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SABER Solicitation FA2517-08-R-5002

01 33 00-1 03/24/09

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 DEFINITIONS

1.1.1 Submittal

1.1.1.1 Contract Clauses "FAR 52.236-5, Material and Workmanship," paragraph (b) and "FAR

52.236-21, Specifications and Drawings for Construction," paragraphs (d), (e), and (f) apply to all "submittals."

1.1.2 Submittal Descriptions (SD)

1.1.2.1 Submittal requirements are specified in the technical sections and the Task Order Statement of

Work. Submittals are identified by SD numbers and titles as follows.

a. SD-01 Preconstruction Submittals

(1) Submittals which are required prior to a notice to proceed on a new contract. Submittals required prior to the start of the next major phase of the construction on a multi-phase contract. Schedules or 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, submitted prior to contract notice to proceed or next major phase of construction.

(a) Certificates of insurance.

(b) Surety bonds.

(c) List of proposed subcontractors.

(d) List of proposed products.

(e) Construction Progress Schedule.

(f) Submittal register.

(g) Schedule of prices.

(h) Health and safety plan.

(i) Work plan.

(j) Quality control plan.

(k) Environmental protection plan.

(l) List of hazardous materials to be used on the project, to include AF Form 3952 and manufacturer’s MSDS for each material. Prime contractor is responsible for insuring all sub-contractors comply with this submittal request.

b. SD-02 Shop Drawings

(1) Drawings, diagrams and schedules specifically prepared to illustrate some portion of the work.

(2) Diagrams and instructions from a manufacturer or fabricator for use in producing the

01 33 00-2 03/24/09 product and as aids to the Contractor for integrating the product or system into the project.

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

c. SD-03 Product Data

(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.

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

d. SD-04 Samples

(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.

(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.

(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.

e. SD-05 Design Data

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

f. SD-06 Test Reports

(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.)

(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.

(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.

(4) Investigation reports.

(5) Daily logs and checklists.

(6) Final acceptance test and operational test procedure.

g. SD-07 Certificates

(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.

(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

01 33 00-3 03/24/09 qualifications.

(3) Confined space entry permits.

(4) Text of posted operating instructions.

h. SD-08 Manufacturer's Instructions

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

i. SD-09 Manufacturer's Field Reports

(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.

(2) Factory test reports.

j. SD-10 Operation and Maintenance Data

(1) Data that is furnished by the manufacturer, or the system provider, to the equipment operating and maintenance personnel. This data is needed by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item.

(2) This Data is intended to be incorporated in an operations and maintenance manual or control system.

k. SD-11 Closeout Submittals

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

(2) Special requirements necessary to properly close out a construction contract. For example, Record Drawings, manufacturer's help and product lines necessary to maintain and install equipment. Also, submittal requirements necessary to properly close out a major phase of construction on a multi-phase contract.

(3) Recovered Materials Estimate and Certification Form (RMECEF) listing all Environmental

Protection Agency (EPA) Comprehensive Procurement Guide (CPG) recovered materials used during the execution of the contract.

1.1.2.2 Approving Authority

a. Office or designated person authorized to approve submittal.

1.1.2.3 Work

a. As used in this section, on- 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.

1.2 SUBMITTALS

1.2.1 Government approval is required on the following items:

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1.2.1.1 SD-01 Preconstruction Submittals

a. Submittal register

1.3 SUBMITTAL REGISTER

1.3.1 Prepare and maintain submittal register, as the work progresses. Use electronic submittal register program furnished by the Government or other format indicated in the Task Order or approved by the Contracting Officer. Once a submittal has been approved, this item may be added to the

Master Submittal Register if agreed upon by the Contractor and the Government.

1.3.1.1 The items shall be separated by Construction Specifications Index (CSI) division (2-48). The numbering of the items in each division will start at “1” and ascend for each subsequent item.

For example, the third item on the Master Submittal Register in Division 16 would be 16-3, and the thirteenth item in Division 4 would be 4-13.

1.3.1.2 Subsequent submittals may then reference items by number from the Master Submittal Register for approval on the current Task Order. Approval for the use of an item on the master register shall not be automatic in subsequent Task Orders.

