Attachment 28 Submittal Procedures Reference UFGS 01 33 00.pdf

USACE / NAVFAC / AFCEC UFGS-01 33 00 (August 2018)

Change 4 - 02/21

Preparing Activity: USACE Superseding UFGS-01 33 00 (May 2011)

UNIFIED FACILITIES GUIDE SPECIFICATIONS

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

08/18, CHG 4: 02/21

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

1.1.2 Project Type

1.1.3 Submission of Submittals

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

1.2.2 Approving Authority

1.2.3 Work

1.3 SUBMITTALS

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

1.4.2 Design-Build Submittal Classifications

1.4.2.1 Designer of Record Approved (DA)

1.4.2.2 Government Conformance Review of Design (CR)

1.4.2.3 Designer of Record Approved/Government Conformance Review

(DA/CR)

1.4.2.3.1 Variations from the Accepted Design

1.4.2.3.2 Substitutions

1.4.2.4 Designer of Record Approved/Government Approved (DA/GA)

1.4.3 For Information Only

1.4.4 Sustainability Reporting Submittals (S)

1.5 FORWARDING SUBMITTALS REQUIRING GOVERNMENT APPROVAL

1.5.1 O&M Data

1.5.2 Submittals Reserved for NAVFAC [_____] Approval

1.5.3 Overseas Shop Drawing Submittals

1.6 PREPARATION

1.6.1 Transmittal Form

1.6.2 Identifying Submittals

1.6.3 Submittal Format

1.6.3.1 Format of SD-01 Preconstruction Submittals

1.6.3.2 Format for SD-02 Shop Drawings

1.6.3.2.1 Drawing Identification

1.6.3.3 Format of SD-03 Product Data

1.6.3.3.1 Product Information

SECTION 01 33 00 Page 1

1.6.3.3.2 Standards

1.6.3.3.3 Data Submission

1.6.3.4 Format of SD-04 Samples

1.6.3.4.1 Sample Characteristics

1.6.3.4.2 Sample Incorporation

1.6.3.4.3 Comparison Sample

1.6.3.5 Format of SD-05 Design Data

1.6.3.6 Format of SD-06 Test Reports

1.6.3.7 Format of SD-07 Certificates

1.6.3.8 Format of SD-08 Manufacturer's Instructions

1.6.3.8.1 Standards

1.6.3.9 Format of SD-09 Manufacturer's Field Reports

1.6.3.10 Format of SD-10 Operation and Maintenance Data (O&M)

1.6.3.11 Format of SD-11 Closeout Submittals

1.6.4 Source Drawings for Shop Drawings

1.6.4.1 Source Drawings

1.6.4.2 Terms and Conditions

1.6.5 Electronic File Format

1.7 QUANTITY OF SUBMITTALS

1.7.1 Number of SD-01 Preconstruction Submittal Copies

1.7.2 Number of SD-02 Shop Drawing Copies

1.7.3 Number of SD-03 Product Data Copies

1.7.4 Number of SD-04 Samples

1.7.5 Number of SD-05 Design Data Copies

1.7.6 Number of SD-06 Test Report Copies

1.7.7 Number of SD-07 Certificate Copies

1.7.8 Number of SD-08 Manufacturer's Instructions Copies

1.7.9 Number of SD-09 Manufacturer's Field Report Copies

1.7.10 Number of SD-10 Operation and Maintenance Data Copies

1.7.11 Number of SD-11 Closeout Submittals Copies

1.8 INFORMATION ONLY SUBMITTALS

1.9 PROJECT SUBMITTAL REGISTER

1.9.1 Submittal Management

1.9.2 Design-Build Submittal Register

1.9.3 Preconstruction Use of Submittal Register

1.9.4 Contractor Use of Submittal Register

1.9.5 Approving Authority Use of Submittal Register

1.9.6 Action Codes

1.9.6.1 Government Review Action Codes

1.9.6.2 Contractor Action Codes

1.9.6.3 Contractor Action Codes

1.9.7 Delivery of Copies

1.10 VARIATIONS

1.10.1 Considering Variations

1.10.2 Proposing Variations

1.10.3 Warranting that Variations are Compatible

1.10.4 Review Schedule Extension

1.11 SCHEDULING

1.11.1 Reviewing, Certifying, and Approving Authority

1.11.2 Constraints

1.11.3 QC Organization Responsibilities

1.11.4 Government Reviewed Design

1.12 GOVERNMENT APPROVING AUTHORITY

1.12.1 Review Notations

1.13 DISAPPROVED SUBMITTALS

1.14 APPROVED SUBMITTALS

1.15 APPROVED SAMPLES

1.16 WITHHOLDING OF PAYMENT

1.17 CERTIFICATION OF SUBMITTAL DATA

SECTION 01 33 00 Page 2

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

ENG Form 4025-R

Attachment A - Submittal Register

-- End of Section Table of Contents --

SECTION 01 33 00 Page 3

USACE / NAVFAC / AFCEC UFGS-01 33 00 (August 2018)

