01 33 00 Submittal Procedures.pdf

Port of Albany Turning Basin, Hudson River, NY Federal Navigation Project 2021

SECTION 01 33 00 Page 1

PART 1 GENERAL

1.1 SUMMARY

SECTION 01 33 00

SUBMITTAL PROCEDURES

03/21

The Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections.

Units of weights and measures used on all submittals are to be the same as those used in the contract drawings.

Each submittal is to be complete and in sufficient detail to allow ready determination of compliance with contract requirements.

Contractor's Quality Control (CQC) System Manager and the Designer of

Record, if applicable, to check and approve all items prior to submittal and stamp, sign, and date indicating action taken. Proposed deviations from the contract requirements are to be clearly identified. Include within submittals items such as: Contractor's, manufacturer's, or fabricator's drawings; descriptive literature including (but not limited

to) catalog cuts, diagrams, operating charts or curves; test reports; test cylinders; samples; O&M manuals (including parts list); certifications;

warranties; and other such required submittals.

Submittals requiring Government approval are to be scheduled and made prior to the acquisition of the material or equipment covered thereby. Pick up and dispose of samples not incorporated into the work in accordance with manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.

1.2 DEFINITIONS

1.2.1 Submittals

Contract Clauses "FAR 52.236-5, Material and Workmanship", paragraph (b) and "FAR 52.236-21, Specifications and Drawings for Construction", paragraphs (d), (e) and (f) apply to ALL submittals.

1.2.2 Submittal Descriptions (SD)

Submittals requirements are specified in the technical sections.

Submittals are identified by Submittal Description (SD) numbers and titles as follows:

SD-01 Preconstruction Submittals

Submittals, which are required prior to the start of construction

(work) and for each next major phase of the construction on a multi-phase contract. Preconstruction submittal includes schedules, tabular list of data, or tabular list including location, features, or other pertinent information regarding products, materials, equipment, or components to be used in the work.

SECTION 01 33 00 Page 2

Preconstruction Submittals shall be submit to the Contracting Officer or Contracting Officer Representative at least seven (7) days prior to the preconstruction conference. Government approval is required for submittals with a "G" designation; submittals not having a "G" designation are for information only. When used, a designation following the "G" designation identifies the office that will review the submittal for the Government. Submit the following:

Certification of Insurance; G

Surety Bond; G

List Of Proposed Subcontractors; G

Order of Work; G The Contractor's order of work for dredging and performing other work, including disposal area plan.

Work To Be Performed By The Contractor; G, Subcontracting Plan; G

Progress Schedule; G

Submittal Register; G

Letter Appointing Superintendent; G

Activity Hazard Analysis; G See Section 01 35 26, GOVERNMENTAL SAFETY

REQUIREMENTS

Accident Prevention Plan; G See Section 01 35 26, GOVERNMENTAL SAFETY

REQUIREMENTS

Work Plan; G

Quality Control (QC) plan, G See Section 01 45 00.00 20

Environmental Protection Plan; G

Notice to Mariners; G

Dredged Material Placement and Mitigation Plan; G See Section 01 20 00, Technical Specifications

SD-02 Shop Drawings

Drawings, diagrams and schedules specifically prepared to illustrate some portion of the work.

Diagrams and instructions from a manufacturer or fabricator for use in producing the product and as aids to the Contractor for integrating the product or system into the project.

Drawings prepared by or for the Contractor to show how multiple systems and interdisciplinary work will be coordinated.

SD-06 Test Reports

Report signed by authorized official of testing laboratory that a material, product or system identical to the material, product or system to be provided has been tested in accord with specified requirements. (Testing must have been within three years of date of contract award for the project.)

Report which includes findings of a test required to be performed by the Contractor on an actual portion of the work or prototype prepared for the project before shipment to job site.

Report which includes finding of a test made at the job site or on sample taken from the job site, on portion of work during or after installation.

Investigation reports.

SECTION 01 33 00 Page 3

Daily logs and checklists.

Final acceptance test and operational test procedure.

SD-07 Certificates

Statements printed on the manufacturer's letterhead and signed by responsible officials of manufacturer of product, system or material attesting that product, system or material meets specification requirements. Must be dated after award of project contract and clearly name the project.

Document required of Contractor, or of a manufacturer, supplier, installer or Subcontractor through Contractor, the purpose of which is to further quality of orderly progression of a portion of the work by documenting procedures, acceptability of methods or personnel qualifications.

Confined space entry permits.

Text of posted operating instructions.

SD-11 Closeout Submittals

Documentation to record compliance with technical or administrative requirements or to establish an administrative mechanism.

Special requirements necessary to properly close out a construction contract. For example, Record Drawings and as-built drawings. Also, submittal requirements necessary to properly close out a major phase of construction on a multi-phase contract.

Interim "DD Form 1354" with cost breakout for all assets 30 days prior to facility turnover.

1.2.3 Approving Authority

Office or designated person authorized to approve submittal.

