01330 SUBMTL PROCEDURES 100.doc

04-436

08-827A

SECTION 01330 - SUBMITTAL PROCEDURES

PART 1 - GENERAL

1.1 RELATED DOCUMENTS

A. Drawings and general provisions of the Contract, including Sections A through M of the Contract and other Division 1 Specification Sections, apply to this Section.

1.2 SUMMARY

A. This Section includes administrative and procedural requirements for submitting Shop Drawings, Product Data, Samples, and other miscellaneous submittals.

B. Related Sections include the following:

1. Section G-2, “Pay Process” for submitting Applications for Payment.

2. Section G-2 “Payment Process and F.A.R. 52.232-5 for “Schedule of Values.”

3. Section H, “Performance and payment bonds.”

4. Section H, “Insurance” for insurance certificates.

5. Division 1 Section "Project Management and Coordination" for submitting Coordination Drawings.

6. Division 1 Section "Construction Progress Documentation" for submitting schedules and reports, including Contractor's Construction Schedule and construction photographs.

7. Division 1 Section "Quality Requirements" and F.A.R. 52.246-12 for submitting test and inspection reports and Delegated-Design Submittals.

8. Division 1 Section "Closeout Procedures" for submitting warranties Project Record Documents and operation and maintenance manuals.

1.3 DEFINITIONS

A. Action Submittals: Written and graphic information that requires Contracting Officer's responsive action.

B. Informational Submittals: Written information that does not require Contracting Officer's approval. Submittals may be rejected for not complying with requirements.

1.4 SUBMITTAL PROCEDURES

A. General: Electronic copies of CAD Drawings of the Contract Drawings will not be provided by Contracting Officer for Contractor's use in preparing submittals.

B. Submittal Log: The Contracting Officer will provide a draft Submittal Log that summarizes the submittal requirements of the individual Specification Sections. The draft log will be provided at the Preconstruction Meeting and it will be available electronically. The provision of the Log by the Contracting Officer does not relieve the Contractor from his responsibility to provide all submittals whether they are listed in the log or not.

C. Coordination: Coordinate preparation and processing of submittals with performance of construction activities.

1. Coordinate each submittal with fabrication, purchasing, testing, delivery, other submittals, and related activities that require sequential activity.

2. Coordinate transmittal of different types of submittals for related parts of the Work so processing will not be delayed because of need to review submittals concurrently for coordination.

a. Contracting Officer reserves the right to withhold action on a submittal requiring coordination with other submittals until related submittals are received.

D. Routing: Contractor is to transmit submittals to :

Architects Design Group, PC at No. 1 Sunset Plaza, Kalispell, MT 59901.

1. Submittals will be reviewed by the A/E team and forwarded to the Project Officer for his action.

2. Copies of the submittal will be retained by the Architect, the consultant and the Project Officer. The remaining copies will be returned to the Contractor by Architects Design Group, PC with the Project Officer’s action indicated.

E. Processing Time: Allow enough time for submittal review, including time for resubmittals, as follows. Time for review shall commence on Contracting Officer's receipt of submittal.

1. Initial Review: Allow 20 days for initial review of each submittal required for Divisions 1 through 14. Allow 30 days for Divisions 15 and 16. Allow additional time if processing must be delayed to permit coordination with subsequent submittals. Contracting Officer will advise Contractor when a submittal being processed must be delayed for coordination.

2. Concurrent Review: Where concurrent review of submittals by Contracting Officer's consultants, the Government, or other parties is required, allow an additional 10 days for initial review of each submittal beyond what is noted above.

3. If intermediate submittal is necessary, process it in same manner as initial submittal.

4. Allow 20 days for each resubmittal required for Divisions 1 through 14. Allow 30 days for processing each resubmittal for Divisions 15 and 16.

5. No extension of the Contract Time will be authorized because of failure to transmit submittals enough in advance of the Work to permit processing.

F. Identification: Place a permanent label or title block on each submittal for identification.

1. Indicate name of firm or entity that prepared each submittal on label or title block.

2. Provide a space approximately 4 by 5 inches on label or beside title block to record Contractor's review and approval markings and action taken by Contracting Officer.

