submittal procedures.docx

UNCLASSIFIED – FOR OFFICIAL USE ONLY

Section 01 33 00:

Submittal Procedures DISA Facilities Engineering Circular Attachment 01-01

Effective Date: 25 June 2019

General

SCOPE

This Section covers the following general requirements required by technical specification sections:

Submittals: data normally submitted for review to establish conformance with the design concept and Contract documents.

Operation and Maintenance Data: data necessary to install, maintain and operate the equipment.

References Specification Appendixes

Summary 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 measure used on all submittals must be the same as those used in the Contract drawings.

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

Submittals must be approved by the Government prior to the acquisition of the material or equipment covered thereby. Pick up and dispose of samples not incorporated into the work in accordance with manufacturer's Safety Data Sheets (SDS) and in compliance with existing laws and regulations.

A submittal register showing items of equipment and materials for when submittals are required by the specifications is provided as Section 01 33 00 Appendix A, Blank Submittal Register. Provide a complete submittal register containing all submissions required for project to the Government for review and approval prior to commencing any physical work onsite.

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

SD-01 Preinstallation Submittals Submittals which are required prior to start of work, issuance of Contract notice to proceed or commence work onsite, or the start of the next major phase of the installation on a multi-phase Contract, include schedules, 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.

SD-02 Shop Drawings Drawings, diagrams and schedules specifically prepared to illustrate some portion of this project.

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 this project.

Drawings prepared by or for the Contractor to show how multiple systems and interdisciplinary work is coordinated must be coordinated with other Subcontractors, vendors, and design engineers as applicable.

Include dimensions, details, wiring diagrams and installation details of equipment indicating proposed location, layout and arrangement, accessories, and other items that must be shown to ensure a coordinated installation. Drawings must indicate adequate clearance for operation, maintenance, and replacement of future equipment and devices or any other details required by applicable codes and standards.

SD-03 Product Data Catalog cut sheets, illustrations, schedules, diagrams, performance charts, instructions and brochures illustrating size, physical appearance and other characteristics of materials, systems, equipment or for some portion of the work. Include rated capacities, operating characteristics, electrical characteristics, and applicable specialties and accessories.

Samples of warranty language when the Contract requires manufacturer and/or 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 this project.

Field samples and mock-ups erected on the project site establish standards by which the ensuing work can be judged. Includes assemblies or portions of assemblies which are to be incorporated into this project and those which must be removed at conclusion of the work.

SD-05 Design Data Design calculations, mix designs, analyses or other data pertaining to a part of work.

Design submittals, design substantiation submittals and extensions of design submittals.

Electrical Engineering studies including, but not limited to Coordination, Fault current/Short circuit analysis, Load Flow Analysis, and Arc Flash Analysis.

SD-06 Test Reports Proposed test procedures/plans for Government review prior to conducting tests.

Report signed by testing laboratory authorized official that a material, product or system identical to the material, product or system to be provided has been tested in accordance with specified requirements. Unless specified in another section, testing must have been within three years of the date of the Contract award for this project.

Report which includes findings of a test required to be performed by the Contractor at the factory on an actual portion of the work or prototype prepared for this project before shipment to job site.

Report which includes findings of a test made at the job site or on sample taken from the job site, on portion of work during or after installation.

SD-07 Certificates Statements printed on the manufacturer's letterhead and signed by responsible officials of manufacturer of product, system or material attesting that the product, system, or material meets specification requirements. Must be dated after award of project Contract and clearly name this project.

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

SD-08 Manufacturer’s Instructions Preprinted material describing installation of a product, system or material, including SDS and special notices concerning impedances, hazards and safety precautions.

SD-09 Manufacturer’s Field Reports Documentation of the testing and verification actions taken by manufacturer's representative at the job site, in the vicinity of the job site, or on a sample taken from the job site, on a portion of the work, during or after installation, to confirm compliance with manufacturer's standards or instructions. The documentation must be signed by an authorized official of a testing laboratory or agency and state the test results; and indicate whether the material, product, or system has passed or failed the test.

SD-10 Operation and Maintenance Data Data provided by the manufacturer or the system provider, to the equipment operating and maintenance personnel, consistent with the manufacturer's standard brochures, schematics, printed instructions, general operating procedures, and safety precautions including manufacturer's help and product line documentation necessary to install, maintain and operate the equipment. This data is needed by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item, and intended to be incorporated in an operations and maintenance manual or control system.

Operation and Maintenance (O&M) Data must include the following:

Equipment Details.

Manufacturer's name and equipment model number.

Manufacturer’s nameplate information Equipment-in-Place List, including the following (as applicable):

Description of item Location (by room number) Model number Serial number Capacity Name and address of manufacturer Name and address of equipment supplier Condition Manufacturer's catalog Warranty.