Change 4 - 02/21

Preparing Activity: USACE Superseding UFGS-01 33 00 (May 2011)

UNIFIED FACILITIES GUIDE SPECIFICATIONS

SECTION 01 33 00

SUBMITTAL PROCEDURES

08/18, CHG 4: 02/21

NOTE: This guide specification covers the requirements for general procedures regarding submittals, data normally submitted for review to establish conformance with the design concept and contract documents, called for in other sections of the specifications.

Adhere to UFC 1-300-02 Unified Facilities Guide Specifications (UFGS) Format Standard when editing this guide specification or preparing new project specification sections. Edit this guide specification for project specific requirements by adding, deleting, or revising text. For bracketed items, choose applicable items(s) or insert appropriate information.

Remove information and requirements not required in respective project, whether or not brackets are present.

Comments, suggestions and recommended changes for this guide specification are welcome and should be submitted as a Criteria Change Request (CCR) .

This guide specification includes tailoring options for Army, Navy, and NAVFAC component requirements.

Army tailoring options also include DESIGN-BUILD (DB) and DESIGN-BID-BUILD, and at least one of these options must be deselected. Do not use this section for Navy DESIGN-BUILD (DB)D projects. Use the DB specs in the NAVFAC DB Master posted within the Whole Building Design Guide . Selection or deselection of a tailoring option will include or exclude that option in the section, but the resulting section must still be edited to fit the project required.

SECTION 01 33 00 Page 4

PART 1 GENERAL

1.1 SUMMARY

NOTE: This paragraph contains tailoring for Army, Design-Bid-Build, and Design-Build. Use for Army projects only.

1.1.1 Submittal Information

The Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections. Each submittal is to be complete and in sufficient detail to allow ready determination of compliance with contract requirements.

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

1.1.2 Project Type

The Contractor's Quality Control (CQC) System Manager are to check and approve all items before 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.

The Contractor and the Designer of Record (DOR), if applicable, are to check and approve all items before 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.

1.1.3 Submission of Submittals

Schedule and provide submittals requiring Government approval before acquiring the material or equipment covered thereby. Pick up and dispose of samples not incorporated into the work in accordance with manufacturer's Safety Data Sheets (SDS) and in compliance with existing laws and regulations.

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

NOTE: The SD numbers and titles, assigned by the SPECSINTACT Configuration, Control, and Coordinating Board, relate to the terminology of the technical

SECTION 01 33 00 Page 5 sections and should not be changed. Refer to UFC

1-300-02 UNIFIED FACILITIES GUIDE SPECIFICATIONS

(UFGS) FORMAT STANDARD for additional information.

NOTE: This paragraph contains tailoring tags for Army, Navy, Design-Bid-Build and Design-Build.

Submittal requirements are specified in the technical sections. Examples and descriptions of submittals identified by the Submittal Description (SD) numbers and titles follow:

SD-01 Preconstruction Submittals

NOTE: For projects in the NAVFAC PAC Area of Operation, the submittal(s) identified as SD-01 Preconstruction Submittal for this spec section, select the "G" designation requiring Government approval.

Submittals that are required prior to or commencing with the start of work on site. Submittals that are required prior to or at the start of construction (work) or the next major phase of the construction on a multiphase contract.

NOTE: For projects in the NAVFAC PAC Area of Operation, add the bracket paragraph below.

[Government approved Division 01 preconstruction submittals that are required prior to or commencing with the start of work must be submitted within 30 calendar days of contract award unless specified elsewhere in the specifications. Contractor approved Division 01 submittals that are required prior to or commencing with the start of work must be submitted within 45 calendar days of contract award unless specified elsewhere in the specifications.]

