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Renovate Vandenberg Hall, MEP Upgrades, Phase 5, USAFA, CO VAN5

Section 01 33 00 Page 1

SECTION 01 33 00

SUBMITTAL PROCEDURES

01/08; 08/08 (OMH)

PART 1 GENERAL

Attachments: ENG Form 4288, Submittal Register ENG Form 4025, Transmittal Form

The Contractor is responsible for total management of his work including approval, scheduling, control, and certification of all submittals. The submittal management system provided in these specifications is intended to be a complete system for the Contractor to use to control the quality of materials, equipment and workmanship provided by manufacturers, fabricators, suppliers and subcontractors. The Contractor shall review each submittal for contract compliance. This review is based on the contract drawings and specifications. Compliance with the Buy American Act is to be included in this review. The Contractor must provide the country of origin on ENG Form 4025 for each item submitted. Submittals that comply will be forwarded to the Government. Submittals that do not conform will be returned to the originator to be corrected. The Submittal Register (ENG Form 4288) will be utilized to log and monitor all submittal activities. No construction or installation activities are to be performed until required approvals of applicable submittals have been made. Check to assure that all materials and/or equipment have been tested, submitted, and approved during the preparatory phase of quality control inspections.

Contractor's Quality Control (CQC) System Manager shall check and approve all items prior to 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 Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections.

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

Each submittal is to be complete and in sufficient detail to allow ready determination of compliance with contract requirements.

Submittals requiring Government approval are to be scheduled and made prior to the acquisition of the material or equipment covered thereby. Pick up and dispose of any samples remaining upon completion of work in accordance with manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.

1.1 DEFINITIONS

1.1.1 Submittal Descriptions (SD)

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Submittals requirements are specified in the technical sections. Submittals are identified by Submittal Description (SD) numbers and titles as follows:

SD-01 Preconstruction Submittals

Submittals which are required prior to commencement of construction activities.

Work plan Quality control (QC) plan, unless included as an administrative submittal.

Permits Project Schedule

SD-07 Certificates

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.

Document required of Contractor, or of a manufacturer, supplier, installer or subcontractor through Contractor, the purpose of which is to further quality of orderly progression of a portion of the work by documenting procedures, acceptability of methods or personnel qualifications.

Confined space entry permits.

Text of posted operating instructions.

SD-11 Closeout Submittals

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

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.

In addition, the following items are included:

As-built drawings

Special warranties

Posted operating instructions

Training plan

1.1.2 Approving Authority

Office or designated person authorized to approve submittal.

1.1.3 Work

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.

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1.1.4 Administrative Submittals

The submittal items listed below are not to be included on the Submittal Register (as discussed below). Unless directed otherwise by the Contracting Officer, the following administrative submittals shall be submitted to the Area or Resident (as directed) Office, for acceptance, via a Serial Letter:

Quality Control Plans (Section 01 45 01 USACE QUALITY CONTROL, Accident Prevention Plans (Section 01 35 26 GOVERNMENTAL SAFETY STANDARDS, Revisions to Environmental Protection Plans (Section 01 57 20.00 10 ENVIRONMENTAL PROTECTION) and other submittals as directed by the Contracting Officer.

Format for the Serial Letter shall be as directed by the Area or Resident Office. The Contractor shall submit three (3) copies of administrative submittal items, unless directed otherwise.

1.2 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

Unless directed otherwise, the words "Government Approval" associated with "G"-designated submittals are interpreted in the context of the below defined submittal types. Submittal Reviewers include the following:

DO - District Office AE - Architect Engineer AO - Area Office or other designated Government Office RO - Resident Office

1.2.1 Government Approved

Government approval is required for extensions of design, critical materials, deviations, equipment whose compatibility with the entire system must be checked, and other items as designated by the Contracting Officer. All submittals noted in the technical specifications and Submittal Register as "G-DO", "G-AE", "G-AO" and "G-RO" are subject to Government Approval. Within the terms of the Contract Clause entitled "Specifications and Drawings for Construction," they are considered to be "shop drawings."

