GSA 01 33 00 Submittal Procedures.docx

Santa Teresa Land Port of Entry BRIC Santa Teresa, New Mexico Kahua #353

SECTION 013300 - SUBMITTAL PROCEDURES DB VERSION

PART 1 GENERAL

1.1 SUMMARY

A. This Section includes certain administrative and procedural requirements for shop drawings, coordination drawings, schedules, samples and certain other quality assurance submittals.

B. This section does not include requirements for the following submittals that are included in their specific sections:

1. Inspection and test reports specified in Division 1 Section "Quality Control."

2. Warranties specified in Division 1 Section "Product Requirements."

3. Closeout submittals specified in Division 1 Section "Closeout Procedures."

4. Record documents specified in Division 1 Section "Project Record Documents."

5. Operation, maintenance and instruction manuals specified in Division 1 Section "Operation and Maintenance Documentation."

6. Reports, schedules and other submittals specified in Division 1 Section "Construction Progress Documentation".

7. Construction Safety and Health Plan as described in Division 1 Section “Safety & Health”

8. Contractor's Hazard Communication Plan (HCP) as described in Division 1 Section “Safety & Health”

9. Waste Management Plan as described in GSA Division Section “Project Management & Coordination” and Division 1 Section “Construction Nonhazardous Waste & Removal”

10. Contractor's Quality-Control Plan as described in GSA Division 1 Section “Quality Assurance & Quality Control Requirements”

11. Cutting and Patching Plan as described in GSA Division 1 Section “Cutting and Patching” C. Shop drawings, coordination drawings and schedules are further categorized and defined as follows:

1. Shop drawings include drawings and schedules prepared for specific parts of the project, except for coordination drawings.

2. Coordination drawings are specified in Division 1 Section "Project Management and Coordination."

3. Product data includes manufacturer's standard catalogs, pamphlets and other printed materials that show and describe materials and items, and includes but is not limited to the following:

a. Product specifications.

b. Installation instructions.

c. Rough-in diagrams and templates.

d. Performance curves.

e. Operational range diagrams.

f. Mill reports.

D. Samples of actual materials and items shall be provided at such scale to allow delivery for review, as well as for field samples or mock-ups of full-size physical examples erected on-site or elsewhere, to establish a true-scale standard by which the corresponding work will be judged or a standard for compliance testing.

E. Other quality assurance submittals include materials specifically prepared for the project, except drawings and schedules, and include but are not limited to the following:

1. Design data and calculations.

2. Certifications of compliance or conformance.

3. Manufacturer's instructions and field reports.

F. Approvals do not supersede requirements of the contract documents.

1.2 GENERAL SUBMITTAL REQUIREMENTS

A. Coordination: Coordinate preparation and processing of submittals with performance of construction activities and with the Division 1 “Construction Progress Documentation”. Unless otherwise specified, submittals shall be transmitted via PMIS as PDF electronic files to GSA according to the contractor’s approved construction schedule and submittal schedule. Transmit each submittal sufficiently in advance of the scheduled performance of related construction activities to avoid delaying the Work, allowing for the review times specified for submittals.

1. Coordinate each submittal with other submittals and related activities that require sequential scheduling, to allow for testing, purchase, fabrication and product delivery in a timely manner.

2. Schedule transmittal of different categories of submittals for the same element of Work and for different elements of related parts of the Work at the same time. Notwithstanding the foregoing sentence, the Contractor shall provide a complete submittal package for each Division of the specification so as to enable the Government to review the related sections together. Coordinate submittals to enable approvals and acceptances so as not to inhibit orderly progress of the Work.

3. Post electronic submittals as PDF electronic files directly to the PMIS system specifically established for the Project. GSA will return an annotated file. Annotate and retain one copy of file as an electronic project record document file.

4. Allow sufficient time for submittal review, corrections following the initial review, and re-submittal review before activities scheduled after the submittal approval.

5. Failure on the part of the Contractor to indicate approval or acceptance on submittals prior to submission to Contracting Officer will result in their being returned to the Contractor without being acted upon.

6. Any resubmission required after Government review shall be made within 10 calendar days after return of the submittal, unless specifically authorized otherwise by GSA.