Preconstruction Submittals include schedules and a tabular list of locations, features, and other pertinent information regarding products, materials, equipment, or components to be used in the work.

NOTE: For projects in the NAVFAC PAC Area of Operation, remove the "List of Proposed Subcontractors", "List of Proposed Products", "Submittal Register" and "Work Plan". For Guam projects add the bracketed Explosive Safety Submission ESS Work Plan.

Certificates Of Insurance

Surety Bonds

SECTION 01 33 00 Page 6

List Of Proposed Subcontractors

List Of Proposed Products

Baseline Network Analysis Schedule (NAS)

Submittal Register

Schedule Of Prices Or Earned Value Report

Accident Prevention Plan

Work Plan

Quality Control (QC) plan

Environmental Protection Plan [Explosive Safety Submission ESS Work Plan]

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-03 Product Data

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.

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

SD-04 Samples

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.

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.

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

NOTE: This paragraph contains tailoring tags for

SECTION 01 33 00 Page 7

Army, and Design-Build.

SD-05 Design Data

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

Design submittals, design substantiation submittals and extensions of design submittals.

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. Unless specified in another section, testing must have been within three years of date of contract award for the project.

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

Report that 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

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 the 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 document purpose is to further promote the 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-08 Manufacturer's Instructions

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

SD-09 Manufacturer's Field Reports

Documentation of the testing and verification actions taken by

SECTION 01 33 00 Page 8 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 state the test results; and indicate whether the material, product, or system has passed or failed the test.

Factory test reports.

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.

Data required by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item.

Data incorporated in an operations and maintenance manual or control system.

SD-11 Closeout Submittals

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

Submittals required for Guiding Principle Validation (GPV) or Third Party Certification (TPC).

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.

1.2.2 Approving Authority

Office or designated person authorized to approve the submittal.

1.2.3 Work

As used in this section, on-site and off-site construction required by contract documents, including labor necessary to produce submittals, construction, materials, products, equipment, and systems incorporated or to be incorporated in such construction. In exception, excludes work to produce SD-01 submittals.

1.3 SUBMITTALS

NOTE: Review Submittal Description (SD) definitions in Section 01 33 00 SUBMITTAL PROCEDURES and edit the following list, and corresponding submittal items in the text, to reflect only the submittals required for the project. The Guide Specification technical editors have classified those items that require Government approval, due to their complexity or criticality, with a "G." Generally, other

SECTION 01 33 00 Page 9 submittal items can be reviewed by the Contractor's Quality Control System. Only add a “G” to an item, if the submittal is sufficiently important or complex in context of the project.

For Army projects, fill in the empty brackets following the "G" classification, with a code of up to three characters to indicate the approving authority. Codes for Army projects using the Resident Management System (RMS) are: "AE" for Architect-Engineer; "DO" for District Office (Engineering Division or other organization in the District Office); "AO" for Area Office; "RO" for Resident Office; and "PO" for Project Office. Codes following the "G" typically are not used for Navy and Air Force projects.

Submittal documents must not contain any Employee Personnel Information (EPI) or Protected Personal Information (PPI), including but not limited to Social Security Number, date of birth, home address, and home telephone number. If EPI/PPI is understood to be required as part of a submittal, contact the Contractor Officer for guidance on how to properly furnish the information in accordance with 32 CFR 701.115.

The "S" classification indicates submittals required as proof of compliance for sustainability Guiding Principles Validation or Third Party Certification and as described in Section 01 33 00 SUBMITTAL

PROCEDURES.

Government approval is required for submittals with a "G" or "S" classification. Submittals not having a "G" or "S" classification are for Contractor Quality Control approval. Submittals not having a "G" or "S" classification are for information only. When used, a code following the "G" classification identifies the office that will review the submittal for the Government. Submit the following in accordance with Section

01 33 00 SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Submittal Register ; G

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

NOTE: This paragraph contains tailoring tags for Army, Design-Bid-Build and Design-Build.

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

SECTION 01 33 00 Page 10

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

Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, submittals are considered to be "shop drawings."

1.4.2 Design-Build Submittal Classifications

NOTE: Use tis Subpart for Army Design-Build projects only.

1.4.2.1 Designer of Record Approved (DA)

Designer of Record (DOR) approval is required for extensions of design;

critical materials; any variations 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. 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 with the Solicitation, the Accepted Proposal, and the completed design.