1.2.2 Information Only (FIO)

Submittals not requiring Government approval will be for information only.

1.3 PREPARATION

1.3.1 Transmittal Form

Use transmittal form (ENG Form 4025) for submitting both Government approved and information only submittals in accordance with the instructions on the reverse side of the form. This form is included in the QCS software that the Contractor is 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.

1.4 INFORMATION ONLY SUBMITTALS

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Normally submittals for information only will not be returned. Approval of the Contracting Officer is not required on information only submittals. The Government reserves the right to require the Contractor to resubmit any item found not to comply with the contract. This does not relieve the Contractor from the obligation to furnish material conforming to the plans and specifications; will not prevent the Contracting Officer from requiring removal and replacement of nonconforming material incorporated in the work;

and does not relieve the Contractor of the requirement to furnish samples for testing by the Government laboratory or for check testing by the Government in those instances where the technical specifications so prescribe.

1.5 VARIATIONS / SUBSTITUTION REQUESTS

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

1.5.1 Considering Variations

Discussion with Contracting Officer prior to submission will help ensure functional and quality requirements are met and minimize rejections and re-submittals. When contemplating a variation which results in lower cost, consider submission of the variation as a Value Engineering Change Proposal

(VECP).

Specifically point out variations from contract requirements in transmittal letters. Failure to point out deviations may result in the Government requiring rejection and removal of such work at no additional cost to the Government.

1.5.2 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 savings. In addition to documentation required for variation, include the submittals required for the item. Clearly mark the proposed variation in all documentation.

Check the column "variation" of ENG Form 4025 for submittals which include proposed deviations requested by the Contractor. Set forth in writing the reason for any deviations and annotate such deviations on the submittal. The Government reserves the right to rescind inadvertent approval of submittals containing unnoted deviations.1.5.3 Warranting That Variations Are Compatible

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.

1.5.4 Review Schedule Is Modified

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

1.6

SUBMITTAL REGISTER

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Prepare and maintain submittal register, as the work progresses. Do not change data which is output in columns (c), (d), (e), and (f) as delivered by Government; retain data which is output in columns (a), (g), (h), and (i) as approved. A submittal register showing items of equipment and materials for which submittals are required by the specifications is provided as an attachment. This list may not be all inclusive and additional submittals may be required. Maintain a submittal register for the project in accordance with Section 01 45 01.10 USACE QUALITY CONTROL SYSTEM (QCS). 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 No. and type, e.g. SD-02 Shop Drawings) required in each specification section.

Column (e): Lists one principal paragraph in 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 project requirements.

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

1.6.1 Use of Submittal Register

Submit submittal register. Submit with QC plan and project schedule. Verify that all submittals required for project are listed and add missing submittals. Coordinate and complete the following fields on the register submitted with the QC plan and the project schedule:

Column (a) Activity Number: Activity number from the project schedule.

Column (g) Contractor Submit Date: Scheduled date for approving authority to receive submittals.

Column (h) Contractor Approval Date: Date Contractor needs approval of submittal.

Column (i) Contractor Material: Date that Contractor needs material delivered to Contractor control.

1.6.2 Contractor Use of Submittal Register

Update the following fields in the Government-furnished submittal register program or equivalent fields in program utilized by Contractor with each submittal throughout contract.

Column (b) Transmittal Number: Contractor assigned list of consecutive numbers.

Column (j) Action Code (k): Date of action used to record Contractor's review when forwarding submittals to QC.

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Column (l) List date of submittal transmission.

Column (q) List date approval received.

1.6.3 Approving Authority Use of Submittal Register

Update the following fields in the Government-furnished submittal register program or equivalent fields in program utilized by Contractor.

Column (b) Transmittal Number: Contractor assigned list of consecutive numbers.

Column (l) List date of submittal receipt.

Column (m) through (p)List Date related to review actions.

Column (q) List date returned to Contractor.

