36C24619B0038-010.pdf

Annex C

ANNEX C: SUBMITTAL PROCEDURES

1.0 SUBMITTAL PROCEDURES

1.1 GENERAL REQUIREMENTS

1.1.1 SUMMARY

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. The Contractor (CQC System Manager) shall check and approve all items prior to submittal and stamp, sign, and date indicating action taken. If necessary, the Designer of Record (DOR) shall concur/approve that submittals meet the requirements of design specifications and drawings. 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.

1.1.2 Submittal Descriptions

Submittals requirements are specified in the technical sections. The submittal register shall include the following types of submittals:

1.1.2.1 Preconstruction Submittals

1.1.2.1.1 Submittals which are required prior to start of construction (work) or the start of the next major phase of the construction on a multi-phase contract, 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.

1.1.2.1.2 Certificates of insurance (For Contract Notice to Proceed)

1.1.2.1.3 Surety bonds (For Contract Notice to Proceed)

1.1.2.1.4 Project management plan per SOW Par. 2.2.1

1.1.2.2 Shop Drawings (as applicable)

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

1.1.2.2.2 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.

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

1.1.2.3 Product Data

1.1.2.3.1 Catalog cuts, illustrations, schedules, diagrams, performance charts, instructions and brochures illustrating size, physical appearance and other characteristics of materials, systems or equipment for some portion of the work.

1.1.2.3.2 Samples of warranty language when the contract requires extended product warranties.

1.1.2.4 Samples (as required)

1.1.2.4.1 Fabricated or unfabricated physical examples of materials, equipment or workmanship that illustrate functional and aesthetic characteristics of a material or product and establish standards by which the work can be judged.

1.1.2.4.2 Color samples from the manufacturer's standard line (or custom color samples if specified) to be used in selecting or approving colors for the project.

1.1.2.4.3 Field samples and mock-ups constructed on the project site establish standards by which the ensuring work can be judged. Includes assemblies or portions of assemblies which are to be incorporated into the project and those which will be removed at conclusion of the work.

1.1.2.5 Design Data (as required)

Design calculations, mix designs, analyses or other data pertaining to a part of work. Design submittals, design substantiation submittals and extensions of design submittals.

1.1.2.6 Test Reports (as required)

1.1.2.6.1 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.

1.1.2.6.2 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.

1.1.2.6.3 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.

1.1.2.6.4 Investigation reports

1.1.2.6.5 Daily logs and checklists

1.1.2.6.6 Final acceptance test and operational test procedure

1.1.2.7 Certificates (as required)

1.1.2.7.1 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.

1.1.2.7.2 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.

1.1.2.7.3 Confined space entry permits

1.1.2.7.4 Text of posted operating instructions

1.1.2.8 Manufacturer's Instructions (as required)

Preprinted material describing installation of a product, system or material, including special notices and (MSDS) concerning impedances, hazards and safety precautions.

1.1.2.9 Manufacturer's Field Reports

1.1.2.9.1 Documentation of the testing and verification actions taken by manufacturer's representative at the job site, in the vicinity of the job site, or on a sample taken from the job site, on a portion of the work, during or after installation, to confirm compliance with manufacturer's standards or instructions. The documentation must be signed by an authorized official of a testing laboratory or agency and must state the test results; and indicate whether the material, product, or system has passed or failed the test.

1.1.2.10 Operation and Maintenance Data (as required)

Data that is furnished by the manufacturer, or the system provider, to the equipment operating and maintenance personnel, including manufacturer's help and product line documentation necessary to maintain and install equipment. This data is needed by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item. This data is intended to be incorporated in an operations and maintenance manual or control system.

1.1.2.11 Closeout Submittals (submit at Final Acceptance)

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

1.1.2.11.2 Special requirements necessary to properly close out a construction contract, for example, Record (As-Built) Drawings. Also, submittal requirements necessary to properly close out a major phase of construction on a multi-phase contract.

1.1.3 Approving Authority

The Contracting Officer is the government designated person authorized to approve submittals.

1.1.4 Submittal Designation

Government approval is required for submittals with a "G" designation; submittals not having a "G" designation are for Contractor QC approval. The submittal register shall clearly identify all submittals requiring Government approval.

1.2 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.2.1 Designer of Record Approved (DA) (as Required)

Designer of Record (DOR) approval is required for extensions of design, critical materials, any deviations from the solicitation, the accepted proposal, or the completed design, equipment whose compatibility with the entire system must be checked, and other items as designated by the Contracting Officer. Contractor to provide the Government with the number of copies designated hereinafter of all DOR approved submittals.