3. Include the following information on label for processing and recording action taken:

a. Project name.

b. Date.

c. Name and address of Architect.

d. Name and address of Contractor.

e. Name and address of subcontractor.

f. Name and address of supplier.

g. Name of manufacturer.

h. Number and title of appropriate Specification Section with sequential transmittal number as described below.

i. Unique identifier, including revision number.

j. Number and title of appropriate Specification Section.

k. Drawing number and detail references, as appropriate.

l. Other necessary identification.

G. Deviations: Highlight, encircle, or otherwise identify deviations from the Contract Documents on submittals.

H. Transmittal: Package each submittal individually and appropriately for transmittal and handling. Transmit each submittal using a transmittal form. Contracting Officer will return submittals, without review, received from sources other than the Contractor.

1. On an attached separate sheet, prepared on Contractor's letterhead, record relevant information, requests for data, revisions other than those requested by Contracting Officer on previous submittals, and deviations from requirements of the Contract Documents, including minor variations and limitations. Include the same label information as the related submittal.

2. Include Contractor's certification stating that information submitted complies with requirements of the Contract Documents.

3. Number Transmittals sequentially and include the specification section number as part of the transmittal serial number. (e.g. #34-03300)

a. Resubmittals will be number as a sequential decimal variation of the original submittal, e.g. #34.1-03300 is the first resubmittal, #34.2-03300 is the second re-submittal of the original.

4. Transmittal Form: Provide locations on form for the following information:

a. Project name.

b. Date.

c. Destination (To :).

d. Source (From :).

e. Names of subcontractor, manufacturer, and supplier.

f. Submittal purpose and description.

g. Remarks.

h. Signature of transmitter.

I. Distribution: Furnish copies of final submittals to manufacturers, subcontractors, suppliers, fabricators, installers, authorities having jurisdiction, and others as necessary for performance of construction activities. Show distribution on transmittal forms.

J. Use for Construction: Use only final submittals with mark indicating action taken by Contracting Officer in connection with construction.

PART 2 - PRODUCTS

2.1 ACTION SUBMITTALS

A. The requirements below are additive to the requirements included in Section H-Specifications Refer to Section 01900 for color selections and Drawings, F.A.R. 52.236-21, and Section H-Submittals. If there is a conflict, the preceding sections will control.

B. General: Prepare and submit Action Submittals required by individual Specification Sections.

1. Number of Copies: Submit 8 copies of each submittal, unless otherwise indicated. Contracting Officer and the Construction Contract Administrator, will retain a maximum of 3 copies; remainder will be returned through the Architect. Mark up and retain two returned copies for inclusion in the O&M.

C. Product Data: Collect information into a single submittal for each element of construction and type of product or equipment. (refer to F.A.R. 52-236-5)

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

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

3. Include the following information, as applicable:

a. Manufacturer's written recommendations.

b. Manufacturer's product specifications.

c. Manufacturer's installation instructions.

d. Standard color charts.

e. Manufacturer's catalog cuts.

f. Wiring diagrams showing factory-installed wiring.

g. Printed performance curves.

h. Operational range diagrams.

i. Mill reports.

j. Standard product operating and maintenance manuals.

k. Compliance with recognized trade association standards.

l. Compliance with recognized testing agency standards.

m. Application of testing agency labels and seals.

n. Notation of coordination requirements.

D. Shop Drawings: Prepare Project-specific information, drawn accurately to scale. Do not base Shop Drawings on reproductions of the Contract Documents or standard printed data.

1. Preparation: Include the following information, as applicable:

a. Dimensions.

b. Identification of products.

c. Fabrication and installation drawings.

d. Roughing-in and setting diagrams.

e. Wiring diagrams showing field-installed wiring, including power, signal, and control wiring.

f. Shopwork manufacturing instructions.

g. Templates and patterns.

h. Schedules.

i. Design calculations.

j. Compliance with specified standards.

k. Notation of coordination requirements.

l. Notation of dimensions established by field measurement.