The Government will review all submittals designated as varying from the Solicitation or Accepted Proposal, as described below. Provide design submittals in accordance with Section 01 33 16.00 10 DESIGN DATA (DESIGN AFTER AWARD). Generally, list design submittals under SD-05 Design Data.

1.4.2.2 Government Conformance Review of Design (CR)

The Government will review all intermediate and final design submittals for conformance with the technical requirements of the Solicitation.

Section 01 33 16.00 10 DESIGN DATA (DESIGN AFTER AWARD) covers the design submittal and review process in detail. Review will be only for conformance with the applicable codes, standards, and contract requirements. Design data includes the design documents described in Section 01 33 16.00 10 DESIGN DATA (DESIGN AFTER AWARD).

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

1.4.2.3.1 Variations from the Accepted Design

DOR approval and the Government's concurrence are required for any proposed variation from the accepted design that still complies with the contract before the Contractor is authorized to proceed with material acquisition or installation. If necessary to facilitate the project schedule, before official submission to the Government, the Contractor and the DOR may discuss with the Contracting Officer's Representative a submittal proposing a variation. However, the Government reserves the right to review the submittal before providing an opinion. In any case, the Government will not formally agree to or provide a preliminary opinion on any variation without the DOR's approval or recommended approval. The Government reserves the right to reject any design, variation that may affect furniture, furnishings, equipment selections, or operational decisions that were made, based on the reviewed and concurred design.

SECTION 01 33 00 Page 11

1.4.2.3.2 Substitutions

Unless prohibited or otherwise provided for elsewhere in the contract, where the Accepted Proposal named products, systems, materials or equipment by manufacturer, brand name, model number, or other specific identification, and the Contractor desires to substitute a manufacturer or model after award, submit a requested substitution for Government concurrence. Include substantiation, through identifying information and the DOR's approval, that the substitute meets 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, 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.

1.4.2.4 Designer of Record Approved/Government Approved (DA/GA)

In addition to the above-stated requirements for proposed variations to the accepted design, both DOR 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 or the Accepted Proposal), that constitutes a change to the contract terms. The Government reserves the right to accept or reject any such proposed variation.

1.4.3 For Information Only

NOTE: This paragraph contains tailoring for Army.

Submittals not requiring Government approval will be for information only. For Design-build construction all submittals not requiring DOR or Government approval will be for information only. Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are not considered to be "shop drawings."

1.4.4 Sustainability Reporting Submittals (S)

Submittals for Guiding Principle Validation (GPV) or Third Party Certification (TPC) are indicated with an "S" designation. These submittals are for information only and for use as specified in Section

01 33 29 SUSTAINABILITY REQUIREMENTS AND REPORTING.

Schedule submittals for these items throughout the course of construction as provided; do not wait until closeout.

1.5 FORWARDING SUBMITTALS REQUIRING GOVERNMENT APPROVAL

NOTE: Use for Navy projects only.

NOTE: For bracketed items, choose NAVFAC for projects designed In-House, or choose AE for

SECTION 01 33 00 Page 12 projects designed by AE, unless the AE is not contracted for post-award support.

As soon as practicable after award of contract, and before procurement or fabrication, forward to the [Commander, NAVFAC [_____], Code CI4[_____], [_____]] [Architect-Engineer: [_____],] submittals required in the technical sections of this specification, including shop drawings, product data and samples. In addition, forward a copy of the submittals to the Contracting Officer.

1.5.1 O&M Data

Submit data specified for a given item within 30 calendar days after the item is delivered to the contract site.

In the event the Contractor fails to deliver O&M data within the time limits specified, the Contracting Officer may withhold from progress payments 50 percent of the price of the items to which such O&M data apply.

[ 1.5.2 Submittals Reserved for NAVFAC [_____] Approval

NOTE: Use this bracketed para for projects designed by AE firms only; do not use for projects designed in-house. Coordinate with the Government project manager to validate who will review these submittals. Fill in the Command name and address in the bracketed items

As an exception to the standard submittal procedure for Government Approval, submit the following to the Commander, NAVFAC [_____], Code

CI4[_____], [_____]:

NOTE: Add Section Reference tags where appropriate below when blanks are filled.