1.6.4 Contractor Action Code and Action Code

Entries for columns (j) and (o), are to be used are as follows (others may be prescribed by Transmittal Form):

NR - Not Received

AN - Approved as noted

A - Approved

RR - Disapproved, Revise, and Resubmit

1.6.5 Copies Delivered to the Government

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

1.7 SUBMITTAL ITEM PROCEDURES

1.7.1 "G-DO" or "G-AE" Submittals

Except as noted below, all "G-DO" or "G-AE" submittals are to be submitted in seven (7) copies. All seven (7) copies are to be mailed directly to the addressee shown below using the transmittal form. Additionally, submit one

(1) copy of the transmittal form to the Area Engineer or Resident Engineer (as directed).

Technical Reviewer

District Office(DO)

James Janicek U.S. Army Corps of Engineers Omaha District Attn: CENWO-CD-S-TS 1616 Capital Ave Omaha, NE 68102-4901

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Items not to be submitted in multiples, such as samples and test cylinders, are to be submitted to the Area or Resident Engineer (as directed), accompanied by seven (7) copies of the transmittal form.

Submit each required submittal, which is in the form of a drawing, as seven

(7) prints of the drawing. Drawing prints are to be either blue or black line permanent-type prints on a white background or blueprint and shall be sufficiently clear and suitable for making legible copies.

Catalog cuts and other descriptive data which have more than one model, size, or type or which shows optional equipment must be clearly marked to show the model, size, or type and all optional equipment which is provided.

Submittals on component items forming a system or that are interrelated are to be submitted at one time as a single submittal in order to demonstrate that the items have been properly coordinated and will function as a unit.

Submit an additional copy of all submittals related to fire protection/detection systems concurrently to the Base Civil Engineering or Fire Department (addressee will be provided by the Resident Office). The mailing address for these submittals will be obtained at the preconstruction conference.

1.7.2 Government Approved (G-AO/G-RO) and FIO Submittals

Except as noted below, data for all Government Approved submittal items are to be submitted in five (5) copies to the Area or Resident Engineer (as directed). All five copies are to be submitted using the transmittal form.

Items not to be submitted in multiples, such as samples and test cylinders, are to be submitted to the Area or Resident Engineer (as directed) accompanied by five (5) copies of the transmittal form.

Except as noted below, data for all items listed as "FIO" Submittals in the various sections are to be submitted in five (5) copies. All five (5) copies are to be submitted to the Area or Resident Engineer (as directed) using the transmittal form. Items not to be submitted in multiples, such as samples and test cylinders, are to be submitted to the Area or Resident Engineer (as directed) accompanied by five (5) copies of the transmittal form.

All submittals must be reviewed and approved by the Contractor's Quality Control Representative prior to submittal to the Government.

The Government has the option to review any For Information Only submittals.

1.7.3 Certificates of Compliance

Each certificate must be signed by an official authorized to certify in behalf of the manufacturing company and contain the name and address of the Contractor, the project name and location, and the quantity and date or dates of shipment or delivery to which the certificates apply. Copies of laboratory test reports submitted with certificates must contain the name and address of the testing laboratory and the date or dates of the tests to which the report applies. Certification is not to be construed as relieving the Contractor from furnishing satisfactory material, if, after tests are performed on selected samples, the material is found not to meet the specific requirements.

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1.7.4 Purchase Orders

Copies of purchase orders are to be furnished to the Contracting Officer when the Contractor requests assistance for expediting deliveries of equipment or materials, or when requested by the Contracting Officer for the purpose of quality assurance review. Each purchase order issued by the Contractor or his subcontractors for materials and equipment to be incorporated into the project are to (1) be clearly identified with the applicable DA contract number, (2) carry an identifying number, (3) be in sufficient detail to identify the material being purchased, (4) indicate a definite delivery date, and (5) display the DMS priority rating, if applicable.

1.7.5 Operation and Maintenance Data/Manuals

Where required by various technical sections, operations and maintenance data/manuals are to be provided by the Contractor in two (2) hard copies and three (3) separate electronic copies (on CD-ROM), unless directed otherwise.

