Attachment 6 01 33 00 - Submittal Procedures_1.pdf

SECTION 01 33 00 Page 1

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 REFERENCES: (NOT USED)

1.2 DEFINITIONS

1.2.1 Submittal Definition, Shop drawings, product data, samples, administrative and closeout submittals, and additional data presented for review and approval by the Government.

1.3 SUBMITTAL TYPES

1.3.1 Material Submittals

Submittals for which review and approval will be made to ensure that the materials installed and process used for installation are in compliance with the design concept and contract documents. These include, but are not limited to, those items shown in paragraph 1.8 of this section. The following are examples of material approval data items:

a. Shop Drawings: As used in this Section, drawings, schedules, diagrams, and other data prepared specifically for this Contract, by the Contractor or through the Contractor by way of a subcontractor, manufacturer, supplier, distributor, or other lower tier contractor, to illustrate a portion of the work. Types are as listed in the paragraph 1.8, entitled "Schedule of Submittal Descriptions (SD)."

b. Product Data: Preprinted material such as illustrations, standard schedules, performance charts, instructions, brochures, diagrams, manufacturer's descriptive literature, catalog data, and other data to illustrate a portion of the work, but not prepared exclusively for this Contract. Types are as listed in the paragraph 1.8, entitled "Schedule of Submittal Descriptions (SD)."

c. Samples: Physical examples of products, materials, equipment, assemblies, or workmanship, physically identical to a portion of the work, illustrating a portion of the work or establishing standards for evaluating the appearance of the finished work or both. Types are as listed in the paragraph 1.8, entitled "Schedule of Submittal Descriptions (SD)."

NOTE: USE THE ATTACHED MINIMUM SUBMITTALS (File Name: AF Form 66 for 01 56 00 spec. Add additional rows to this spreadsheet for required submittals.}

1.3.2 Administrative and Closeout Submittals

Submittals of data for which review and approval will be to ensure that the administrative requirements of the contract are adequately met but not to ensure directly that the work is in accordance with the design concept and in compliance with the Contract documents. Submittals of this type include, but are not limited to, those items shown in paragraph 1.8 of this section.

Attachment 6 FA670324B0001 July 22 2024

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1.3.3 Approving Authority

The approving authority for all submittals shall be the Contracting Officer.

1.3.4 Work

As used in this Section, the construction required by the Contract documents, including labor necessary to produce the construction and materials, products, equipment, and systems incorporated or to be incorporated in such construction and including materials, products, equipment, and systems produced both on and off-site.

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

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.

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 For Information Only

Submittals not requiring 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." These submittals still have to be submitted to the Government but they are not subject to Government review.

1.4.3 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 use as specified in Section 01 33 29 SUSTAINABILITY REPORTING.

Schedule submittals for these items throughout the course of construction as provided; do not wait until closeout. These submittals are not for information only and shall be approved by the Government.

1.5 PROCEDURES FOR ADMINISTRATIVE AND CLOSEOUT SUBMITTALS

1.5.1 Administrative and closeout submittals shall be provided as the work progresses in accordance with the time frames established within the contract for each item. Should a delivery date fall on a weekend or a holiday, the submittal shall be due the next working day thereafter.

1.5.2 Unless otherwise stated, the Government shall have fifteen (15) working days for review and acceptance of each administrative/closeout submittal.

1.5.3 All administrative/closeout submittals shall be submitted by letter to the Contracting Officer. The format shall be as specified for each item at the point in the contract which establishes the requirement. If a format and applicable forms are not specified, the submittal may be made on 8 1/2" by 11" plain bond paper, double-sided. The item shall be neatly and legibly handwritten or typed.

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1.5.4 Warranties and operating instructions are required at the completion of the contract work and shall be submitted no later than thirty (30) calendar days after work is deemed to be substantially performed or beneficial occupancy is taken. Four copies of all warranties and operating instructions shall be provided unless otherwise specified. The Government shall have thirty(30) calendar days for review and acceptance. Operation and maintenance manual data also shall include components required in the various technical sections of this specification.

1.5.5 With the exception of as-built drawings, drawings included in an administrative or closeout submittal shall conform to the requirements of paragraph

1.8.3 of this section.

1.5.6 Unless otherwise stated, administrative and closeout submittals shall be submitted in quantities of four, one original and three copies.

1.6 PROCEDURES FOR MATERIAL SUBMITTALS

1.6.1 Limits and Constraints Regarding Material Submittals

a. Submittals shall be complete for each portion of the work; components of the work interrelated as a system shall be submitted at the same time.

b. When submittal acceptability is dependent on conditions, items, or materials included in separate subsequent submittals, the submittal will be returned without review.

c. Submittals of information not required as a submittal, or covering work for which the submittals have been returned as "approved" or "approved as noted," will be returned without review.

d. Approval of a separate material, product, or component does not imply approval of assembly in which the item functions.

e. The work shall conform to approved submittals as approved. In the event a previously approved submittal has an error or omission, the contractor shall revise the submittal and resubmit for approval. Government review, corrections or comments made on submittals do not relieve the contractor from compliance with the requirements of the drawings, specifications, addendums and contract documents. The government reserves the right to seek equitable compensation if submittals containing unnoted deviations are approved.

f. Approval of a submittal by the Contracting Officer shall not relieve the Contractor from the responsibility to provide materials which comply with project specifications.

g. All material submittals must be submitted on an AF Form 3000, entitled

Material Approval's submittal.