1.3.1.3 The Contractor shall keep a separate book for each installation. The Government will keep up their copy. The Contractor shall provide an updated index sheet to the Government within five

(5) workdays whenever an item is added to the list.

1.4 CONTRACT SUBMITTAL REQUIREMENTS

1.4.1 In addition to submittals required in each task order, these specifications require various contract submittals. The Contractor shall provide these submittals in accordance with the instructions found in these specifications and on the Submittal Register.

1.5 STANDARD PRODUCTS

1.5.1 Materials and equipment shall be standard products of a manufacturer regularly engaged in the manufacturing of such products, which are of a similar material, design and workmanship. All products shall be new unless otherwise directed in the TO SOW. See Section 01 34 00 for affirmative procurement – recycled materials requirements.

1.6 SUBMITTAL REQUIREMENTS

1.6.1 The Contractor shall submit to the CO, all items listed or specified for each proposal within 10 working days after task order award, or as otherwise established or directed by the Contracting

Officer. The CO may request submittals in addition to those listed on the task order when deemed necessary to adequately describe the work covered in the respective sections. Submittals pertinent to materials and equipment that are subject to advance approval shall be scheduled and made prior to the acquisition or the delivery thereof. Each submittal shall be complete and in sufficient detail for ready determination of compliance with the contract requirements. Submittals shall include such items as: project schedule, descriptive literature (i.e. catalog cuts, diagrams, operation charts/data); test reports; certificates of compliance; actual material sample; fabricator's drawings; shop drawings; operation and maintenance (O&M) manuals including parts lists, certifications, warranties and other such required submittals.

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1.7 PROCEDURES FOR SUBMISSION

1.7.1 The Contractor shall use AF Form 3000, Material Submittal, in strict accordance with the instructions on the reverse side thereof. This form shall be reproduced by the Contractor (the instructions on the back need not be reproduced). Special care should be exercised to ensure proper listing of the specification/drawing reference pertinent for each item submitted. All submittals shall be prepared and provided with a copy of AF Form 3000. A minimum of one original and two copies of an AF Form 3000 with the corresponding submittal and copies of the submittal will be provided by the Contractor to the CO unless otherwise specified in the Task

Order.

1.7.1.1 Variations: Variations from contract requirements require Government approval pursuant to contract Clause entitled "FAR 52.236-21, Specifications and Drawings for Construction" and will be considered where advantageous to Government.

1.7.1.2 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. If lower cost is a benefit, also include an estimate of the cost saving. In addition to documentation required for variation, include the submittals required for the item. Clearly mark the proposed variation in all documentation. When delivering a variation for approval, Contractor warrants that this contract has been reviewed to establish that the variation, if incorporated, will be compatible with other elements of work.

1.8 CONTRACTOR'S RESPONSIBILITIES

1.8.1 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.

1.8.2 Correct and resubmit submittal as directed by approving authority. When resubmitting disapproved transmittals or transmittals noted for resubmittal, the Contractor shall provide copy of that previously submitted transmittal including all reviewer comments for use by approving authority. Direct specific attention in writing or on resubmitted submittal, to revisions not requested by approving authority on previous submissions.

1.8.3 Furnish additional copies of submittal when requested by Contracting Officer, to a limit of 10 copies per submittal.

1.8.4 The Contractor’s Quality Control Officer will certify submittals forwarded to Contracting Officer with the following statement:

"I hereby certify that the (equipment) (material) (article) shown and marked in this submittal is that proposed to be incorporated with contract Number _____, is in compliance with the contract drawings and specification, can be installed in the allocated spaces, and is submitted for Government approval.

Certified by Submittal Reviewer _____________________, Date _______

(Signature when applicable)

Certified by QC Officer _____________________________, Date ______"

(Signature)

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1.8.5 Ensure no work has begun until submittals for that work have been returned as "approved," or

"approved as noted", except to the extent that a portion of work must be accomplished as basis of submittal.

1.9 GOVERNMENT ACTIONS

1.9.1 The Contracting Officer will note date on which submittal was received and identify returned submittals with one of the actions defined in paragraph entitled "Actions Possible" and with markings appropriate for action indicated.

