013300 Submittal Procedures.docx

Project Name Project Location PCN #

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SECTION 013300 - SUBMITTAL PROCEDURES

GENERAL

SUMMARY

This Section includes certain administrative and procedural requirements for shop drawings, coordination drawings, schedules, samples and certain other quality assurance submittals.

This section does not include requirements for the following submittals that are included in their specific sections:

Delete subparagraphs where referenced sections are not included herein.

Inspection and test reports specified in Division 1 Section "Quality Control."

Warranties specified in Division 1 Section "Product Requirements."

Closeout submittals specified in Division 1 Section "Closeout Procedures."

Record documents specified in Division 1 Section "Project Record Documents."

Operation, maintenance and instruction manuals specified in Division 1 Section "Operation and Maintenance Documentation."

Reports, schedules and other submittals specified in Division 1 Section "Construction Progress Documentation".

Shop drawings, coordination drawings and schedules are further categorized and defined as follows:

Shop drawings include drawings and schedules prepared for specific parts of the project, except for coordination drawings.

Coordination drawings are specified in Division 1 Section "Project Management and Coordination."

Product data includes manufacturer's standard catalogs, pamphlets and other printed materials that show and describe materials and items, and includes but is not limited to the following:

Product specifications.

Installation instructions.

Color charts.

Catalog cuts.

Rough-in diagrams and templates.

Wiring diagrams.

Performance curves.

Operational range diagrams.

Mill reports.

Samples of actual materials and items shall be provided at such scale to allow delivery for review, as well as for field samples or mock-ups of full-size physical examples erected on-site or elsewhere, to establish a true-scale standard by which the corresponding work will be judged or a standard for compliance testing.

Other quality assurance submittals include materials specifically prepared for the project, except drawings and schedules, and include but are not limited to the following:

Design data and calculations.

Certifications of compliance or conformance.

Manufacturer's instructions and field reports.

Approvals do not supersede requirements of the contract documents.

GENERAL SUBMITTAL REQUIREMENTS

Revise the number of calendar days in the second sentence of the following paragraph if required to suit the size of the project.

Coordination: Coordinate preparation and processing of submittals with performance of construction activities and with the Submittal Schedule specified in Division 1 Section "Construction Progress Documentation". Unless otherwise specified, submittals shall be transmitted via GSA’s electronic Project Management (ePM) system as PDF electronic files to GSA according to the contractor’s approved construction schedule and submittal schedule. . Transmit each submittal sufficiently in advance of the scheduled performance of related construction activities to avoid delaying the Work, allowing for the review times specified for submittals.

Coordinate each submittal with other submittals and related activities that require sequential scheduling, to allow for testing, purchase, fabrication and product delivery in a timely manner.

Schedule transmittal of different categories of submittals for the same element of Work and for different elements of related parts of the Work at the same time. Notwithstanding the foregoing sentence, the Contractor shall provide a complete submittal package for each Division of the specification so as to enable the Government to review the related sections together. Coordinate submittals to enable approvals and acceptances so as not to inhibit orderly progress of the Work.

Post electronic submittals as PDF electronic files directly to the ePM system specifically established for the Project. GSA will return annotated file. Annotate and retain one copy of file as an electronic project record document file.

Allow sufficient time for submittal review, corrections following the initial review, and re-submittal review before activities scheduled after the submittal approval.

Failure on the part of the Contractor to indicate approval or acceptance on submittals prior to submission to Contracting Officer will result in their being returned to the Contractor without being acted upon.

Any resubmission required after Government review shall be made within 10 calendar days after return of the submittal, unless specifically authorized otherwise by GSA.

Submittals which are determined to be incomplete or otherwise substandard will be returned to the Contractor with no further review. Delays due to incomplete or rejected submittals will not be excused.

Construction will not be allowed to proceed if submittals are not received in a timely manner, and will not result in an extension to the Contractor's Construction Schedule.

Failure by the Contractor to provide the required submittals in a timely manner may result in withheld payments until submittals are up-to-date.

Maintain one complete set of submittals at project site.

Maintain an organized submittal register at project site. This will be an agenda item for progress meetings.

The contractor to schedule and allow a minimum of ten working days for the Architect/Engineer submittal review. The comment period initiates upon the receipt of the submittal by the office performing the primary review. The period commences upon issue of the submittal by the office performing the primary review. In the event the architect/engineer receives an extraordinary lengthy or complex submittal whose review may not be able to be accomplished within the stipulated submittal review period, architect/engineer to notify the Construction Manager Agency (CMa) in writing with a request for extended review period within 3 working days of receipt of the submittal. Such submittals may include structural steel, curtain wall, or complex systems requiring coordination with other systems.