Review of submittals by the government will not be construed as a complete check, but indicates only that the submittals are in general conformance with the design concept and with the information given in the Contract Documents. This approval shall not relieve the contractor from responsibility for errors and omissions.

1.6.2 Scheduling of Material Submittals - SUBMITTAL REGISTER (AF FORM 66)

a. Material submittals requiring government review and/or approval are defined in each section of the specification. AF Form 66 contains a listing of items

SECTION 01 33 00 Page 4 of equipment and materials for which submittals are required by the specifications; this list may not be all inclusive and additional submittals may be required. The contractor shall complete and submit the forms to the Contracting Officer for approval within 15 calendar days after Notice-to- Proceed or at the direction of the Contracting Officer. The approved submittal register will become the scheduling document and will be used to control submittals throughout the life of the contract. The submittal register and the progress schedule shall be coordinated. The Contractor shall carefully control his/her procurement operations to ensure that each individual submittal is made on or before the Contract scheduled submittal date shown on the approved “Submittal Register.” Approval must be obtained from the Contracting Officer before the Contractor initiates any work for which material submittals are required. Submittals for critical items or long lead items shall be submitted individually to expedite processing.

c. The Contractor shall coordinate preparation and processing of submittals with performance of the work so that work will not be delayed by submittal processing. Also, coordinate and sequence different categories of submittals for same work and for interfacing units of work, so that one will not be delayed by coordination with another.

d. Except as otherwise specified, the Government will have fifteen (15) working days, beginning with receipt by the Contracting Officer, for review and approval of each material submittal. The period of review is the same for both the submittal and resubmittal.

e. For submittals requiring approval by the Fire Protection Engineer, the Government shall have, beginning with receipt by the Contracting Officer, 30 calendar days for review and approval of the submittal. The period of review is the same for both the submittal and resubmittal.

f. Resubmittals for disapproved items shall be made within the time specified on the AF Form 3000 by the Contracting Officer.

1.6.3 Contractor Responsibilities

a. Determine and verify field measurements, materials, field construction criteria; review each submittal; and check and coordinate each submittal with requirements of the work and Contract documents.

b. Ensure that material is clear and legible. Ensure required specialty stamps are affixed and signed.

c. Stamp each sheet of each submittal with the Contractor's certificating stamp, except that data submitted in bound volume or on one sheet printed on two sides may be stamped on the front of the first sheet only. Word the submittal stamp as follows:

"I hereby certify that the (equipment) (material) (article) shown and marked in this submittal is that proposed to be incorporated into Project Number

_, , is in compliance with the Contract drawings and specifications, can be installed in the allocated spaces, and is submitted for Government approval.

Certified by Date "

Note that this certification shall be placed on data attached to the AF Form 3000, not the AF Form 3000 itself.

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d. Sign the Contractor's certification. The person signing the certification shall be one designated in writing by the Contractor as having that authority. The signature shall be in original ink. Stamped signatures are not acceptable.

e. Transmit submittals to the Contracting Officer in orderly sequence, to prevent project delays and delays in work by the Government or separate contractors.

f. Proposed deviations from the contract requirements shall be clearly identified. Advise the Contracting Officer of submittals which include a proposed deviation requested by the Contractor, the reason for deviation shall be annotated on the submittal. The notification shall be inserted directly under the AF Form 3000 and shall clearly state that the submittal includes deviations from the specifications and drawings. Government review, corrections or comments made on submittals do not relieve the contractor from compliance with the requirements of the drawings, specifications, addendums and contract documents. The government reserves the right to seek equitable compensation if submittals containing unnoted deviations are approved

g. Correct and resubmit submittal as directed by the Contracting Officer.

Direct specific attention, in writing or on resubmitted submittal, to revisions not requested by the Contracting Officer on previous submissions.

h. Retain a copy of approved submittals at the project site, including the

Contractor's copy of approved samples.

i. Furnish additional copies of submittals if requested by Contracting Officer, limit of 5.

j. Ensure no work is begun until the submittals for that work have been returned as "approved" or "approved as noted," except to the extent that a portion of the work must be accomplished as a basis of the submittal.

k. If an “or equal” product is submitted for approval, the contractor shall identify in the submittal what features are the same as the brand name product and what differences exist between the equal product and the brand name product.

1.6.4 Approving Authority's Responsibilities

a. Submittals will be reviewed for approval with reasonable promptness and only for conformance with project design concepts and compliance with the Contract documents.

b. Submittals will be returned with one of the following notations:

(1) Submittals marked "approved" or "approved as submitted" authorize the Contractor to proceed with the work covered.