7. Submittals which are determined to be incomplete or otherwise substandard will be returned to the Contractor with no further review. Delays due to incomplete or rejected submittals will not be excused.

8. Construction will not be allowed to proceed if submittals are not received in a timely manner, and will not result in an extension to the Contractor's Construction Schedule.

9. Failure by the Contractor to provide the required submittals in a timely manner may result in withheld payments until submittals are up-to-date.

10. Maintain one complete set of submittals at project site.

11. Maintain an organized submittal register at project site. This will be an agenda item for progress meetings.

12. The contractor to schedule and allow a minimum of ten working days for the Contractor submittal review. The comment period initiates upon the receipt of the submission by the office performing the primary review. The period commences upon issue of the submittal by the office performing the primary review. In the event the architect/engineer receives an extraordinary lengthy or complex submittal whose review may not be able to be accomplished within the stipulated submittal review period, architect/engineer to notify the Construction Manager Agency (CMa) in writing with a request for extended review period within 3 working days of receipt of the submittal. Such submittals may include structural steel, curtain wall, or complex systems requiring coordination with other systems. GSA policy is to use electronic submittals unless unusual project requirements stipulate paper copies.

B. Submittal Register:

1. PMIS shall be used to process submittals. Prepare and maintain the submittal register as the work progresses. The initial listing of submittals in the register may not be all inclusive and additional submittals may be required. Using the contractor’s initial submittal register, the Government will identify key submittals which require the Government’s review and approval. The Government reserves the right to review and comment on all submittals developed for the project.

2. List specification section in which submittal is required.

3. List each submittal description and type,

4. List one principal paragraph in the 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.

5. Indicate approving authority for each submittal.

6. Submit with the Contractor’s CQC plan and project schedule. Verify that all submittals required for the project are listed and add missing submittals. Coordinate and complete the following fields on the register database submitted with the CQC plan and the project schedule:

7. Submittals called for by the Contract Documents shall 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 Government 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. Deliver one copy of the PMIS-generated submittal register updated by Contractor to Government with each invoice request. Deliver in electronic format, unless a paper copy is requested by the Contracting Officer. Re-submit register and annotate monthly by the Contractor with actual submission and approval dates.

D. Submittal Identification and Information: Identify and incorporate information in each electronic submittal file as follows:

1. Assemble each submittal item into a single indexed file incorporating submittal requirements of a single Specification Section and transmittal form with links enabling navigation to each submittal item.

2. Name file with submittal number or other unique identifier, including revision identifier.

a. File name shall use Contract number and Specification Section number followed by a decimal point and then a sequential number (e.g., LNHS-061000.01). Re-submittals shall include an alphabetic suffix after another decimal point (e.g., LNHS-061000.01.A).

3. Provide means for insertion to permanently record Contractor's review and approval markings and action taken by GSA.

4. Transmittal Form for Electronic Submittals: Use software-generated form from PMIS acceptable to GSA.

a. Project name.

b. GSA project number.

c. Date.

d. Name and address of Architect.

e. Name of Contractor.

f. GSA contract number.

g. Name of firm or entity that prepared the submission.

h. Names of subcontractor, manufacturer, and supplier.

i. Category and type of submittal.

j. Submittal purpose and description.

k. Specification Section number and title.

l. Specification paragraph number or drawing designation and generic name for each of multiple items.

m. Drawing number and detail references, as appropriate.

n. Location(s) where product is to be installed, as appropriate.

o. Related physical samples submitted directly.

p. Indication of full or partial submission.

q. Transmittal number numbered consecutively.

r. Submittal and transmittal distribution record.

s. Other necessary identification.

t. Include the following information as keywords in the electronic file metadata:

1) Project name.

2) GSA project number.

3) Contract number.

4) Number and title of appropriate Specification Section.

5) Specification paragraph number and generic name of each item.

6) Manufacturer name.

7) Product name and model number.

1.3 SHOP DRAWINGS AND COORDINATION DRAWINGS

A. Submit originally prepared information, drawn accurately to scale. Do not reproduce Contract Documents or copy standard printed materials as the basis for Shop Drawings and Coordination Drawings.