2. Wiring Diagrams: Differentiate between manufacturer-installed and field-installed wiring.

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

E. Samples: Prepare physical units of materials or products, including the following (refer to F.A.R. 52.236-5):

1. Samples: Submit full-size units or Samples of size indicated, prepared from the same material to be used for the Work, cured and finished in manner specified, and physically identical with the product proposed for use, and that show full range of color and texture variations expected. Samples include, but are not limited to, the following: partial sections of manufactured or fabricated components; small cuts or containers of materials; complete units of repetitively used materials; swatches showing color, texture, and pattern; color range sets; and components used for independent testing and inspection.

2. Preparation: Mount, display, or package Samples in manner specified to facilitate review of qualities indicated. Prepare Samples to match Contracting Officer's sample where so indicated. Attach label on unexposed side that includes the following:

a. Specification Section number and transmittal serial number.

b. Generic description of Sample.

c. Product name or name of manufacturer.

d. Sample source.

3. Additional Information: On an attached separate sheet, prepared on Contractor's letterhead, provide the following:

a. Size limitations.

b. Compliance with recognized standards.

c. Availability.

d. Delivery time.

4. Submit Samples for review of kind, color, pattern, and texture for a final check of these characteristics with other elements and for a comparison of these characteristics between final submittal and actual component as delivered and installed.

a. If variation in color, pattern, texture, or other characteristic is inherent in the product represented by a Sample, submit at least three sets of paired units that show approximate limits of the variations.

b. Refer to individual Specification Sections for requirements for Samples that illustrate workmanship, fabrication techniques, details of assembly, connections, operation, and similar construction characteristics.

5. Submit three sets of Samples. Contracting Officer will retain two Sample sets; remainder will be returned

a. Submit a single Sample where assembly details, workmanship, fabrication techniques, connections, operation, and other similar characteristics are to be demonstrated.

6. Disposition: Maintain sets of approved Samples at Project site, available for quality-control comparisons throughout the course of construction activity. Sample sets may be used to determine final acceptance of construction associated with each set.

a. Samples that may be incorporated into the Work are indicated in individual Specification Sections. Such Samples must be in an undamaged condition at time of use.

b. Samples not incorporated into the Work, or otherwise designated as Owner's property, are the property of Contractor.

7. Refer to Section H-8 of the Solicitation for additional requirements.

F. Delegated-Design Submittal: Comply with requirements in Division 1 Section "Quality Requirements."

G. Application for Payment: Comply with requirements in Section G-2, “Pay Process.”

2.2 Schedule of Values: Comply with requirements in Section G-2 "Pay Process" and the following:

A. Coordination: Coordinate preparation of the Schedule of Values with preparation of Contractor's Construction Schedule.

1. Correlate line items in the Schedule of Values with other required administrative forms and schedules.

2. Submit the Schedule of Values to the Contracting Officer at earliest possible date but no later than seven days before the date scheduled for submittal of initial Applications for Payment.

B. Format and Content: Use the Project Manual table of contents as a guide to establish line items for the Schedule of Values. Provide at least one line item for each Specification Section.

1. Identification: Include the following Project identification on the Schedule of Values:

a. Project name and location.

b. Name of Architect.

c. Architect's project number.

d. Contractor's name and address.

e. Date of submittal.

2. Arrange the Schedule of Values in tabular form with separate columns to indicate the following for each item listed:

a. Related Specification Section or Division.

b. Description of the Work.

c. Dollar Value.

d. Amount previously billed.

e. Amount billed for this billing period.

f. Amount billed for stored materials.

g. Total amount complete

h. Percentage complete

i. Balance to finish.

1) Percentage of the Contract Sum to nearest one-hundredth percent, adjusted to total 100 percent.

3. Provide a breakdown of the Contract Sum in enough detail to facilitate continued evaluation of Applications for Payment and progress reports. Coordinate with the Project Manual table of contents. Provide several line items for principal subcontract amounts, where appropriate.

4. Round amounts to nearest whole dollar; total shall equal the Contract Sum.

5. Provide a separate line item in the Schedule of Values for each part of the Work where Applications for Payment may include materials or equipment purchased or fabricated and stored, but not yet installed.

6. Provide separate line items in the Schedule of Values for initial cost of materials, for each subsequent stage of completion, and for total installed value of that part of the Work.