[ a. Section [_____] [_____]: Pile driving records

][ b. Section [_____] [_____]: All fire protection system submittals

][ c. Section [_____] [_____]: All fire alarm system submittals

][ d. Section [_____] [_____]: All elevator submittals

][ e. Section 01 91 00.15 BUILDING COMMISSIONING: SD-06 Commissioning Plan, Certificate of Readiness, and Commissioning Report submittals

][ f. Section 23 09 00 INSTRUMENTATION AND CONTROL FOR HVAC: SD-06 field test report submittals

][ g. Section 23 09 53.00 20 SPACE TEMPERATURE CONTROL SYSTEMS: SD-06 field test report submittals

][ h. Section 23 05 93 TESTING, ADJUSTING, AND BALANCING FOR HVAC: All submittals

SECTION 01 33 00 Page 13

][ i. Section 23 08 01.00 20 TESTING INDUSTRIAL VENTILATION SYSTEMS: All submittals

][ j. Section 26 12 19 PAD-MOUNTED, LIQUID-FILLED, MEDIUM-VOLTAGE TRANSFORMERS: All submittals

][ k. Section 26 12 21 SINGLE-PHASE PAD-MOUNTED TRANSFORMERS: All submittals

][ l. Section 33 71 01 OVERHEAD TRANSMISSION AND DISTRIBUTION: Transformer submittals

][ m. Section 26 11 16 SECONDARY UNIT SUBSTATIONS: Transformer submittals

][ n. Section 26 11 13.00 20 PRIMARY UNIT SUBSTATION: Transformer submittals

] ][ 1.5.3 Overseas Shop Drawing Submittals

NOTE: Use this paragraph on overseas projects only.

Send submittals via overnight express mail service. All costs associated with the overnight express mail service are borne by the Contractor.

Costs associated with the overnight express mail of submittals related to proposed submittal variances of resubmittals necessary as a result of noncompliant or incomplete Contractor submittals are the responsibility of the Contractor.

] 1.6 PREPARATION

1.6.1 Transmittal Form

NOTE: This paragraph includes tailoring for Navy.

Transmit each submittal, except sample installations and sample panels to the office of the approving authority using the transmittal form prescribed by the Contracting Officer. Include all information prescribed by the transmittal form and required in paragraph IDENTIFYING SUBMITTALS.

Use the submittal transmittal forms to record actions regarding samples.

NOTE: This paragraph includes tailoring for Army.

ENG Form 4025 is not a part of this guide specification; a sample ENG Form 4025 may be added to this section locally. If a sample is inserted, fill in blocks as appropriate for the project. If the Contractor is required to use the RMS CM software for the contract, that system includes an electronic version of ENG Form 4025.

Use the ENG Form 4025-R 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 or similar forms [will be furnished to the Contractor][are included in the RMS CM software that the Contractor is required to use for this contract][are included in the eCMS software that the Contractor is

SECTION 01 33 00 Page 14 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.

1.6.2 Identifying Submittals

NOTE: This paragraph includes tailoring for Navy.

Select Quality Control Manager for Navy projects.

The Contractor's [Quality Control Manager] must prepare, review and stamp submittals, including those provided by a subcontractor, before submittal to the Government.

Identify submittals, except sample installations and sample panels, with the following information permanently adhered to or noted on each separate component of each submittal and noted on transmittal form. Mark each copy of each submittal identically, with the following:

a. Project title and location

b. Construction contract number

c. Dates of the drawings and revisions

d. Name, address, and telephone number of Subcontractor, supplier, manufacturer, and any other Subcontractor associated with the submittal.

e. Section number of the specification by which submittal is required

f. Submittal description (SD) number of each component of submittal

g. For a resubmission, add alphabetic suffix on submittal description, for example, submittal 18 would become 18A, to indicate resubmission

h. Product identification and location in project.

1.6.3 Submittal Format

1.6.3.1 Format of SD-01 Preconstruction Submittals

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.

1.6.3.2 Format for SD-02 Shop Drawings

Provide shop drawings not less than 210 by 297 mm 8 1/2 by 11 inches nor more than 1189 by 841 mm 30 by 42 inches , except for full-size patterns or templates. Prepare drawings to accurate size, with scale indicated, unless another form is required. Ensure drawings are suitable for reproduction and of a quality to produce clear, distinct lines and

SECTION 01 33 00 Page 15 letters, with dark lines on a white background.

a. Include the nameplate data, size, and capacity on drawings. Also include applicable federal, military, industry, and technical society publication references.

b. Dimension drawings, except diagrams and schematic drawings. Prepare drawings demonstrating interface with other trades to scale. Use the same unit of measure for shop drawings as indicated on the contract drawings. Identify materials and products for work shown.