Provide legible hard copies of the operations and maintenance data that are assembled in three-ring binders with index and tabbed section dividers and having a cover indicating the contents by equipment or system name and and include the project title and location. The legible electronic copies of the operation and maintenance data on the CD-ROMs are to be in a Adobe Acrobat .PDF format (Version 7.0) and be organized using bookmarks that define the contents by equipment or system name and includes Project Name and Location, unless directed otherwise by the Contracting Officer. Include the same information on the CD-ROM cover. Operation and maintenance data for mechanical and electrical systems are to be submitted for approval to the Contracting Officer 90 days prior to final tests of these systems, unless otherwise specified. Each operation and maintenance manual must contain a copy of all warranties and a list of local service representatives required by Section 01 78 36.00 24 WARRANTY OF CONSTRUCTION. If field testing requires these copies to be revised, they are to be updated and resubmitted for approval within 10 calendar days after completion of tests. The Operations and Maintenance Data are to be shown as a separate activity on the Contractor prepared construction schedule bar chart or network analysis system. In addition, all wiring and control diagrams and approved system layout drawings must be submitted and included with the O&M Data.

1.7.6 Interior Finish Sample and Data

All submittals regarding color boards (Section 09 06 90 COLOR SCHEDULE) for interior finish samples and data are to be submitted concurrently and all submittals for exterior finish samples and data are to be submitted concurrently. These color boards are in addition to the samples required under the specific technical specifications listed as "samples".

1.8 SCHEDULING

Schedule and submit concurrently submittals covering component items forming a system or items that are interrelated. Allow a minimum of 20 calendar days, exclusive of mailing, for any Government reviews and approvals, unless directed otherwise. Include certifications to be submitted with the pertinent drawings at the same time. No delay damages or time extensions will be allowed for time lost in late submittals.

a. Coordinate scheduling, sequencing, preparing and processing of submittals with performance of work so that work will not be

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b. Submittals called for by the contract documents will be listed on the register. If a submittal is called for but does not pertain to the contract work, the Contractor is to include the submittal in the register and annotate it "N/A" with a brief explanation.

Approval by the Contracting Officer does not relieve the Contractor of supplying submittals required by the contract documents but which have been omitted from the register or marked "N/A".

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

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

1.9 GOVERNMENT APPROVING AUTHORITY

When approving authority is Contracting Officer, the Government will:

a. Note date on which submittal was received.

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

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

Upon completion of review of submittals requiring Government approval, stamp and date approved submittals. All copies of the approved submittal will be retained by the Contracting Officer, except for two (2) copies of the submittal which will be returned to the Contractor.

1.10 DISAPPROVED OR REJECTED SUBMITTALS

Contractor shall make corrections required by the Contracting Officer. If the Contractor considers any correction or notation on the returned submittals to constitute a change to the contract drawings or specifications;

notice as required under the clause entitled, "Changes" is to be given to the Contracting Officer. Contractor is responsible for the dimensions and design of connection details and construction of work. Failure to point out deviations may result in the Government requiring rejection and removal of such work at the Contractor's expense.

If changes are necessary to submittals, the Contractor shall make such revisions and submission of the submittals in accordance with the procedures above. No item of work requiring a submittal change is to be accomplished until the changed submittals are approved.

1.11 APPROVED/ACCEPTED SUBMITTALS

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

Approval or acceptance will not relieve the Contractor of the responsibility for any error which may exist, as the Contractor under the Contractor Quality Control (CQC) requirements of this contract is responsible for dimensions, the design of adequate connections and details, and the satisfactory construction of all work. After submittals have been approved or accepted by the Contracting Officer, no resubmittal for the purpose of substituting materials or equipment will be considered unless accompanied by an explanation of why a substitution is necessary.

1.12 APPROVED SAMPLES

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

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

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

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

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

1.13 WITHHOLDING OF PAYMENT

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

1.14 STAMPS

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

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| CONTRACTOR |

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

| SIGNATURE: __________________________________________________________ |

| TITLE: ______________________________________________________________ |

| DATE: _______________________________________________________________ |

PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

Not Used

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