B. Include at minimum the following information on Shop Drawings and Coordination Drawings:

1. Dimensions.

2. Identification of products and materials.

3. Compliance with specified standards.

4. Notation of coordination requirements.

5. Notation of dimensions established by field measurements.

6. Highlighted or clouded deviations from the Contract Documents.

C. Sheet size: Except for templates, patterns and similar full-size drawings, submit Shop Drawings and Coordination Drawings on sheets of at least 8-1/2 by 11 inches (215 by 280 mm) but no larger than 30 by 40 inches (750 by 1000 mm).

D. Submittals: Unless otherwise indicated, submit one electronic file (pdf) of each drawing submission through PMIS. The file will be marked with action taken and returned.

E. Distribution: When submittal is approved or accepted, Contractor shall prepare final electronic files, for the following purposes.

1. One file shall be marked and retained as a "Record Document."

2. Unless otherwise requested, one file shall be provided to the Contracting Officer.

3. Prints will be included in the Operation and Maintenance manuals.

1.4 PRODUCT DATA

A. Collect Product Data into a single submittal for each system or element of construction. Mark each submittal to show specific product choices and options applicable to the project. Product Data shall include the following information, where applicable:

1. Manufacturer's printed recommendations.

2. Compliance with recognized trade association standards.

3. Compliance with recognized testing standards.

4. Applicability of testing agency labels and seals.

5. Notation of dimensions verified for fit by field measurements.

6. Notation of coordination requirements.

B. Preliminary Submittal: Prior to submission of complete Product Data, submit a preliminary single copy of that part of Product Data when selection of options is required, such as for color charts. Preliminary submittal will be returned, with selection noted, for the Contractor's use in subsequent submittals.

C. Submittals: Unless otherwise indicated, submit one electronic copy of each Product Data submittal. One original copy will be retained, and a copy will be marked with action taken and returned to the contractor.

D. Distribution: When submittal is approved or accepted, Contractor shall distribute copies for the following purposes:

1. One electronic copy shall be marked and retained as a "Record Document."

2. Additional electronic copies shall be provided to the manufacturers, subcontractors, suppliers, installers, governing authorities and others as required for performance of the applicable construction activities.

3. Electronic copies provided to GSA building management for operation and maintenance manuals.

1.5 SAMPLES

A. Submit full-size, fully fabricated samples, cured and finished in the manner specified. Samples shall be physically identical to the material or product proposed for use.

B. Mount, display, or package samples to facilitate review of kind, color, pattern, texture and other qualities indicated, as a final check of these characteristics with other elements and for comparison of these characteristics with those of the actual component delivered and installed.

C. Where variation in color, pattern, texture or other characteristic is inherent in the material or product, submit at least 3 multiple units that show approximate limits of the variations.

D. Refer to other specification sections for requirements for samples that illustrate workmanship, fabrication techniques, and details of assembly, connections, operations and similar construction characteristics.

E. Refer to other specification sections for samples to be returned to the Contractor for incorporation in the Work. Such samples must be in undamaged condition at time of use.

F. Preliminary Submittal: Where color, pattern, texture or similar characteristics are specified to be selected from a manufacturer's range of standard choices, submit a preliminary single set sample of available choices prior to submission of the complete sample. Preliminary submittal will be returned, with selection noted, for the Contractor's use in subsequent submittals.

G. Submittals: Unless otherwise indicated and except for field samples or mock-ups of full-size physical examples erected on-site or elsewhere, submit not less than three (3) sets of each sample submittal. One copy will be marked with action taken and returned. Comply with requirements in the individual specification section for field samples and mockups.

H. Distribution: Except for field samples or mockups, when submittal is approved, Contractor shall distribute approved copies for the following purposes:

1. One copy shall be marked and retained as a "Record Document" at the Project Site and shall be available for comparison throughout the course of construction activity.

2. Additional copies shall be provided to manufacturers, subcontractors, suppliers, installers, governing authorities and others as required for performance of the applicable construction activities.

1.6 OTHER QUALITY CONTROL SUBMITTALS

A. Submit other quality control submittals in compliance with requirements in the individual specification sections, including Division 1.

B. Certifications: Submit notarized certifications indicating compliance with specified requirements. Certifications shall be signed by an individual authorized to sign on behalf of the Contractor.

