Appendix E - 01 33 00 SUBMITTAL PROCEDURES.pdf

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Appendix E FA860126R0022

88 CIVIL ENGINEER GROUP WPAFB 01 33 00 (August 2020)

Preparing Activity: 88 CEG Superseding

WPAFB 01 33 00 (April 2010)

SECTION 01 33 00

SUBMITTAL PROCEDURES (WPAFB CONTRACTS ADMINISTERED BY USAF)

08/20

NOTE: Use this section for contracts administered by the AFLCMC contracting officer and the 88th Civil

Engineer Group. For contracts administered by USACE or other construction agent, use USACE 01 33 00.00

06, UFGS 01 33 00, or other applicable section as determined by the construction agent.

PART 1 GENERAL

1.1 SUBMITTAL DESCRIPTIONS (SD)

SD-01 Preconstruction Submittals

Plans, qualification certificates, schedules, and similar information required prior to start of applicable work.

SD-02 Shop Drawings

Drawings prepared by or for the Contractor, subcontractor, fabricator, etc., for use in producing the product and/or as aids to the Contractor for integrating the product or system into the project.

SD-03 Product Data

Catalog cuts, schedules, diagrams, charts, specifications, etc., illustrating size, physical appearance and other characteristics of materials, systems or equipment for some portion of the work.

SD-04 Samples

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.

SD-05 Design Data

Design calculations, mix designs, analyses or other data pertaining to a part of work.

SD-06 Test Reports

Report from a testing laboratory that a material, product or system identical to the material, product or system to be provided has been tested in accordance with specified requirements. Unless specified in

SECTION 01 33 00 Page 2 another section, testing must have been within three years of date of contract award for the project.

Report of findings of a test or inspection performed on the job site, or on a sample taken from the job site, or on a portion of work or prototype prepared off site prior to shipment to job site.

SD-07 Certificates

Statement printed on the manufacturer's letterhead and signed by responsible officials of manufacturer of product, system or material attesting that the item meets specification requirements.

Document required of Contractor, or of a manufacturer, supplier, installer or Subcontractor, documenting procedures, acceptability of work, personnel qualifications, etc.

SD-08 Manufacturer's Instructions

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

SD-09 Manufacturer's Field Reports

Factory test reports, or documentation of the testing and verification actions taken by manufacturer's representative at the job site or on a sample taken from the job site, on a portion of the work to confirm compliance with manufacturer's standards or instructions.

SD-10 Operation and Maintenance Data

Data provided by the manufacturer, or the system provider, including manufacturer's help and product line documentation, necessary to maintain and install equipment, for operating and maintenance use by facility personnel.

SD-11 Closeout Submittals

Documentation to record compliance with technical or administrative requirements, facilitate Government acceptance of completed work, or close out the construction contract.

1.2 SUBMITTALS

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

submittals not having a "G" designation are for information only. Submit the following in accordance with this section.

SD-01 Preconstruction Submittals

Submittal Register; G

1.3 PREPARATION

1.3.1 Transmittal Form

Transmit each submittal with a completed Air Force Form 3000, MATERIAL

APPROVAL SUBMITTAL, available in fillable PDF format from

SECTION 01 33 00 Page 3 https://www.e-publishing.af.mil/. Enter the submission number in the following format: [specification section number]-[sequence number]. For example, the first two submittals provided under Section 01 31 20 would be numbered 01 31 20-1 and 01 31 20-2.

1.3.2 Electronic Submittal

Provide all submittals in PDF or other applicable electronic format, except for physical samples or similar items, or where hard copy submittals are required by the contract documents.

Use PDF files obtained directly from the manufacturer wherever applicable.

Where PDF files must be locally produced, produce such files by direct electronic conversion from the electronic native files wherever applicable. PDF files may be produced by scanning hard copy documents only when electronic originals are not available; notify the Contracting

Officer's representative of any such cases, and perform optical character recognition processing on the resulting scanned documents.

Ensure all PDF files are searchable and legible when viewed on a computer monitor. Orient each PDF page such that the predominant information is displayed horizontally on a computer monitor, regardless of "portrait" vs

"landscape" format of the page.

1.3.3 Format for SD-02 Shop Drawings

Provide shop drawings which, when printed at full scale, produce a hard copy not less than 8-1/2 inches by 11 inches nor more than 30 by 42 inches. Indicate the scale used, or "Not To Scale," as appropriate.

Ensure drawings are suitable for hard-copy printing and reproduction, with clear, distinct, dark lines and letters on a white background.