The Government may review any or all Designer of Record approved submittals for conformance to the Solicitation, Accepted Proposal and the completed design. The Government will review all submittals designated as deviating from the Solicitation or Accepted Proposal, as described below.

1.2.2 Government Approved (G)

Government approval is required for any deviations from the Solicitation or Accepted Proposal and other items as designated by the Contracting Officer.

1.2.3 Government Conformance Review of Design (CR)

The Government will review all design submittals described in the SOW for conformance with the technical requirements of the solicitation.

1.2.4 Designer of Record Approved/Government Conformance Review (DA/CR)

1.2.4.1 Deviations to the Accepted Design

Designer of Record approval and the Government's concurrence are required for any proposed deviation from the accepted design which still complies with the contract before the Contractor is authorized to proceed with material acquisition or installation. Within the terms of the Contract Clause entitled, "Specifications and Drawings for Construction", they are considered to be "shop drawings." If necessary to facilitate the project schedule, the Contractor and the DOR may discuss a submittal proposing a deviation with the Contracting Officer's Representative prior to officially submitting it to the Government. However, the Government reserves the right to review the submittal before providing an opinion, if deemed necessary.

In any case, the Government will not formally agree to or provide a preliminary opinion on any deviation without the DOR's approval or recommended approval. The Government reserves the right to non-concur with any deviation from the design, which may impact furniture, furnishings, equipment selections or operations decisions that were made, based on the reviewed and concurred design.

1.2.4.2 Substitutions

Unless prohibited or provided for otherwise elsewhere in the Contract, where the accepted proposal named products, systems, materials or equipment by manufacturer, brand name and/or by model number or other specific identification, and the Contractor desires to substitute manufacturer or model after award, submit a requested substitution for Government concurrence. Include substantiation, identifying information and the DOR's approval, as meeting the contract requirements and that it is equal in function, performance, quality and salient features to that in the accepted contract proposal. If the Contract otherwise prohibits substitutions of equal named products, systems, materials or equipment by manufacturer, brand name and/or by model number or other specific identification, the request is considered a "variation" to the Contract. Variations are discussed below in paragraphs: "Designer of Record Approved/Government Approved" and "VARIATIONS."

1.2.5 Designer of Record Approved/Government Approved (DA/GA) In addition to the above stated requirements for proposed deviations to the accepted design, both Designer of Record and Government Approval and, where applicable, a Contract modification are required before the Contractor is authorized to proceed with material acquisition or installation for any proposed variation to the Contract (the solicitation and/or the accepted proposal), which constitutes a change to the Contract terms. The Government reserves the right to accept or reject any such proposed deviation at its discretion.

1.2.6 Information Only

For Design-Build construction all submittals not requiring Designer of Record or Government approval will be for information only.

1.3 PREPARATION

1.3.1 Transmittal Form

Use ENG Form 4025-R for submitting both Government approved and information only submittals in accordance with the instructions on the reverse side of the form. A copy of these forms will be furnished to the Contractor at the Pre-performance conference. 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.

1.4 QUANTITY OF SUBMITTALS

1.4.1 Number of Copies of Shop Drawings

Submit 1 electronic copy of submittals of shop drawings requiring review and approval only by QC organization and 1 copies of shop drawings requiring review and approval by Contracting Officer.

1.4.2 Number of Copies of Product Data and Manufacturer's Instructions Submit in compliance with quantity requirements specified for shop drawings.

1.4.3 Number of Samples (as applicable)

1.4.3.1 Submit 4 samples, or 4 sets of samples showing range of variation, of each required item. One approved sample or set of samples will be returned to Contractor.

1.4.3.2 Submit one sample panel or provide one sample installation where directed. Include components listed in technical section or as directed.

1.4.3.3 Submit one sample installation, where directed.

1.4.3.4 Submit one sample of non-solid materials.

1.4.4 Number of Copies Design Data and Certificates

Submit in compliance with quantity requirements specified for shop drawings.

1.4.5 Number of Copies Test Reports and Manufacturer's Field Reports Submit in compliance with quantity and quality requirements specified for shop drawings other than field test results that will be submitted with QC reports.

1.4.6 Number of Copies of Preconstruction Submittals and Closeout Submittals Unless otherwise specified, submit 3 sets of administrative submittals (Hard Copy & 1 Electronic).