GSA policy is to use electronic submittals unless unusual project requirements stipulate paper copies.

Submittal Identification and Information: Identify and incorporate information in each electronic submittal file as follows:

Requirement in first subparagraph below can be performed automatically using PDF publishing software.

Assemble each submittal item into a single indexed file incorporating submittal requirements of a single Specification Section and transmittal form with links enabling navigation to each submittal item.

Name file with submittal number or other unique identifier, including revision identifier.

File name shall use Contract number and Specification Section number followed by a decimal point and then a sequential number (e.g., LNHS-061000.01). Re-submittals shall include an alphabetic suffix after another decimal point (e.g., LNHS-061000.01.A).

Provide means for insertion to permanently record Contractor's review and approval markings and action taken by GSA.

[Coordinate with ePM 013000 section and regional ePM team.] Transmittal Form for Electronic Submittals: Use software-generated form from electronic project management software acceptable to GSA.

Revise list below to suit Project.

Project name.

GSA project number.

Date.

Name and address of Architect.

Name of Contractor.

GSA contract number.

Name of firm or entity that prepared submittal.

Names of subcontractor, manufacturer, and supplier.

Category and type of submittal.

Submittal purpose and description.

Specification Section number and title.

Specification paragraph number or drawing designation and generic name for each of multiple items.

Drawing number and detail references, as appropriate.

Location(s) where product is to be installed, as appropriate.

Related physical samples submitted directly.

Indication of full or partial submittal.

Transmittal number, numbered consecutively.

Submittal and transmittal distribution record.

Other necessary identification.

Include the following information as keywords in the electronic file metadata:

Revise list below to suit Project database requirements.

Project name.

GSA project number.

Contract number.

Number and title of appropriate Specification Section.

Specification paragraph number and generic name of each item.

Manufacturer name.

Product name and model number.

SHOP DRAWINGS AND COORDINATION DRAWINGS

Submit originally prepared information, drawn accurately to scale. Do not reproduce Contract Documents or copy standard printed materials as the basis for Shop Drawings and Coordination Drawings.

Include at minimum the following information on Shop Drawings and Coordination Drawings:

Dimensions.

Identification of products and materials.

Compliance with specified standards.

Notation of coordination requirements.

Notation of dimensions established by field measurements.

Highlighted or encircled deviations from the Contract Documents.

Select english or metric measurements in the following subparagraph.

Sheet size: Except for templates, patterns and similar full-size drawings, submit Shop Drawings and Coordination Drawings on sheets of at least 8-1/2 by 11 inches (215 by 280 mm) but no larger than 30 by 40 inches (750 by 1000 mm).

Edit numbers of prints in the following two paragraphs and subparagraphs, if required to suit project.

Submittals: Unless otherwise indicated, submit one electronic file (.pdf) of each drawing submittal through ePM. The file will be marked with action taken and returned.

Distribution: When submittal is approved or accepted, Contractor shall prepare final electronic files, for the following purposes.

One file shall be marked and retained as a "Record Document."

Unless otherwise requested, one file shall be provided to the Contracting Officer.

Additional prints shall be provided to the entities involved in the construction.

Prints will be included in the Operation and Maintenance manuals.

PRODUCT DATA

Collect Product Data into a single submittal for each system or element of construction. Mark each copy to show specific product choices and options applicable to the project. Product Data shall include the following information, where applicable:

Manufacturer's printed recommendations.

Compliance with recognized trade association standards.

Compliance with recognized testing standards.

Applicability of testing agency labels and seals.

Notation of dimensions verified for fit by field measurements.

Notation of coordination requirements.

Preliminary Submittal: Prior to submittal of complete Product Data, submit a preliminary single copy of that part of Product Data when selection of options is required, such as for color charts. Preliminary submittal will be returned, with selection noted, for the Contractor's use in subsequent submittals.

Submittals: Unless otherwise indicated, submit one electronic copy of each Product Data submittal. One original copy will be retained and a copy will be marked with action taken and returned to the contractor.

Distribution: When submittal is approved or accepted, Contractor shall distribute copies for the following purposes:

One copy shall be marked and retained as a "Record Document."

Additional copies shall be provided to the manufacturers, subcontractors, suppliers, installers, governing authorities and others as required for performance of the applicable construction activities.

Copies required for operation and maintenance manuals

SAMPLES

Submit full-size, fully fabricated samples, cured and finished in the manner specified. Samples shall be physically identical to the material or product proposed for use.