1.2.4 Work

As used in this section, on- and off-site construction required by contract documents, including labor necessary to produce submittals, except those

SD-01 Pre-Construction Submittals noted above construction, materials, products, equipment, and systems incorporated or to be incorporated in such construction.

1.3 SUBMITTALS

Government approval is required for submittals with a "G" designation;

submittals not having a "G" designation are for information only or as otherwise designated. When used, a designation following the "G" designation identifies the office that will review the submittal for the

Government. The following shall be submitted in accordance with Section

01 33 00 SUBMITTAL PROCEDURES.

SD-01 Preconstruction Submittals

Order of work;

SECTION 01 33 00 Page 4

Accident prevention plan; G

Quality control plan; G

Letter appointing superintendent;

List of subcontractors;

Environmental protection plan; G

Progress schedule; G

Submittal register;

List of proposed products; G

Work plan;

Dredged Material Placement and Mitigation Plan; G

1.4 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.4.1 Government Approved (G)

Government approval is required of extensions of design, critical materials, deviations, equipment whose compatibility with the entire system must be checked, and other items as designated by the Contracting Officer.

Within the terms of the contract clause entitled "Specifications and

Drawings for Construction they are considered to be shop drawings".

1.4.2 For Information Only

All submittals not requiring government approval will be for information only. They are not considered to be "Shop Drawings" within the terms of the contract clause referred above.

1.5 PREPARATION

1.5.1 Transmittal Form

Use the ENG Form 4025 transmittal form for submitting both

Government-approved and information-only submittals. Submit in accordance with the instructions on the reverse side of the form. These forms are included in the RMS CM software that the Contractor is required to use for this contract. Properly complete this form by filling out all the heading blank spaces and identifying each item submitted. Exercise special care to ensure proper listing of the specification paragraph and sheet number of the contract drawings pertinent to the data submitted for each item.

1.5.2 Submittal Format

When the submittal includes a document that is to be used in the project, or is to become part of the project record, other than as a submittal, do not apply the Contractor's approval stamp to the document itself, but to a separate sheet accompanying the document.

Provide data in the unit of measure used in the contract documents.

1.5.3 Electronic File Format

Provide submittals in electronic format, with the exception of material samples required for SD-04 Samples items. In addition to the electronic submittal, provide three hard copies of the submittals, when requested.

Compile the submittal file as a single, complete document, to include the

Transmittal Form described within. Name the electronic submittal file specifically according to its contents, and coordinate the file naming

SECTION 01 33 00 Page 5 convention with the Contracting Officer. Electronic files must be of sufficient quality that all information is legible. Use PDF as the electronic format, unless otherwise specified or directed by the

Contracting Officer. Generate PDF files from original documents with bookmarks so that the text included in the PDF file is searchable and can be copied. If documents are scanned, optical character resolution (OCR) routines are required. Index and bookmark files exceeding 30 pages to allow efficient navigation of the file. When required, the electronic file must include a valid electronic signature or a scan of a signature.

E-mail electronic submittal documents smaller than 10MB to an e-mail address as directed by the Contracting Officer. Provide electronic documents over 10 MB on an optical disc or through an electronic file sharing system such as the AMRDEC SAFE Web Application located at the following website: https://safe.amrdec.army.mil/safe/.

1.6 QUANTITY OF SUBMITTALS

1.6.1 Number of SD-01 Preconstruction Submittal Copies

Unless otherwise specified, submit electronically and 2 sets of administrative submittals.

1.7 INFORMATION ONLY SUBMITTALS

Submittals without a "G" designation must be certified by the QC manager and submitted to the Contracting Officer for information-only. Approval of the Contracting Officer is not required on information only submittals. The Contracting Officer will mark "receipt acknowledged" on submittals for information and will return only the transmittal cover sheet to the Contractor. Normally, submittals for information only will not be returned. However, the Government reserves the right to return unsatisfactory submittals and require the Contractor to resubmit any item found not to comply with the contract. This does not relieve the

Contractor from the obligation to furnish material conforming to the plans and specifications; will not prevent the Contracting Officer from requiring removal and replacement of nonconforming material incorporated in the work; and does not relieve the Contractor of the requirement to furnish samples for testing by the Government laboratory or for check testing by the Government in those instances where the technical specifications so prescribe.

1.8 SUBMITTAL REGISTER

In Section 00 09 01 Attachment L is an example of the "SUBMITTAL REGISTER (ENG Form 4288)", showing items of equipment and materials for which submittals are required by the project specifications; this list may not be all inclusive and additional submittals may be required. The Contractor is responsible for providing a complete submittal register as a pre-construction requirement and shall maintain a submittal a register for the project.

1.9 APPROVED SUBMITTALS

The Contracting Officer approval of submittals shall not be construed as a complete check, but will indicate only that the general method of construction, materials, detailing and other information are satisfactory.