7. Allowances: Provide a separate line item in the Schedule of Values for each allowance. Show line-item value of unit-cost allowances, as a product of the unit cost, multiplied by measured quantity. Use information indicated in the Contract Documents to determine quantities.

8. Each item in the Schedule of Values and Applications for Payment shall be complete. Include total cost and proportionate share of general overhead and profit for each item.

9. Schedule Updating: Update and resubmit the Schedule of Values before the next Applications for Payment when Change Orders or Construction Change Directives result in a change in the Contract Sum.

2.3 Subcontract List: Prepare a written summary identifying individuals or firms proposed for each portion of the Work, including those who are to furnish products or equipment fabricated to a special design. Refer to Section H. “Subcontracting”. Include the following information in tabular form:

A. Name, address, and telephone number of entity performing subcontract or supplying products.

B. Number and title of related Specification Section(s) covered by subcontract.

C. Drawing number and detail references, as appropriate, covered by subcontract.

2.4 INFORMATIONAL SUBMITTALS

A. General: Prepare and submit Informational Submittals required by other Specification Sections.

1. Number of Copies: Submit four copies of each submittal, unless otherwise indicated. Contracting Officer will not return copies.

2. Certificates and Certifications: Provide a notarized statement that includes signature of entity responsible for preparing certification. Certificates and certifications shall be signed by an officer or other individual authorized to sign documents on behalf of that entity.

3. Test and Inspection Reports: Comply with requirements in Division 1 Section "Quality Requirements."

B. Contractor's Construction Schedule: Comply with requirements in Division 1 Section "Construction Progress Documentation."

C. Qualification Data: Prepare written information that demonstrates capabilities and experience of firm or person. Include lists of completed projects with project names and addresses, names and addresses of Contracting Officers and owners, and other information specified.

D. Product Certificates: Prepare written statements on manufacturer's letterhead certifying that product complies with requirements.

E. Welding Certificates: Prepare written certification that welding procedures and personnel comply with requirements. Submit record of Welding Procedure Specification (WPS) and Procedure Qualification Record (PQR) on AWS forms. Include names of firms and personnel certified.

F. Installer Certificates: Prepare written statements on manufacturer's letterhead certifying that Installer complies with requirements and, where required, is authorized for this specific Project.

G. Manufacturer Certificates: Prepare written statements on manufacturer's letterhead certifying that manufacturer complies with requirements. Include evidence of manufacturing experience where required.

H. Material Certificates: Prepare written statements on manufacturer's letterhead certifying that material complies with requirements.

I. Material Test Reports: Prepare reports written by a qualified testing agency, on testing agency's standard form, indicating and interpreting test results of material for compliance with requirements.

J. Preconstruction Test Reports: Prepare reports written by a qualified testing agency, on testing agency's standard form, indicating and interpreting results of tests performed before installation of product, for compliance with performance requirements.

K. Compatibility Test Reports: Prepare reports written by a qualified testing agency, on testing agency's standard form, indicating and interpreting results of compatibility tests performed before installation of product. Include written recommendations for primers and substrate preparation needed for adhesion.

L. Field Test Reports: Prepare reports written by a qualified testing agency, on testing agency's standard form, indicating and interpreting results of field tests performed either during installation of product or after product is installed in its final location, for compliance with requirements.

M. Product Test Reports: Prepare written reports indicating current product produced by manufacturer complies with requirements. Base reports on evaluation of tests performed by manufacturer and witnessed by a qualified testing agency, or on comprehensive tests performed by a qualified testing agency.

N. Research/Evaluation Reports: Prepare written evidence, from a model code organization acceptable to authorities having jurisdiction, that product complies with building code in effect for Project. Include the following information:

1. Name of evaluation organization.

2. Date of evaluation.

3. Time period when report is in effect.

4. Product and manufacturers' names.

5. Description of product.

6. Test procedures and results.

7. Limitations of use.

O. Maintenance Data: Prepare written and graphic instructions and procedures for operation and normal maintenance of products and equipment. Comply with requirements in Division 1 Section “Closeout Procedures."