Mount, display, or package samples to facilitate review of kind, color, pattern, texture and other qualities indicated, as a final check of these characteristics with other elements and for comparison of these characteristics with those of the actual component delivered and installed.

Where variation in color, pattern, texture or other characteristic is inherent in the material or product, submit at least 3 multiple units that show approximate limits of the variations.

Refer to other specification sections for requirements for samples that illustrate workmanship, fabrication techniques, and details of assembly, connections, operations and similar construction characteristics.

Refer to other specification sections for samples to be returned to the Contractor for incorporation in the Work. Such samples must be in undamaged condition at time of use.

Preliminary Submittal: Where color, pattern, texture or similar characteristics are specified to be selected from a manufacturer's range of standard choices, submit a preliminary single set sample of available choices prior to submittal of the complete sample. Preliminary submittal will be returned, with selection noted, for the Contractor's use in subsequent submittals.

Submittals: Unless otherwise indicated and except for field samples or mock-ups of full-size physical examples erected on-site or elsewhere, submit not less than [Edit] three (3) or [_X_] sets of each sample submittal. One copy will be marked with action taken and returned. Comply with requirements in the individual specification section for field samples and mockups.

Distribution: Except for field samples or mockups, when submittal is approved, Contractor shall distribute approved copies for the following purposes:

One copy shall be marked and retained as a "Record Document" at the Project Site, and shall be available for comparison throughout the course of construction activity.

Additional copies shall be provided to manufacturers, subcontractors, suppliers, installers, governing authorities and others as required for performance of the applicable construction activities.

OTHER QUALITY CONTROL SUBMITTALS

Submit other quality control submittals in compliance with requirements in the individual specification sections, including Division 1.

Certifications: Submit notarized certifications indicating compliance with specified requirements. Certifications shall be signed by an individual authorized to sign on behalf of the Contractor.

Add paragraphs for any special submittals not covered otherwise.

REVIEW ACTION ON SUBMITTALS

For electronic submittals, Submit electronic submittals via ePM as PDF electronic files.

GSA will return annotated file. Annotate and retain one copy of file as an electronic Project record document file.

Compliance with specified characteristics is the Contractor's responsibility, and is not part of the Contracting Officer's review and indication of action taken.

The contract documents shall prevail in case of review action conflict.

Submittals without approval or acceptance shall not be used.

Action Stamp:

[Team to decide if paper submittals are required and how many.] For paper or non-electronic submittal: Each submittal will be stamped with a uniform action stamp. The stamp shall be marked to indicate one of the following actions taken:

For electronic submittal: Provide a digital signature with digital certificate on electronically submitted certificates and certifications where indicated. For notarized signature if required, provide paper copies for signature.

Final Unrestricted Release: Where marked "Approved" or "Accepted", the work covered by the submittal may proceed, provided it complies with the requirements of the Contract Documents.

Final But Restricted Release: Where marked "Approved " or "Accepted" "As Noted", the work covered by the submittal may proceed, provided it complies with the notations or corrections on the submittal and with the requirements of the Contract Documents.

Return for Re-submittal: Where marked "Not Approved" or "Not Accepted", Revise and Resubmit", do not proceed with the work covered by the submittal, including purchasing, fabrication, delivery or any other activity. Revise or prepare a new submittal according to the notations on the submittal or on the return transmittal. Resubmit without delay, repeating as necessary to obtain a final release action mark.

No Action: Where a submittal is for the record or for information or for another purpose not requiring review action, the submittal may not be returned or may be returned and marked "Action Not Required."

Product Data: Collect information into a single submittal for each element of construction and type of product or equipment.

If information must be specially prepared for submittal because standard published data are not suitable for use, submit as Shop Drawings, not as Product Data.

Mark each copy of each submittal to show which products and options are applicable.

Include the following information as applicable:

Manufacturer's catalog cuts.

Manufacturer's product specifications.

Standard color charts.

Statement of compliance with specified referenced standards.

Testing by recognized testing agency.

Application of testing agency labels and seals.

Notation of coordination requirements.

Availability and delivery time information.

For equipment, include the following in addition to the above, as applicable:

Wiring diagrams showing factory-installed wiring.

Printed performance curves.

Operational range diagrams.

Clearances required to other construction, if not indicated on accompanying Shop Drawings.

Submit Product Data before or concurrent with Samples.

Retain subparagraph below unless default submittal format specified elsewhere applies.

Submit Product Data in the following format:

PDF electronic file.

SUBSTITUTION REQUEST PROCEDURES

Substitution Requests: See section 012500 Substitution Procedures EXECUTION (Not Applicable)

END OF SECTION 013300

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