Approval will not relieve the Contractor of the responsibility for any error which may exist, as the Contractor under the Contractor Quality

SECTION 01 33 00 Page 6

Control (CQC) requirements of this contract is responsible for dimensions, the design of adequate connections and details, and the satisfactory construction of all work. After submittals have been approved by the contracting officer, no resubmittal for the purpose of substituting materials and equipment will be considered unless accompanied by an explanation of why substitution is necessary.

1.10 DISAPPROVED SUBMITTALS

The Contractor shall make all corrections required by the Contracting

Officer and promptly furnish a corrected submittal in the form and number of copies specified for the initial submittal. If the Contractor considers any correction indicated on the submittals to constitute a change to the contract, a notice in accordance with the contract clause "Changes" shall be given promptly to the Contracting officer.

1.11 WITHHOLDING OF PAYMENT

Payment for materials incorporated in the work will not be made if required approvals have not been obtained.

1.12 GENERAL

The Contractor shall make submittals as required by the project specifications. The Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections. Units of weights and measures used on all submittals shall be the same as those used in the contract drawings.

Each submittal shall be complete and in sufficient detail to allow ready determination of compliance with contract requirements. prior to submittal, all items shall be checked and approved by the Contractor's

Quality Control (CQC) System Manager and each item shall be stamped, signed and dated by the CQC System Manager indicating action taken. Proposed deviations from the contract requirements shall be clearly identified.

Submittals shall include items such as: Contractor's, manufacturer's, or fabricators drawings, descriptive literature including (but not limited to) catalog cuts, diagrams, operating charts, or curves; test reports, test cylinders, samples, O&M manuals (including par list); certifications, warranties, and other such required submittals. Submittals requiring

Government approvals shall be scheduled and made prior to the acquisition of the material or equipment covered thereby. Samples remaining upon completion of the work shall be picked up and disposed of in accordance with product manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.

1.13 SUBMITTAL REGISTER

In Section 00 90 01 Attachment L is an example of the "SUBMITTAL REGISTER (ENG Form 4288)", showing items of equipment and materials for which submittals are required by the project specifications; this list may not be all inclusive and additional submittals may be required. The Contractor is responsible for providing a complete submittal register as a pre-construction requirement and shall maintain a submittal a register for the project.

1.14 SCHEDULING

Submittals covering component items forming a system or items that are interrelated shall be scheduled to be coordinated and submitted

SECTION 01 33 00 Page 7 concurrently. Certifications to be submitted with the pertinent drawings shall be so scheduled. Adequate time (a minimum of 7 calendar days exclusive of mailing time) shall be allowed and shown on the register for review and approval. No delay damages or time extension will be allowed for time lost in late submittals. An additional 7 calendar days shall be allowed and shown on the register for review and approval.

1.15 TRANSMITTAL FORM (ENG FORM 4025)

ENG Form 4025 shall be used as cover for submitting both Government approved and for information only submittals in accordance with the instructions on the reverse of the form. Contractor will not consolidate submittal items from different specifications sections under a single submittal form. For more information about Contractor use of ENG Form 4025, see Department of the Army Regulation No. 415-1-10.

1.16 SUBMITTAL PROCEDURES

Submittals shall be made as follow

1.16.1 Procedures

Not Used.

1.16.2 Deviations

For submittals which include proposed deviations requested by the

Contractor, the column "variation" of ENG Form 4025 shall be checked. The

Contractor shall set forth in witting the reason for any deviations and annotate such deviations on the submittal. The Government reserves the right to rescind inadvertent approval of submittals containing unnoted deviations.

1.17 CONTROL OF SUBMITTALS

The Contractor shall carefully control his procurement operations to ensure that each individual submittal is made on or before the Contractor scheduled submittal date shown on the approved "Submittal Register".

1.18 GOVERNMENT APPROVED SUBMITTALS

Upon completion of review of submittals requiring Government approval, the submittals will be identified as having received approval by being so stamped and dated. 2 copies of the submittal will be retained by the

Contracting Officer and 1 copy of the submittal will be returned to the

Contractor.

1.19 INFORMATION ONLY SUBMITTALS

Normally submittals for information only will not be returned. Approval of the Contracting Officer is not required on information only submittals.

However, the Government reserves the right to require the Contractor to re-submit any item found not to comply with the contract. This does not relieve the Contractor from the obligation to furnish material conforming to the Plans and Specifications; will not prevent the Contracting Officer from requiring removal and replacement of nonconforming materials incorporated in the work; and does not relieve the contract of the requirement to furnish samples for testing by the Government laboratory or for check testing by the Government on those instances where the technical

SECTION 01 33 00 Page 8 specifications so prescribe.

1.20 STAMPS

Certification Stamp: Stamps used by the Contractor on the submittal data to certify that the submittal meets contract requirements shall have a similar format to the following sample:

| CONTRACTOR |

| (Firm Name) |

| Approved |

| Approved with corrections as noted on submittal data and/or |

| attached sheets(s) |

| SIGNATURE: |

| TITLE: |

| DATE: |

PART 2 PRODUCTS

PART 3 EXECUTION

-- End of Section --