1.7 REVIEW ACTION ON SUBMITTALS

A. For electronic submittals,

1. Submit electronic submittals via PMIS as PDF electronic files.

a. GSA will return an annotated file. Annotate and retain one copy of file as an electronic Project record document file.

B. Compliance with specified characteristics is the Contractor's responsibility and is not part of the Contracting Officer's review and indication of action taken.

The contract documents shall prevail in case of review action conflict.

C. Submittals without approval or acceptance shall not be used.

D. Action Stamp:

1. For paper or non-electronic submittal: Each submittal will be stamped with a uniform action stamp. The stamp shall be marked to indicate one of the following actions taken:

a. For electronic submittal: Provide a digital signature with digital certificate on electronically submitted certificates and certifications where indicated. For notarized signature if required, provide paper copies for signature.

b. Final Unrestricted Release: Where marked "Approved" or "Accepted", the work covered by the submittal may proceed, provided it complies with the requirements of the Contract Documents.

c. Final But Restricted Release: Where marked "Approved " or "Accepted" "As Noted", the work covered by the submittal may proceed, provided it complies with the notations or corrections on the submittal and with the requirements of the Contract Documents.

d. Return for Re-submittal: Where marked "Not Approved" or "Not Accepted", ``Revise and Resubmit", do not proceed with the work covered by the submittal, including purchasing, fabrication, delivery or any other activity. Revise or prepare a new submittal according to the notations on the submittal or on the return transmittal. Resubmit without delay, repeating as necessary to obtain a final release action mark.

e. No Action: Where a submittal is for the record or for information or for another purpose not requiring review action, the submittal may not be returned or may be returned and marked "Action Not Required."

E. Product Data: Collect information into a single submittal for each element of construction and type of product or equipment.

1. If information must be specially prepared for submission because standard published data are not suitable for use, submit it as Shop Drawings, not as Product Data.

2. Mark each copy of each submittal to show which products and options are applicable.

3. Include the following information as applicable:

a. Manufacturer's catalog cuts.

b. Manufacturer's product specifications.

c. Standard color charts.

d. Statement of compliance with specified referenced standards.

e. Testing by a recognized testing agency.

f. Application of testing agency labels and seals.

g. Notation of coordination requirements.

h. Availability and delivery time information.

4. For equipment, include the following in addition to the above, as applicable:

a. Printed performance curves.

b. Clearances are required to other construction, if not indicated on accompanying Shop Drawings.

5. Submit Product Data before or concurrent with Samples.

6. Submit Product Data in the following format:

a. PDF electronic file.

1.8 SUBSTITUTION REQUEST PROCEDURES

A. Substitution Requests: See section 012500 Substitution Procedures PART 2 PRODUCTS (Not Applicable)

A. 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.

B. No delay damages or time extensions will be allowed for time lost in late submittals. An additional 14 calendar days will be allowed and shown on the register for review and approval of submittals for selected specialty items and systems.

C. 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 resubmittal of requirements.

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."

E. Except as specified otherwise, allow review period, beginning with receipt by approving authority, that includes at least 21 calendar days for submittals, at the Contracting Officer’s discretion, the period may be reduced to 14 calendar days for critical submittals. Period of review for submittals with Contracting Officer approval begins when the Government receives a complete submission following the Contractor’s quality review.

F. For submittals requiring review by fire protection engineer, allow review period, beginning when Government receives submittal from the Contractor, of 21 calendar days for return of submittal to the Contractor.

G. Period of review for each resubmittal is the same as for initial submittal.

H. At the Preconstruction conference, provide a trade or discipline-specific schedule of shop drawings and technical submittals required by the specifications and drawings. Indicate the specification or drawing reference requiring the submittal; the material, item, or process for which the submittal is required; the identifying title of the submittal; the Contractor's anticipated submission date and the approval need date.

I. The Contractor’s QC organization is responsible for reviewing and certifying that submittals are in compliance with contract requirements. Approving authority on submittals is the Contractor’s Designer of Record. Certain exceptions may apply where the Government necessarily retains approval authority.

J. Review submittals for conformance with project design concepts and compliance with Contract Documents.

END OF SECTION 013300

June 17, 2025 SUBMITTAL PROCEDURES 01 33 00 - Page 2 of 10