P. Design Data: Prepare written and graphic information, including, but not limited to, performance and design criteria, list of applicable codes and regulations, and calculations. Include list of assumptions and other performance and design criteria and a summary of loads. Include load diagrams if applicable. Provide name and version of software, if any, used for calculations. Include page numbers.

Q. Manufacturer's Instructions: Prepare written or published information that documents manufacturer's recommendations, guidelines, and procedures for installing or operating a product or equipment. Include name of product and name, address, and telephone number of manufacturer. Include the following, as applicable:

1. Preparation of substrates.

2. Required substrate tolerances.

3. Sequence of installation or erection.

4. Required installation tolerances.

5. Required adjustments.

6. Recommendations for cleaning and protection.

R. Manufacturer's Field Reports: Prepare written information documenting factory-authorized service representative's tests and inspections. Include the following, as applicable:

1. Name, address, and telephone number of factory-authorized service representative making report.

2. Statement on condition of substrates and their acceptability for installation of product.

3. Statement that products at Project site comply with requirements.

4. Summary of installation procedures being followed, whether they comply with requirements and, if not, what corrective action was taken.

5. Results of operational and other tests and a statement of whether observed performance complies with requirements.

6. Statement whether conditions, products, and installation will affect warranty.

7. Other required items indicated in individual Specification Sections.

S. Insurance Certificates and Bonds: Prepare written information indicating current status of insurance or bonding coverage. Include name of entity covered by insurance or bond, limits of coverage, amounts of deductibles, if any, and term of the coverage. Comply with the requirements of Section H, “Performance and Payment Bond” and “Insurance.”

PART 3 - EXECUTION

3.1 CONTRACTOR'S REVIEW

A. Review each submittal and check for compliance with the Contract Documents. Note corrections and field dimensions. Mark with approval stamp before submitting to Contracting Officer.

1. The Contractor has the primary responsibility for ensuring that the submittals meet the Contract Requirements.

2. Refer to FAR for the limitations of liability of Government review and acceptance

3. Approval Stamp: Stamp each submittal with a uniform, approval stamp. Include Project name and location, submittal number, Specification Section title and number, name of reviewer, date of Contractor's approval.

a. Include a statement that the Contractor certifies that the submittal has been reviewed and it complies with the Contract Documents.

3.2 CONTRACTING OFFICER'S ACTION

A. General: Contracting Officer will not review submittals that do not bear Contractor's approval stamp and will return them without action.

B. Action Submittals: Contracting Officer will review each submittal, make marks to indicate corrections or modifications required, and return it. The Construction Contract Administrator (CCA) will make action recommendations on each copy of the submittal. These are advisory only and have no contractual bearing until reviewed by the Contracting Officer. The Contracting Officer will review the recommendations of the CCA and make his formal determination by marking on the submittal transmittal appropriately to indicate action taken, as follows:

1.

Final Unrestricted Release: When the Contracting Officer marks a submittal "Accepted," the Work covered by the submittal may proceed provided it complies with requirements of the Contract Documents. Final payment depends on that compliance.

2.

Final-But-Restricted Release: When the Contracting Officer marks a submittal "Accepted as Noted," the Work covered by the submittal may proceed provided it complies with notations or corrections on the submittal and requirements of the Contract Documents. Final payment depends on that compliance.

3.

Returned for Resubmittal: When the Contracting Officer marks a submittal "Not Accepted, Revise and Resubmit," do not proceed with Work covered by the submittal, including purchasing, fabrication, delivery, or other activity. Revise or prepare a new submittal according to the notations; resubmit without delay. Repeat if necessary to obtain different action mark.

a.

Do not use, or allow others to use, submittals marked "Not Accepted, Revise and Resubmit" at the Project Site or elsewhere where Work is in progress.

C. Informational Submittals: Contracting Officer will review each submittal and will not return it, or will reject and return it if it does not comply with requirements. Contracting Officer will forward each submittal to appropriate party.

D. Submittals not required by the Contract Documents will not be reviewed and may be discarded.

END OF SECTION 01330

INTERIM SIDEWALKS ( NIH-NIAID RML ( HAMILTON, MT

SUBMITTAL PROCEDURES 01330 - 10