NOTE: Select either the hard copy submittal or electronic submittal paragraph for the project.

Present 210 by 297 mm shop drawings sized 8 1/2 by 11 inches as part of the bound volume for submittals. Present larger drawings in sets. Submit an electronic copy of drawings in PDF format and native electronic format.

1.6.3.2.1 Drawing Identification

Include on each drawing the drawing title, number, date, and revision numbers and dates, in addition to information required in paragraph

IDENTIFYING SUBMITTALS.

Number drawings in a logical sequence. Each drawing is to bear the number of the submittal in a uniform location next to the title block. Place the Government contract number in the margin, immediately below the title block, for each drawing.

NOTE: Do not use the following paragraph for NAVFAC

PAC AOR.

Reserve a blank space, no smaller than [_____] millimeter inches on the right-hand side of each sheet for the Government disposition stamp.

1.6.3.3 Format of SD-03 Product Data

Present product data submittals for each section as a complete, bound volume . Include a table of contents, listing the page and catalog item numbers for product data.

Indicate, by prominent notation, each product that is being submitted;

indicate the specification section number and paragraph number to which it pertains.

1.6.3.3.1 Product Information

Supplement product data with material prepared for the project to satisfy the submittal requirements where product data does not exist. Identify this material as developed specifically for the project, with information and format as required for submission of SD-07 Certificates.

Provide product data in metric dimensions. Where product data are included in preprinted catalogs with English units only, submit metric dimensions on separate sheet.

SECTION 01 33 00 Page 16

Provide product data in units used in the Contract documents. Where product data are included in preprinted catalogs with another unit, submit the dimensions in contract document units, on a separate sheet.

1.6.3.3.2 Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

1.6.3.3.3 Data Submission

Collect required data submittals for each specific material, product, unit of work, or system into a single submittal that is marked for choices, options, and portions applicable to the submittal. Mark each copy of the product data identically. Partial submittals will [not] be accepted for expedition of the construction effort.

Submit the manufacturer's instructions before installation.

1.6.3.4 Format of SD-04 Samples

1.6.3.4.1 Sample Characteristics

Furnish samples in the following sizes, unless otherwise specified or unless the manufacturer has prepackaged samples of approximately the same size as specified:

a. Sample of Equipment or Device: Full size.

b. Sample of Materials Less Than 50 by 75 mm 2 by 3 inches : Built up to 210 by 297 mm 8 1/2 by 11 inches .

c. Sample of Materials Exceeding 210 by 297 mm 8 1/2 by 11 inches : Cut down to 210 by 297 mm 8 1/2 by 11 inches and adequate to indicate color, texture, and material variations.

d. Sample of Linear Devices or Materials: 250 mm 10 inch length or length to be supplied, if less than 250 mm 10 inches . Examples of linear devices or materials are conduit and handrails.

e. Sample Volume of Nonsolid Materials: 750 ml Pint . Examples of nonsolid materials are sand and paint.

f. Color Selection Samples: 50 by 100 mm 2 by 4 inches . Where samples are specified for selection of color, finish, pattern, or texture, submit the full set of available choices for the material or product specified. Sizes and quantities of samples are to represent their

SECTION 01 33 00 Page 17 respective standard unit.

g. Sample Panel: 1200 by 1200 mm 4 by 4 feet .

h. Sample Installation: 10 square meters 100 square feet .

1.6.3.4.2 Sample Incorporation

Reusable Samples: Incorporate returned samples into work only if so specified or indicated. Incorporated samples are to be in undamaged condition at the time of use.

Recording of Sample Installation: Note and preserve the notation of any area constituting a sample installation, but remove the notation at the final clean-up of the project.

1.6.3.4.3 Comparison Sample

Samples Showing Range of Variation: Where variations in color, finish, pattern, or texture are unavoidable due to nature of the materials, submit sets of samples of not less than three units showing extremes and middle of range. Mark each unit to describe its relation to the range of the variation.

NOTE: To avoid unnecessary effort by the Contractor, use the following paragraph only when no color board is prepared during design.

When color, texture, or pattern is specified by naming a particular manufacturer and style, include one sample of that manufacturer and style, for comparison.

1.6.3.5 Format of SD-05 Design Data

Provide design data and certificates on 210 by 297 mm 8 1/2 by 11 inch paper. Provide a bound volume for submittals containing numerous pages.