1.9.1.1 Actions Possible

a. Submittals marked "not reviewed" will indicate one of the following:

(1) Submittal has been previously reviewed and approved .

(2) Submittal is not required .

(3) Submittal does not have evidence of being reviewed and approved by Contractor.

(4) Submittal is not complete.

b. 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.

c. Submittals marked "approved" "approved as submitted" authorize Contractor to proceed with work covered.

d. Submittals marked "approved as noted" or "approval except as noted; resubmission not required" authorize Contractor to proceed with work as noted provided Contractor takes no exception to the notations.

e. Submittals marked "revise and resubmit" or "disapproved" indicate submittal is incomplete or does not comply with design concept or requirements of the contract documents and shall be resubmitted with appropriate changes. No work shall proceed for this item until resubmittal is approved.

1.10 FORMAT OF SUBMITTALS

1.10.1 Identifying Submittals

1.10.1.1 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 transmittal form. Mark each copy of each submittal identically, with the following:

a. Project title and location.

b. Construction contract number.

c. Section number of the specification section by which submittal is required.

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

e. Resubmittals shall maintain the same original number with an alpha indicator in parentheses following it. This alpha indicator will start with “(A)” and continue through the alphabet for further resubmittals. For example, if the original submission number was 500, the first

01 33 00-7 03/24/09 resubmittal would be numbered 500(A), and the second resubmittal would be numbered

500(B).

f. Name, address, and telephone number of subcontractor, supplier, manufacturer and any other second tier Contractor associated with submittal.

g. Product identification and location in project.

1.10.2 Format for SD-02 Shop Drawings

1.10.2.1 Shop drawings shall not be less than A4 (8-1/2 by 11 inches) or more than AO (30 by 42 inches).

1.10.2.2 Present A4 (8-1/2 by 11 inches) sized shop drawings as part of the bound volume for submittals required by section. Present larger drawings in sets.

1.10.2.3 Include on each drawing the drawing title, project number, date, and revision numbers and dates, in addition to information required in paragraph entitled "Identifying Submittals."

1.10.2.4 Dimension drawings, except diagrams and schematic drawings; prepare drawings demonstrating interface with other trades to scale. Shop drawing dimensions shall be the same unit of measure as indicated on the contract drawings. Identify materials and products for work shown.

1.10.2.5 Drawings shall include the nameplate data, size and capacity. Also include applicable federal, military, industry and technical society publication references.

1.10.3 Format of SD-03 Product Data and SD-08 Manufacturer's Instruction

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

1.10.3.2 Indicate, by prominent notation, each product which is being submitted; indicate specification section number and paragraph number to which it pertains.

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

1.10.3.4 Product data shall include the manufacturer's name, trade name, place of manufacture, and catalog model or number. Submittals shall also include applicable federal, military, industry and technical society publication references. Should manufacturer's data require supplemental information for clarification, the supplemental information shall be submitted as specified for

SD-07 Certificates.

1.10.3.5 Where equipment or materials are specified to conform to industry and technical society reference standards of the organizations such as American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), and 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

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Contracting Officer. The certificate shall state 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.

1.10.3.6 Submit manufacturer's instruction prior to installation.

1.10.4 Format of SD-04 Samples

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

a. Sample of Equipment or Device: Full size.

b. Sample of Materials Less Than 2 by 3 inches: Built up to A4 8-1/2 by 11 inches.

c. Sample of Materials Exceeding A4 8-1/2 by 11 inches: Cut down to A4 8-1/2 by 11 inches if adequate to indicate color, texture, and material variations.

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

e. Sample of Non-Solid Materials: Pint. Examples of non-solid materials are sand and paint.

f. Color Selection Samples: 2 by 4 inches.

g. Sample Panel: 4 by 4 feet.

h. Sample Installation: 100 square feet.

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

1.10.4.3 Reusable Samples: Incorporate returned samples into work only if so specified or indicated.

Incorporated samples shall be in undamaged condition at time of use.

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

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

1.10.5 Format of SD-05 Design Data and SD-07 Certificates

1.10.5.1 Provide design data and certificates on 8-1/2 by 11 inches paper. Provide a bound volume for submittals containing numerous pages.