[Manufacturer’s parts list and diagram.] Brief description of basic operating features and system interactions.

Identify maintenance tasks which require a manufacturer’s representative to perform or assist.

Operating Instructions.

Safety precautions and hazards.

List personnel hazards and equipment or product safety precautions for operating conditions.

Provide recommended safeguards for each identified hazard.

Control diagrams and step-by-step procedures required for system start-up (including prerequisites), normal operation, emergency operation, shutdown, and post-shutdown.

Environmental conditions best suited for equipment operation.

Conditions under which equipment is recommended not be operated.

Narrative description on how to perform and apply functions, features, modes, and other operations, including unoccupied operation, seasonal changeover, manual operation, and alarms. Include detailed technical manual for programming and customizing control loops and algorithms.

Full as-built sequence of operations Operating Log containing forms, sample logs, and instructions for maintaining necessary operating records.

Preventive Maintenance.

Provide manufacturer's specified frequency and step-by-step routine preventive maintenance procedures, periodic calibration, inspections, condition monitoring (predictive tests) and adjustments required to ensure proper and economical operation and to minimize repairs.

Provide instructions for services to be performed such as lubrication, adjustment, inspection, and recording gauge readings. Include the following:

A table showing recommended lubricants for specific temperature ranges and applications.

Charts with a schematic diagram of the equipment showing lubrication points, recommended types and grades of lubricants, and capacities.

A Lubrication Schedule showing service interval frequency.

Provide instructions stating when retesting is recommended.

Corrective Maintenance.

Troubleshooting: Provide manufacturer’s recommended step-by-step troubleshooting procedures to promptly isolate the cause of typical malfunctions or breakdowns, including why each checkout is performed and what conditions are to be sought. Identify tests or inspections and test equipment required to determine whether parts and equipment could be reused or require replacement.

Simplified Diagrams: Provide point-to-point drawings of wiring, control circuits, piping, and equipment including factory-field interfaces. Provide a complete and accurate depiction of the actual job specific wiring, control, and mechanical installation work. On diagrams, number electrical and electronic wiring and pneumatic control tubing and the terminals for each type; equipment and instrument tag identification; and line sizes identically to actual installation configuration and numbering.

Repair Procedures: Provide instructions and a list of tools required to repair or restore the product or equipment to proper condition or operating standards.

Removal and Replacement Instructions: Provide step-by-step procedures and a list of required tools and supplies for removal, replacement, disassembly, and assembly of components, assemblies, subassemblies, accessories, and attachments. Provide tolerances, dimensions, settings and adjustments required. Use a combination of text and illustrations.

Post-Commissioning Details. Provide the following within 30 days after completion of commissioning:

Performance data, schedules and final setpoints.

Marking of system sensors and thermostats on the as-built floor plan and mechanical drawings with their control system designations.

Full as-built print out of software program Full points list for each room:

Floor Room number Room name Equipment/valve/sensor type Equipment/valve/sensor ID Control System designation Reference drawing number Minimum/maximum range Updated Equipment-In-Place List Appendices.

Provide information not specified in the preceding paragraphs, but pertinent to the maintenance or operation of the equipment.

Product Submittal Data submitted under SD-03.

Field Test Reports submitted under SD-06.

Manufacturer’s Instructions submitted under SD-08.

Copies of checkout tests and calibrations performed by the Contractor (not commissioning tests).

Parts Identification for the parts of each component, assembly, subassembly, and accessory of the end items subject to replacement.

Identify parts by make, model, serial number, and source of supply to allow reordering without further identification.

Identify spare parts and supplies required to ensure continued operation without unreasonable delays, with special consideration for parts with a long lead-time.

Include special hardware requirements (i.e., high-strength bolts and nuts, torque values, wire gauge).

Provide clear and legible illustrations, drawings, and exploded views to enable easy identification of the items.

Warranty Information.

Differentiate Standard Warranties (up to 1 year) from Extended Warranties (exceeding 1 year).

For each warranty listed, indicate the applicable specification section, duration, start date (substantial project completion), end date, and the point of contact for warranty fulfillment.

List or reference the specific operation and maintenance procedures (including servicing, and technical precautions) that must be performed to keep the warranty valid.

Provide the name, address, email, and telephone number of the following:

General Contractor and each Subcontractor who installed each product, equipment, or system.

Manufacturer’s representative for each product, equipment, or system.

Service organization for each product, equipment, or system.

Contact for reporting warranty issues.

Changes to O&M Data Submittals Provide manufacturer-originated changes or revisions to submitted data if a component of an item is so affected subsequent to acceptance of the O&M Data.

Submit changes, additions, or revisions required by the Contracting Officer for final acceptance of submitted data within 30 calendar days of the notification of this change requirement.

Training Plan must include the following:

Equipment included in training.