1.5 INFORMATION ONLY SUBMITTALS

Normally submittals for information only will not be returned. Approval of the Contracting Officer is not required on information only submittals. The Government reserves the right to 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. For design-build construction the Government will retain copies of information only submittals on the Website.

1.6 VARIATIONS

Variations from contract requirements require both Contractor and Government approval pursuant to contract Clause FAR 52.236-21 and will be considered where advantageous to the Government.

1.6.1 Considering Variations

Discussion with Contracting Officer prior to submission, after consulting with the COR, will help ensure functional and quality requirements are met and minimize rejections and re-submittals. Specifically point out variations from contract requirements in transmittal letters. Failure to point out deviations may result in the Government requiring rejection and removal of such work at no additional cost to the Government.

1.6.2 Proposing Variations

When proposing variation, deliver written request to the Contracting Officer, with documentation of the nature and features of the variation and why the variation is desirable and beneficial to Government, including the DOR's written analysis and approval. If lower cost is a benefit, also include an estimate of the cost savings. In addition to documentation required for variation, include the submittals required for the item. Clearly mark the proposed variation in all documentation. Note "variation" on ENG Form 4025- R for submittals which include proposed deviations requested by the Contractor. Set forth in writing 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.

1.6.3 Warranting That Variations Are Compatible

When delivering a variation for approval, Contractor, including its Designer(s) of Record, warrants that this contract has been reviewed to establish that the variation, if incorporated, will be compatible with other elements of work.

1.6.4 Review Schedule Is Modified

In addition to normal submittal review period, a period of 10 working days will be allowed for consideration by the Government of submittals with variations.

1.7 SUBMITTAL REGISTER

Prepare and maintain submittal register, as the work progresses. This list may not be all inclusive and additional submittals may be required. Maintain a submittal register for the project in accordance with Annex C (Quality Control System Requirements). The Contractor is to track all submittals by maintaining a complete list, including completion of all data columns, including dates on which submittals are received and returned by the Government. The Contractor shall develop a complete list of submittals identify required submittals in the specifications, and use the list to prepare the Submittal Register. The list may not be all inclusive and additional submittals may be required by other parts of the contract. The Contractor is required to complete the submittal register and submit it to the Contracting Officer for approval within 30 calendar days after Notice to Proceed. The approved submittal register will serve as a scheduling document for submittals and will be used to control submittal actions throughout the contract period.

Coordinate the submit dates and need dates with dates in the Contractor prepared progress schedule. Submit monthly or until all submittals have been satisfactorily completed, updates to the submittal register showing the Contractor action codes and actual dates with Government action codes. Revise the submittal register when the progress schedule is revised and submit both for approval. The submittal register shall be accessible from and managed on the Project Website described in SOW Paragraph 2.3.8.

1.7.1 Copies Delivered to the Government

Deliver one copy of submittal register updated by Contractor to Government with each invoice request.

1.8 SCHEDULING

Schedule and submit concurrently submittals covering component items forming a system or items that are interrelated. Include certifications to be submitted with the pertinent drawings at the same time. No delay damages or time extensions will be allowed for time lost in late submittals.

1.8.1 Coordinate scheduling, sequencing, preparing and processing of submittals with performance of work so that work will not be delayed by submittal processing. Allow for potential resubmittal of requirements.

1.8.2 Submittals called for by the contract documents will be listed on the register. If a submittal is called for but does not pertain to the contract work, the Contractor is to include the submittal in the register and annotate it "N/A" with a brief explanation. Approval by the Contracting Officer does not relieve the Contractor of supplying submittals required by the contract documents but which have been omitted from the register or marked "N/A."

1.8.3 Re-submit register and annotate monthly by the Contractor with actual submission and approval dates. When all items on the register have been fully approved, no further re-submittal is required.

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

1.8.5 Government Reviewed Design

The Government will review design submittals for conformance with the technical requirements of the solicitation. Government review is required for deviation from the completed design. The Government may, but is not required, to review extensions of design such as structural steel or reinforcement shop drawings.

1.9 GOVERNMENT APPROVING AUTHORITY

1.9.1 Government Actions

The approving authority is the Contracting Officer; the Government will:

1.9.1.1 Note date on which submittal was received.

1.9.1.2 Review submittals for approval within scheduling period specified and only for conformance with project design concepts and compliance with contract documents.

1.9.1.3 Identify returned submittals with one of the actions defined in paragraph entitled, "Review Notations," of this section and with markings appropriate for action indicated.