1.10.6 Format of SD-06 Test Reports and SD-09 Manufacturer's Field Reports

1.10.6.1 Provide reports on 8-1/2 by 11 inches paper in a complete bound volume.

1.10.6.2 Indicate by prominent notation, each report in the submittal. Indicate specification number and paragraph number to which it pertains.

1.10.7 1.10.7 Format of SD-10 Operation and Maintenance Data (O&M)

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1.10.7.1 O&M Data format shall comply with the requirements specified in Section 01 78 23 Operation

And Maintenance Data

1.10.8 Format of SD-01 Preconstruction Submittals and SD-11 Closeout Submittals

1.10.8.1 When submittal includes a document which is to be used in project or become part of project record, other than as a submittal, do not apply Contractor's approval stamp to document, but to a separate sheet accompanying document.

1.11 QUANTITY OF SUBMITTALS

1.11.1 Number of Copies of SD-02 Shop Drawings

1.11.1.1 Submit six copies of submittals of shop drawings requiring review and approval by Contracting

Officer.

1.11.2 Number of Copies of SD-03 Product Data and SD-08 Manufacturer's Instructions

1.11.2.1 Submit in compliance with quantity requirements specified for shop drawings.

1.11.3 Number of Samples SD-04 Samples

1.11.3.1 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 approving authority and one will be returned to Contractor.

1.11.3.2 Submit one sample panel. Include components listed in technical section or as directed.

1.11.3.3 Submit one sample installation, where directed.

1.11.3.4 Submit one sample of non-solid materials.

1.11.4 Number of Copies SD-05 Design Data and SD-07 Certificates

1.11.4.1 Submit in compliance with quantity requirements specified for shop drawings.

1.11.5 Number of Copies SD-06 Test Reports and SD-09 Manufacturer's Field Reports

1.11.5.1 Submit in compliance with quantity with quality requirements specified for shop drawings.

1.11.6 Number of Copies of SD-10 Operation and Maintenance Data

1.11.6.1 Submit three copies of O&M Data to the Contracting Officer for review and approval.

1.11.7 Number of Copies of SD-01 Preconstruction Submittals and SD-11 Closeout Submittals.

1.11.7.1 Unless otherwise specified, submit administrative submittals in compliance with quantity requirements specified for shop drawings.

file:///D:\DOCUMENTS%20AND%20SETTINGS\TARA.MOELLER\MY%20DOCUMENTS\UFGS\MASTERS\UFGS\prntdata\01%2078%2023.doc

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1.12 APPROVED SUBMITTALS

1.12.1 The Contracting Officer's approval of submittals shall not be construed as a complete check, but will indicate only that the general method of construction, materials, detailing and other information are satisfactory, and the design, general method of construction, materials, detailing and other information appear to meet the Solicitation and Accepted Proposal. Approval 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 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.

1.13 DISAPPROVED SUBMITTALS

1.13.1 The Contractor shall make all corrections required by the Contracting Officer and promptly furnish a corrected submittal in the form and number of copies specified for the initial submittal.

If the Contractor considers any correction indicated on the submittals to constitute a change to the contract, a notice in accordance with the Contract Clause "Changes" shall be given promptly to the Contracting Officer.

1.14 WITHHOLDING OF PAYMENT

1.14.1 Payment for materials incorporated in the work will not be made if required approvals have not been obtained.

1.15 GENERAL

1.15.1 The Contractor shall make submittals as required by the Task Order Statement of Work. 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 shall be the same as those used in the contract drawings. Each submittal shall be complete and in sufficient detail to allow ready determination of compliance with contract requirements. Prior to submittal, all items shall be checked and approved by the

Contractor's Quality Control Officer (QCO), and each item shall be stamped, signed, and dated by the QCO indicating action taken. Proposed deviations from the contract requirements shall be clearly identified

1.16 SCHEDULING

1.16.1 Submittals covering component items forming a system or items that are interrelated shall be scheduled to be coordinated and submitted concurrently. Certifications to be submitted with the pertinent drawings shall be so scheduled. No delay damages or time extensions will be allowed for time lost in late submittals.

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PART 2 PRODUCTS – Not Used

PART 3 EXECUTION – Not Used

END OF SECTION 01 33 00