Intended audience.

Location of training.

Dates, start and finish times, and duration of training on each subject.

Methods (e.g., classroom lecture, video, site walk-through, actual operational demonstrations, written handouts).

Instructor names and instructor qualifications for each subject.

Objectives.

Outline of the information to be presented and subjects covered, including the following:

Start-up, normal operation, shutdown, unoccupied operation, seasonal changeover, manual operation, controls set-up and programming, troubleshooting, and alarms.

Special maintenance and replacement sources.

Relevant health and safety issues.

Design intent.

Use of O&M Manuals.

Review of drawings and schematics (mechanical, electrical, and controls).

Interactions with other systems.

How a feature or system is environmentally responsive. How to adjust or optimize for energy conservation.

List of texts and other materials to be provided by the Contractor that are required to support training.

Description of proposed hardware and software to be used for video recording of training sessions.

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 Contract, for example, Record Drawings and as-built drawings. As-built drawings include both the original, hand written red line drawing and the updated CAD drawing.

Submittal requirements necessary to properly close out a major phase of installation on a multi-phase Contract.

Approving Authority Office or designated person authorized to approve submittal. The Approving Authority for this Contract is DISA (Defense Information Systems Agency, Facilities Engineering, Denver).

Work As used in this section, onsite and offsite assembly and installation activities required by Contract documents, including labor necessary to produce submittals, except those SD-01 Preinstallation Submittals noted above, assembly, materials, products, equipment, and systems incorporated or to be incorporated in such installation.

SUBMITTALS

DISA approval is required for all submittals. The Contractor must submit a Submittal Register containing ALL submittals required under the Contract and design PRIOR to commencing any procurement or installation activities. An exception to this requirements is when the Contractor proposes early procurement submittals to meet schedule, typically during a Design-Install type of Contract. All submittal items for the equipment must be listed on the Submittal Register prior to submission.

SD-01 Preinstallation Submittals Submittal Register.

Submittal Review Submittals must be reviewed in accordance with the following:

Designer of Record (DOR) Review DOR approval is required for calculations, design analysis, shop drawings, critical equipment and systems, any proposed deviations from the solicitation, the accepted proposal, or the completed drawings, equipment whose compatibility with the entire system must be checked, and other items as designated by the Contracting Officer. The DOR must address all installation changes deviating from the shop drawings prior to work proceeding.

Government Review (G) The Government (DISA) reviews all submissions. The Government must have 15 business days to review each submittal and Request for Information (RFI). In the case of critical equipment and systems, the Government must have 20 business days for review. The Contractor request of an informal “over-the-shoulder review” of proposed items prior to formal submission is permitted. This is usually reserved for more complex submissions and provides an opportunity for Government/Contractor team to “get on the same page” with acceptable technical approaches in meeting Contract requirements. Government review and acceptance of any submittal does not relieve the Contractor from meeting technical requirements. The Government reviews and approves all proposed changes to previously approved shop drawings, materials, procedures, or other installation-required submittals prior to proceeding with work. The Government reserves the right to accept or reject any such proposed deviation at its discretion.

Government Conformance Review of Drawings (CR) The Government will review all intermediate and final drawing submittals for conformance with the technical requirements of the solicitation. Generally, drawing submittals are identified as SD-05 Design Data submittals.

Commissioning Agent Review Commissioning Agent (CxA) review might be required by Contract to ensure the CxA is kept abreast of project design, equipment, implementation, theory of operation, and other items. The CxA is not primarily responsible for Quality Control. However, the CxA must have a voice in commenting on project documents, including design review to verify each commissioned system meets the design intent relative to functionality, energy performance, water performance, maintainability, sustainability, system cost, indoor environmental quality, and local environmental impacts. The CxA communicates deficiencies to the Contracting Officer. When CxA review is required in the Contract, provide evidence of CxA review in the submission to the Government. The CxA must review and as-built the O&M Manuals in addition to the normal review process for O&M data.

FORWARDING SUBMITTALS REQUIRING GOVERNMENT APPROVAL

As soon as practicable after award of Contract, and before procurement of fabrication, forward to the DOR submittals required in the technical sections of this specification, including shop drawings, product data and samples. Forward one copy of the Transmittal Cover Sheet for all submittals to the Contracting Officer.

DISA will review and approve for the Contracting Officer those submittals reserved for Contracting Officer approval to verify submittals are in accordance with the Contract requirements. All items delivered under this Contract become property of the Government.

O&M Data DISA will review and approve for the Contracting Officer O&M Data to verify the submittals are in accordance with the Contract requirements; submit data specified for a given item within 30 calendar days after the item is delivered to the Contract site, or 30 calendar days prior to the field training, whichever is first.

In the event the Contractor fails to deliver O&M Data within the time limits specified, the Contracting Officer may withhold progress payments for the price of the applicable item.