1.9.1.4 Upon completion of review of submittals requiring Government approval, stamp and date approved submittals. Any copies of the approved submittal will be retained by the Contracting Officer and 1 copies of the submittal form will be returned to the Contractor. If the Government performs a conformance review of other Designer of Record approved submittals, the submittals will be so identified and returned, as described above.

1.9.2 Review Notations

Contracting Officer review will be completed within 30 calendar days after date of submission. Submittals will be returned to the Contractor with the following notations:

1.9.2.1 Submittals marked "approved" or "accepted" authorize the Contractor to proceed with the work covered.

1.9.2.2 Submittals marked "approved as noted" "or approved except as noted, resubmittal not required," authorize the Contractor to proceed with the work covered provided he takes no exception to the corrections.

1.9.2.3 Submittals marked "not approved" or "disapproved," or "revise and resubmit," indicate noncompliance with the contract requirements or design concept, or that submittal is incomplete. Resubmit with appropriate changes. No work shall proceed for this item until resubmittal is approved.

1.9.2.4 Submittals marked "not reviewed" will indicate submittal has been previously reviewed and approved, is not required, does not have evidence of being reviewed and approved by Contractor, or is not complete. A submittal marked "not reviewed" will be returned with an explanation of the reason it is not reviewed. Resubmit submittals returned for lack of review by Contractor or for being incomplete, with appropriate action, coordination, or change.

1.10 DISAPPROVED OR REJECTED SUBMITTALS

Contractor shall make corrections required by the Contracting Officer. If the Contractor considers any correction or notation on the returned submittals to constitute a change to the contract drawings or specifications; notice as required under the clause entitled, "Changes," is to be given to the Contracting Officer. Contractor is responsible for the dimensions and design of connection details and construction of work. Failure to point out deviations may result in the Government requiring rejection and removal of such work at the Contractor's expense. If changes are necessary to submittals, the Contractor shall make such revisions and submission of the submittals in accordance with the procedures above. No item of work requiring a submittal change is to be accomplished until the changed submittals are approved.

1.11 APPROVED/ACCEPTED SUBMITTALS

The Contracting Officer's approval or acceptance of submittals is not to be construed as a complete check, and indicates only that design, general method of construction, materials, detailing and other information appear to meet the Solicitation and Accepted Proposal. Approval or acceptance will not relieve the Contractor of the responsibility for any error which may exist, as the Contractor under the Contractor Quality Control (CQC) requirements of this contract is responsible for design, dimensions, all design extensions, such as the design of adequate connections and details, etc., and the satisfactory construction of all work. After submittals have been approved or accepted by the Contracting Officer, no resubmittal for the purpose of substituting materials or equipment will be considered unless accompanied by an explanation of why a substitution is necessary.

1.12 APPROVED SAMPLES

1.12.1 Approval of a sample is only for the characteristics or use named in such approval and is not be construed to change or modify any contract requirements. Before submitting samples, the Contractor to assure that the materials or equipment will be available in quantities required in the project. No change or substitution will be permitted after a sample has been approved.

1.12.2 Match the approved samples for materials and equipment incorporated in the work. If requested, approved samples, including those which may be damaged in testing, will be returned to the Contractor, at his expense, upon completion of the contract. Samples not approved will also be returned to the Contractor at its expense, if so requested.

1.12.3 Failure of any materials to pass the specified tests will be sufficient cause for refusal to consider, under this contract, any further samples of the same brand or make of that material. Government reserves the right to disapprove any material or equipment which previously has proved unsatisfactory in service.

1.12.4 Samples of various materials or equipment delivered on the site or in place may be taken by the Contracting Officer for testing. Samples failing to meet contract requirements will automatically void previous approvals. Contractor to replace such materials or equipment to meet contract requirements.

1.12.5 Approval of the Contractor's samples by the Contracting Officer does not relieve the Contractor of his responsibilities under the contract.

1.13 WITHHOLDING OF PAYMENT

No payment for materials incorporated in the work will be made if all required Designer of Record or required Government approvals have not been obtained. No payment will be made for any materials incorporated into the work for any conformance review submittals or information only submittals found to contain errors or deviations from the Solicitation or Accepted Proposal.

1.14 STAMPS

1.14.1 Stamps used by the Contractor on the submittal data to certify that the submittal meets contract requirements is to be similar to the following:

CONTRACTOR

(Firm Name)

_____ Approved

_____ Approved with corrections as noted on submittal data and/or attached sheets(s)

SIGNATURE: _________________________________________________________

TITLE: _______________________________________________________________

DATE: _______________________________________________________________