01_33_00_Submittal_Procedures_16_Feb_12.pdf

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SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

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.

The Contractor and the Designer of Record, if applicable, are to check and approve all items prior to submission to the Government; 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 additional information, as deemed necessary, to approve submittals.

Submittals requiring Government approval are to be scheduled and made prior to the acquisition of the material or equipment covered thereby.

Samples remaining upon completion of the work must be picked up and disposed of 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)

Submittals are identified by Submittal Description (SD) numbers and titles as described below.

Note: Descriptions below include examples of the type of submittals that may be required; they are not intended to be all inclusive of the requirements for any particular task order. Actual submittal requirements will be specified in the technical specifications generated for each Task

Order.

SD-01 Preconstruction Submittals

Submittals required prior to the start of construction or submittals required prior to the start of the next major phase of construction on a multi-phase contract.

List of proposed products

Construction Progress Schedule

Submittal register

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Health and safety plan

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 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.

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. (Testing must have been within three years of date of contract award for the project.)

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.

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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.

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 product, system or material meets specification requirements. Must be dated after award of project contract and clearly name the project.

Documents 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-08 Manufacturer's Instructions

Preprinted material describing installation of a product, system or material, including special notices and Material Safety Data sheets 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 must state the test results; and indicate whether the material, product, or system has passed or failed the test.

Factory test reports.

SD-11 Closeout Submittals

Submittals necessary to properly close out a construction contract. Also, submittal requirements necessary to properly close out a major phase of construction on a multi-phase contract.

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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.

1.2 SUBMITTALS

Government approval is required for all submittals. Submit the following in accordance with this section.

SD-01 Preconstruction Submittals

Submittal register

1.3 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.3.1 Designer of Record Approved (DA)

Designer of Record (DOR) approval is required for extensions of design, critical materials, any deviations 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. Within the terms of the Contract Clause entitled "Specifications and

Drawings for Construction," they are considered to be "shop drawings." Contractor to provide the Government with the number of copies designated hereinafter of all DOR approved submittals. The Government will review all Designer of Record approved submittals for conformance to the Task Order and the completed design. The Government will review all submittals designated as deviating from the Task Order as described below. Design submittals to be in accordance with contract Summary of Work. Generally, design submittals should be identified as SD-05 Design Data submittals.

1.3.2 Government Approved

Government approval is required for all submittals. Within the terms of the Contract Clause entitled "Specifications and Drawings for Construction," they are considered to be "shop drawings."

1.3.3 Government Conformance Review of Design (CR)

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The Government will review all intermediate and final design submittals for conformance with the technical requirements of the solicitation. Contract Summary of Work 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 contract Summary of Work. Generally, design submittals should be identified as

SD-05 Design Data submittals.

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

1.3.4.1 Deviations to the Accepted Design

Designer of Record approval and the Government's concurrence are required for any proposed deviation from the accepted design which still complies with the contract before the Contractor is authorized to proceed with material acquisition or installation. Within the terms of the Contract

Clause entitled "Specifications and Drawings for Construction", they are considered to be "shop drawings." If necessary to facilitate the project schedule, the Contractor and the DOR may discuss a submittal proposing a deviation with the Contracting Officer's Representative prior to officially submitting it to the Government. However, the Government reserves the right to review the submittal before providing an opinion, if deemed necessary. In any case, the

Government will not formally agree to or provide a preliminary opinion on any deviation without the DOR's approval or recommended approval. The Government reserves the right to non-concur with any deviation from the design, which may impact furniture, furnishings, equipment selections or operations decisions that were made, based on the reviewed and concurred design.

1.3.4.2 Substitutions

If the Contractor desires to substitute manufacturer or model after award where the accepted contract proposal named products, systems, materials or equipment by manufacturer, brand name and/or by model number or other specific identification, submit a requested substitution for

Government concurrence, unless prohibited or provided for otherwise elsewhere in the Contract.

Include substantiation, identifying information and the DOR's approval, as meeting the contract requirements and that it is equal in function, performance, quality and salient features to that in the accepted contract proposal.

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

In addition to the above stated requirements for proposed deviations to the accepted design, both

Designer of Record 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 deviation to the Task Order, which constitutes a change to the contract terms. Within the terms of the Contract Clause entitled "Specifications and Drawings for Construction", they are considered to be "shop drawings". The Government reserves the right to accept or reject any such proposed deviation at its discretion.