1.6.3.6 Format of SD-06 Test Reports

Provide reports on 210 by 297 mm 8 1/2 by 11 inch paper in a complete bound volume.

By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

1.6.3.7 Format of SD-07 Certificates

Provide design data and certificates on 210 by 297 mm 8 1/2 by 11 inch paper. Provide a bound volume for submittals containing numerous pages.

1.6.3.8 Format of SD-08 Manufacturer's Instructions

Present manufacturer's instructions submittals for each section as a complete, bound volume . Include the manufacturer's name, trade name, place of manufacture, and catalog model or number on product data. Also include applicable federal, military, industry, and technical-society

SECTION 01 33 00 Page 18 publication references. If supplemental information is needed to clarify the manufacturer's data, submit it as specified for SD-07 Certificates.

Submit the manufacturer's instructions before installation.

1.6.3.8.1 Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

1.6.3.9 Format of SD-09 Manufacturer's Field Reports

Provide reports on 210 by 297 mm 8 1/2 by 11 inch paper in a complete bound volume.

By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

1.6.3.10 Format of SD-10 Operation and Maintenance Data (O&M)

Comply with the requirements specified in Section 01 78 23 OPERATION AND MAINTENANCE DATA for O&M Data format.

1.6.3.11 Format of SD-11 Closeout Submittals

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.

Provide all dimensions in administrative submittals in metric. Where data are included in preprinted material with English units only, submit metric dimensions on separate sheet.

1.6.4 Source Drawings for Shop Drawings

1.6.4.1 Source Drawings

The entire set of source drawing files (DWG) will not be provided to the Contractor. Request the specific Drawing Number for the preparation of shop drawings. Only those drawings requested to prepare shop drawings will be provided. These drawings are provided only after award.

SECTION 01 33 00 Page 19

1.6.4.2 Terms and Conditions

Data contained on these electronic files must not be used for any purpose other than as a convenience in the preparation of construction data for the referenced project. Any other use or reuse is at the sole risk of the Contractor and without liability or legal exposure to the Government. The Contractor must make no claim, and waives to the fullest extent permitted by law any claim or cause of action of any nature against the Government, its agents, or its subconsultants that may arise out of or in connection with the use of these electronic files. The Contractor must, to the fullest extent permitted by law, indemnify and hold the Government harmless against all damages, liabilities, or costs, including reasonable attorney's fees and defense costs, arising out of or resulting from the use of these electronic files.

These electronic source drawing files are not construction documents.

Differences may exist between the source drawing files and the corresponding construction documents. The Government makes no representation regarding the accuracy or completeness of the electronic source drawing files, nor does it make representation to the compatibility of these files with the Contractor hardware or software. The Contractor is responsible for determining if any conflict exists. In the event that a conflict arises between the signed and sealed construction documents prepared by the Government and the furnished source drawing files, the signed and sealed construction documents govern. Use of these source drawing files does not relieve the Contractor of the duty to fully comply with the contract documents, including and without limitation the need to check, confirm and coordinate the work of all contractors for the project. If the Contractor uses, duplicates or modifies these electronic source drawing files for use in producing construction data related to this contract, remove all previous indication of ownership (seals, logos, signatures, initials and dates).

1.6.5 Electronic File Format

NOTE: Use the following two paragraphs when electronic files are submitted.

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.] Compile the submittal file as a single, complete document, to include the Transmittal Form described within, and also separately attach the native files which were used to create PDF. The attached files should include the original digital files used to create the submittal. Name the electronic submittal file specifically according to its contents, and coordinate the file naming 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.

SECTION 01 33 00 Page 20

NOTE: The DOD SAFE Web Application described in the following paragraph may be used for Army and Navy projects.

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 DOD SAFE Web Application located at the following website: https://safe.apps.mil/ .

1.7 QUANTITY OF SUBMITTALS

NOTE: The quantities suggested below are consistent with the quantities to be retained by the Government, in paragraph QC ORGANIZATION RESPONSIBILITIES. Maintain the coordination.

1.7.1 Number of SD-01 Preconstruction Submittal Copies

Unless otherwise specified, submit [two][three] sets of administrative submittals.

1.7.2 Number of SD-02 Shop Drawing Copies

NOTE: Use when asking for hard copies of Shop Drawings and Product Data.

