (Air Movement and Control Association) certification for fans and dampers
- SMACNA (Sheet Metal and Air Conditioning Contractors' National Association) compliance for duct construction
- NFPA 90A compliance (air conditioning and ventilation systems)
- Seismic certification (IBC Chapter 13, ASCE 7, OSHPD for California)
- Sound test reports per AHRI Standard 260/270/370
- Factory performance test reports for chillers, AHUs, cooling towers
- TAB (Testing, Adjusting, and Balancing) agency certification (AABC, NEBB, or TABB)
- EPA Section 608 certification for refrigerant handling
- Buy America / Buy American compliance documentation
- LEED documentation - refrigerant GWP calculations, energy modeling inputs
- Warranty documentation - compressor warranty terms, parts/labor coverage period
How severe is it?
Default grade: Fix and Resubmit. Escalates to Blocker when the missing document is a code or life-safety requirement (UL listing, fire rating).
Deviation Check assigns a default per category and escalates or de-escalates based on the spec, always showing its reasoning. See the Division 23 severity rules.
What the PM should do
Stamp the submittal Revise and Resubmit. Mark the deviation, return the relevant spec passage as a redline, and have the sub correct and re-send before fabrication or installation.
Other deviation categories in Division 23
Frequently asked questions
What certifications are most often missing from Division 23 HVAC submittals, and which ones escalate a deviation to Blocker status?
AHRI certified ratings certificates are the most frequently absent item and are the gold standard for HVAC capacity verification. UL 1995 for HVAC equipment, UL 181 for duct systems, and UL 555/555S for fire and smoke dampers escalate to Blocker because they are code and life-safety requirements. AMCA certification for fans and dampers and SMACNA compliance for duct construction are also commonly required and frequently omitted.
How do seismic and TAB agency certifications factor into the missing-certification review in Division 23 HVAC submittals?
Seismic certification under IBC Chapter 13 and ASCE 7 - or OSHPD for California projects - must appear in the submittal package for equipment subject to those requirements. TAB agency certification from AABC, NEBB, or TABB is a separate required document. ASHRAE 62.1 ventilation compliance and ASHRAE 90.1 energy efficiency compliance documentation round out the certification checklist; LEED projects additionally require refrigerant GWP calculations.
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