(2) Submittals marked "approved as noted" authorize the Contractor to proceed with the work as noted provided the Contractor takes no exception to the notations and complies with all notations.

(3) Submittals marked "disapproved" indicate the submittal does not comply with the design concept or the requirements of the Contract documents and shall be resubmitted with appropriate changes.

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1.7 FORMAT AND QUANTITY OF MATERIAL SUBMITTALS

1.7.1 Transmittal Form

Use of Transmittal Form AF Form 3000 is required. Transmit each submittal, except sample installations and sample panels, to the office of the Contracting Officer.

1.7.2 Identifying Submittals

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

a. Project title and location.

b. Construction Contract number.

c. The Section and Paragraph number of the Specification Section in which the submittal is required.

d. Submittal number - Submittals shall be numbered sequentially by date submitted including re-submittals. Each submittal number shall be unique. A resubmittal shall be numbered in sequence as though an original submittal and shall include a reference to the submittal number for which the resubmittal is being made.

e. The name, address, and telephone number of the subcontractor, supplier, manufacturer and any other second tier contractor associated with the submittal.

f. Product identification and location in project.

g. All submitted documents or files pertaining to a certain item needs to reference the section and paragraph number in the file or document title.

Identify within the document by circling or highlighting all the requirements showing that it meets the specification and which item number it refers to.

1.7.3 Format and Quantity for Shop Drawings

a. For shop drawings presented on sheets larger than 8 1/2-inches by 14 inches, submit one reproducible and three prints of each required shop drawing prepared for this project.

(1) Transmit re-producibles rolled in mailing tubes.

(2) Include on each drawing the drawing title, number, date, and revision numbers and dates, in addition to the information "Identifying Submittals."

(3) After review, the approving authority will retain the prints and return only the reproducible with notation resulting from the review.

b. For shop drawings presented on sheets 8 1/2-inches by 14 inches or less, conform to the format and quantity requirements for product data, and present as a part of the bound volume for the submittals required by the Section.

c. Dimension drawings, except diagrams and schematic drawings; prepare

SECTION 01 33 00 Page 7 dimensioned drawings to scale. Identify materials and products for work shown.

d. Shop drawings shall be not less than 8 1/2 by 11 inches nor more than 30 by

42 inches.

1.7.4 Format and Quantity for Product Data

a. Submit 3 copies of submittals of product data.

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

c. Indicate, by prominent notation, each product which is being submitted;

indicate the Section and paragraph numbers to which it pertains.

d. Supplement product data with material prepared for the project to satisfy submittal requirements for which product data does not exist. Note that the material is developed specifically for the project.

1.7.5 Format and Quantity of Samples

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

(1) Sample of equipment or device: Full size.

(2) Sample of materials less than 2 by 3 inches: Built up to 8 1/2 by

11 inches.

(3) Sample of materials exceeding 8 1/2 by 11 inches: Cut down to 8 1/2 by 11 inches and adequate to indicate color, texture, and material variations.

(4) Sample of linear devices or materials, such as, conduit and handrails: 10-inch length or length to be supplied, if less than 10 inches.

(5) Sample of non-solid materials, such as, sand and paint.

(6) Color selection samples: 2 inches by 4 inches.

(7) Sample panel: 4 feet by 4 feet.

(8) Sample Installation: 100 square feet.

b. Samples showing range of variation: Where variations are unavoidable due to the nature of the materials, submit sets of samples of not less than three units showing the extremes and middle of the range.

c. Quantity, unless otherwise specified:

(1) Submit two samples, or two sets of samples showing 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.

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(2) Submit one sample panel. include components listed in technical section, as required by specifications.

(3) Submit one sample installation, as required by specifications.

(4) Submit one sample of non-solid materials, as required by specifications.

d. Recording of sample installation: Note and preserve the notation of the area constituting the sample installation but remove the notation at the final clean up of the project.

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

1.8 SCHEDULE OF SUBMITTAL DESCRIPTIONS

(SD) SD-AA, Progress Schedule

Schedule for performance of work for the project, Contract Progress Schedule. (A type of administrative or closeout submittal.)

SD-BB, Progress Reports

Bi-weekly progress reports on work completed, Progress Report. ( A type of administrative or closeout submittal.) SD-01, Data

Submittals which provide calculations, descriptions, or documentation regarding the work.

SD-01 Preconstruction Submittals

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. No demolition, construction, or any other type of work can start on the site until all pre-construction submittals have been approved.

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.

Certificates Of Insurance

Surety Bonds

List Of Proposed Subcontractors

List Of Proposed Products

Baseline Network Analysis Schedule (NAS)

Submittal Register

Schedule Of Prices Or Earned Value Report

Accident Prevention PlanHealth And Safety Plan

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Work Plan

Quality Control (QC) plan

Environmental Protection 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.

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.

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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 (SDS)concerning impedances, hazards and safety precautions.

SD-09 Manufacturer's Field Reports

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 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.

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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.

PART 2 – PRODUCTS (NOT USED)

PART 3 – EXECUTION (NOT USED).

-- End of Submittal Procedures --