1.4 INFORMATION-ONLY SUBMITTALS

Submittals without a "G" designation shall be certified by the Contractor's

QC manager and submitted for information only. Approval of the Contracting

Officer is not required on information-only submittals. Acceptance by the

Government shall not relieve the Contractor of responsibility for meeting the contract requirements nor for any error that may exist in any submittal.

1.5 SUBMITTAL REGISTER

NOTE: Create the submittal register from the project specification files, using the automated processes in SpecsIntact. Provide a PDF copy as an appendix to this section, and provide an Excel copy to the Government for delivery to the Contractor.

A draft Submittal Register showing items for which submittals are required by the specifications is provided as "Appendix A - Submittal Register."

Following contract award, the Government will provide a copy of the draft register in Microsoft Excel format.

1.5.1 Submittal Management

Prepare a submittal register and maintain it as work progresses. Do not change data in columns (c), (d), (e), and (f) as delivered by the http://www.e-publishing.af.mil/

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Government.

Column (c): Specification section in which submittal is required.

Column (d): Description of each required submittal.

Column (e): Paragraph in each specification section where a material or product is specified, to facilitate locating submittal requirements. Other submittal requirements may exist in the body of specification sections; column (e) shall not be interpreted as limiting the contract requirements.

Column (f): Designation of review/approval authority.

Thereafter, track all submittals by maintaining a complete list, including completion of all data columns and all dates on which submittals are received by and returned by the Government.

If a submittal is listed in the submittal register but does not pertain to the contract work, include the submittal in the register and annotate it

"N/A" with a brief explanation.

1.5.2 Delivery of Copies

Submit an updated electronic copy of the submittal register to the

Contracting Officer with each invoice request.

1.5.3 Schedule Coordination

Coordinate scheduling, sequencing, preparing, and processing of submittals with performance of work so that work will not be delayed by submittal processing. Schedule and submit concurrently product data and shop drawings covering component items forming a system or items that are interrelated. Submit pertinent certifications at the same time.

1.6 VARIATIONS

Variations from contract requirements require Contracting Officer approval and will be considered where advantageous to the Government.

1.6.1 Proposing Variations

When proposing variation, deliver a 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. 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.

1.6.2 Warranting that Variations are Compatible

When proposing a variation for approval, the Contractor warrants that the variation, if incorporated, will be compatible with all other elements of work without requiring any modification, variation, or cost or schedule impact other than as documented in the written request for variation.

1.6.3 Review Schedule Extension

In addition to the normal submittal review period, a period of 14 days will

SECTION 01 33 00 Page 5 be allowed for the Government to consider submittals with variations.

1.7 GOVERNMENT REVIEW

NOTE: Confirm the government processing time with the 88 CEG Design Manager, and edit the following sentence as appropriate.

1.7.1 General

The Government will complete submittal review within [21][ ] days after the date of submission. The Government will:

a. Note the date on which the submittal was received.

b. Review submittals within the period specified and only for compliance with contract documents.

c. Identify returned submittals with one of the actions defined in paragraph REVIEW NOTATIONS and with comments and markings appropriate for the action indicated.

1.7.2 Review Notations

Submittals will be returned to the Contractor with the following notations:

a. Submittals marked "approved" or "accepted" authorize proceeding with the work covered.

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

c. Submittals marked "not approved," "disapproved," or "revise and resubmit" indicate incomplete submittal or noncompliance with the contract requirements or design concept. Resubmit with appropriate changes. Do not proceed with work for this item until the resubmittal is approved.

d. Submittals marked "not reviewed" indicate that the 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.

e. Submittals marked "receipt acknowledged" indicate that submittals have been received by the Government. This applies only to

"information-only" submittals.

1.8 DISAPPROVED SUBMITTALS

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, give notice to the Contracting Officer as required under the FAR clause titled

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CHANGES. If changes are necessary to submittals and do not constitute a change to the conract drawings or specifications, make such revisions and resubmit in accordance with the procedures above. No item of work requiring a submittal change is to be accomplished until the changed submittals are approved.

1.9 APPROVED SUBMITTALS

The Contracting Officer's approval of submittals is not to be construed as a complete check, and indicates only that the general method of construction, materials, detailing, and other information are satisfactory.

The Contractor is responsible for ensuring information contained within each submittal accurately conforms with the requirements of the contract documents. Approval or acceptance by the Government for a submittal shall not relieve the Contractor of responsibility for meeting the contract requirements nor for any error that may exist in any submittal.

PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

Not Used

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