Submit [six][_____] copies of submittals of shop drawings requiring review and approval by a QC organization. Submit [seven][_____] copies of shop drawings requiring review and approval by the Contracting Officer.

1.7.3 Number of SD-03 Product Data Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.7.4 Number of SD-04 Samples

NOTE: For NAVFAC, require one sample in paragraph "a," and delete the second sentence of paragraph "a."

a. Submit [two] [_____] samples, or [two] [_____] sets of samples showing the range of variation, of each required item. One approved sample or set of samples will be retained by the approving authority and one will be returned to the Contractor.

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

c. Submit one sample installation, where directed.

SECTION 01 33 00 Page 21

d. Submit one sample of nonsolid materials.

1.7.5 Number of SD-05 Design Data Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.7.6 Number of SD-06 Test Report Copies

Submit in compliance with quantity and quality requirements specified for shop drawings, other than field test results that will be submitted with QC reports.

1.7.7 Number of SD-07 Certificate Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.7.8 Number of SD-08 Manufacturer's Instructions Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.7.9 Number of SD-09 Manufacturer's Field Report Copies

Submit in compliance with quantity and quality requirements specified for shop drawings other than field test results that will be submitted with QC reports.

1.7.10 Number of SD-10 Operation and Maintenance Data Copies

NOTE: In bracketed item, choose "three" copies for

NAVFAC.

Submit [five][three][_____] copies of O&M data to the Contracting Officer for review and approval.

1.7.11 Number of SD-11 Closeout Submittals Copies

Unless otherwise specified, submit [two][three] sets of administrative submittals.

1.8 INFORMATION ONLY SUBMITTALS

NOTE: This paragraph contains tailoring tags for Army and Design-Build.

Submittals without a "G" designation must be certified by the QC manager and submitted to the Contracting Officer for information-only. Provide information-only submittals to the Contracting Officer a minimum of 14 calendar days prior to the Preparatory Meeting for the associated Definable Feature of Work (DFOW). 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

SECTION 01 33 00 Page 22 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. For Design-Build construction, the Government will retain [_____] copies of information-only submittals.

1.9 PROJECT SUBMITTAL REGISTER

NOTE: Create the submittal register from the project specification files, at the conclusion of the design. In SPECSINTACT, choose "Export Submittal Register" from the "Process" pull-down menu. Local procedures should be responsive to the requirement that the submittal register, required with the QC plan, is usually due from the Contractor within 20 days after the Notice of Award.

NOTE: Use bracketed items for Army projects only.

A sample Project Submittal Register showing items of equipment and materials for when submittals are required by the specifications is provided as "Attachment A - Submittal Register."

NOTE: This paragraph contains ARMY, and DESIGN-BUILD tailoring

NOTE: Use the first bracketed sentence of the paragraph if the Contractor is required by the contract to use the RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM). Use the second bracketed sentence of the paragraph if RMS CM is not required. It may not be necessary or beneficial to use the RMS CM in small, simple, short-duration contracts/delivery orders for construction, or for other contracts where its use would not be in the best interest of the Government.

1.9.1 Submittal Management

Prepare and maintain a submittal register, as the work progresses. Do not change data that is output in columns (c), (d), (e), and (f) as delivered by Government; retain data that is output in columns (a), (g), (h), and

(i) as approved. As an attachment, provide a submittal register showing items of equipment and materials for which submittals are required by the specifications. This list may not be all-inclusive and additional

SECTION 01 33 00 Page 23 submittals may be required. Maintain a submittal register for the project in accordance with Section 01 45 00.15 10 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE(RMS CM).[ The Government will provide the initial submittal register ][in electronic format][ with the following fields completed, to the extent that will be required by the Government during subsequent usage.]

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

Column (d): Lists each submittal description (SD Number. and type, e.g., SD-02 Shop Drawings) required in each specification section.

Column (e): Lists one principal paragraph in each specification section where a material or product is specified. This listing is only to facilitate locating submitted requirements. Do not consider entries in column (e) as limiting the project requirements.

Column (f): Lists the approving authority for each submittal.

NOTE: Use the following paragraph for Army projects only.

Thereafter, the Contractor is to 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.

1.9.2 Design-Build Submittal Register

NOTE: Use the following paragraph for Army Design-Build projects only.

The Designer of Record develops a complete list of submittals during design and identify required submittals in the specifications, and use the list to prepare the Submittal Register.