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1.4 PREPARATION

Transmit each submittal, except sample installations and sample panels to the Contracting

Officer using an AF Form 3000. On the transmittal form identify Contractor, indicate date of submittal, and include information prescribed by transmittal form and required in paragraph entitled "Identifying Submittals." Process transmittal forms to record actions regarding sample(s), installations, or panels.

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.

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 (AF FORM 66)

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1.6.1 Construction Only Task Orders

Provide as an attachment to each Task Order a submittal register (AF FORM 66) showing items of equipment and materials for which submittals are required by the specifications. Generally, the submittal register provided by the Government will be inclusive of all submittals required for a Task Order. On a limited basis, additional submittals may be required as determined by the

Contracting Officer. The Government will provide the initial submittal register in electronic format.

1.6.2 Design-Build

The Designer of Record shall develop a complete list of submittals during design and identify required submittals in the specifications, and use the list to prepare the Submittal Register (AF

FORM 66). The list may not be all inclusive and additional submittals may be required by other parts of the contract. The Contractor is required to complete the submittal register and submit it to the Contracting Officer for approval within 30 calendar days after Notice to Proceed. The approved submittal register will serve as a scheduling document for submittals and will be used to control submittal actions throughout the contract period. Coordinate the submit dates and need dates with dates in the Contractor-prepared progress schedule. Submit monthly, or until all submittals have been satisfactorily completed, updates to the submittal register showing

Contractor actions and actual dates with Government actions. Revise the submittal register when the progress schedule is revised and submit both for approval.

1.7 SCHEDULING

Schedule and submit concurrently submittals covering component items forming a system or items that are interrelated. 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 delayed by submittal processing. Allow for potential re-submittal of requirements.

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."

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e. For planning purposes, unless specified otherwise, allow review period, beginning with receipt by approving authority, that includes a minimum of fifteen (15) working days for submittals for Contracting Officer approval.

g. Period of review for each re-submittal is the same as for initial submittal.

1.7.1 Reviewing, Certifying, Approving Authority

The Contractor is responsible for reviewing and certifying that submittals are in compliance with contract requirements. Approving authority on submittals is the Contracting Officer.

1.7.2 Government Reviewed Design

The Government will review all design submittals for conformance with the technical requirements of the Task Order. Contract Summary of Work covers the design submittal and review process in detail. Government review is required for deviation from the completed design. Review will be only for conformance with the contract requirements. The Government will review extensions of design such as structural steel or reinforcement shop drawings.

1.8 GOVERNMENT APPROVING AUTHORITY

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. Two (2) copies of the approved submittal will be retained by the

Contracting Officer and one (1) copy of the submittal will be returned to the Contractor. If the

Government performs a conformance review of other Designer of Record approved submittals, the submittals will be so identified and returned, as described above.

1.9 REVIEW NOTATIONS

Contracting Officer review will be completed within fifteen (15) calendar days after date of submission. Submittals will be returned to the Contractor with the following notations:

a. Submittals marked "approved" authorize the Contractor to proceed with the work covered.

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

c. Submittals marked "disapproved" indicate noncompliance with the contract requirements or design concept, or that submittal is incomplete. Resubmit with appropriate changes. No work shall proceed for this item until re-submittal is approved.

d. Submittals marked "not reviewed" will indicate submittal has been previously reviewed and approved, is not required , does not have evidence of being reviewed and approved by

Contractor, or is not complete. A submittal marked "not reviewed" will be returned with an explanation of the reason it is not reviewed. Resubmit submittals returned for lack of review by

Contractor or for being incomplete, with appropriate action, coordination, or change.

1.10 DISAPPROVED 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 FAR 52.243-4, "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 SUBMITTALS

The Contracting Officer's approval or acceptance of submittals is not be construed as a complete check, and indicates only that design, general method of construction, materials, detailing and other information appear to meet the Solicitation and Accepted Proposal. 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 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 or accepted by the Contracting Officer, no re-submittal 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 is to 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.

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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 his 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 disapprove 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 is 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 STAMPS

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

| CONTRACTOR |

| (Firm Name) |

| _____ Approved |

| _____ Approved with corrections as noted on submittal data and/or |

| attached sheets(s) |

| SIGNATURE: __________________________________________________________ |

| TITLE: ______________________________________________________________ |

| DATE: _______________________________________________________________ |

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For design-build construction, both the Contractor Quality Control System Manager and the

Designer of Record are to stamp and sign to certify that the submittal meets contract requirements.

PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

Not Used

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Attachment 1

AF Form 3000 – Material Approval Submittal

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Attachment 2

AF Form 66 – Schedule of Material Submittals