Manufacturer’s Factory Test Plans Submit factory test plans for review and approval 30 days prior to scheduled factory test date. Submit factory test reports for review and approval no later than 1 week after testing is complete.

PREPARATION

Transmittal Cover Sheet Transmit each submittal to DISA using Section 01 33 00 Appendix B, Transmittal Cover Sheet. On the Transmittal Cover Sheet identify Contractor, indicate date of submittal, and include information prescribed by Transmittal Cover Sheet and required in paragraph 1.8.2 Identifying Submittals.

Submit submittals in accordance with the instructions on the reverse side of the form. Properly complete this form by filling out all the heading blank spaces and identifying each item submitted. Do not submit more than 8 items in one transmittal unless prior approval is obtained from the Government. 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.

Identifying Submittals When submittals are provided by a Subcontractor, the Prime Contractor’s representative must prepare, review, stamp, and sign with Contractor's approval all specified submittals prior to submitting for Government approval.

Identify submittals, except sample installations and sample panels, with the following information permanently adhered to or noted on each separate component of each submittal and noted on the Transmittal Cover Sheet. Mark each copy of each submittal identically, with the following:

Project title and location: Data Center Columbus Switchgear Reprogramming Project Project Contract number.

Date and revisions.

Name, address, and telephone number of Subcontractor, supplier, manufacturer and any other Subcontractor associated with the submittal.

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

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

When a resubmission (i.e., the result of a “C” or “E” Code), add numeric decimal on Transmittal number, for example, submittal 01 33 00-1 would become 01 33 00-1.1, to indicate resubmission.

Product identification and location in project.

Format for Submittals Provide all dimensions in administrative submittals in metric English units only, matching the units of measure on Contract documents. Where data are included in preprinted material with different units from the Contract documents, submit dimensions which match the units of measure on the Contract documents on separate sheet.

Provide all submittals in electronic PDF format unless a paper copy or another format is required for the submittal (for example, drawings or O&M Data) or requested by the Contracting Officer.

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 the document, but to a separate sheet accompanying document.

Format for SD-02 Shop Drawings Shop drawings must be between 210 by 297 mm 8 1/2 by 11 inches and 1189 by 841 mm ANSI Size D (34 by 22 inches), except for full size patterns or templates. Prepare drawings to accurate size, with scale indicated, unless other form is required. Drawings must be suitable for reproduction and be of a quality to produce clear, distinct lines and letters with dark lines on a white background. Shop drawings must be produced on the approved DISA template which will be provided to the Contractor after award. Fully model Electrical Systems from the utility to (including) the branch circuit panelboard, Power Distribution Unit (PDU) main circuit breakers, or end utilization equipment. Submit drawings in AutoCAD 2015 and PDF (full document size) format. All PDF documents must be readable with all text searchable.

Present 210 by 297 mm 8 1/2 by 11 or 297 by 420 mm 11 by 17 inches sized shop drawings as part of the bound volume for submittals required by section. Present larger drawings in sets.

Include the nameplate data, size and capacity on drawings. Also include each drawing the drawing title, number, date, and revision numbers, in addition to applicable federal, military, industry and technical society publication references. Include on each drawing the drawing title, number, date, and revision numbers and dates. Final Issued Installation drawings must be stamped by a Registered Professional Engineer licensed in the state of practice.

Number drawings in a logical sequence. Each drawing is to bear the number of the submittal in a uniform location adjacent to the title block. Place the Government Contract number in the margin, immediately below the title block, for each drawing.

Dimension drawings, except diagrams and schematic drawings; prepare drawings demonstrating interface with other trades to scale. Use the same unit of measure for shop drawings as indicated on the Contract drawings. Identify materials and products for work shown.

Format for SD-03 Product Data and SD-08 Manufacturer’s Instructions 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.

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

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

Include the manufacturer's name, trade name, place of manufacture, and catalog model or number on product data. Also include applicable federal, military, industry and technical society publication references. If manufacturer's data requires supplemental information for clarification, submit as specified for SD-07 Certificates.

Where equipment or materials are specified in accordance with 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), or Underwriters Laboratories (UL), submit proof of such compliance. The label or listing by the specified organization is 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 Contracting Officer. State on the certificate 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.

Collect required data submittals for each specific material, product, unit of work, or system into a single submittal and marked for choices, options, and portions applicable to the submittal. Mark each copy of the product data identically. Partial submittals are [not] acceptable for expedition of work.

Submit manufacturer's instructions prior to installation.

Format for SD-04 Samples Provide samples in accordance with the sizes below, unless otherwise specified or unless the manufacturer has prepackaged samples of approximately same size as specified:

Sample of Equipment or Device: Full size.

Sample of Materials Less Than 50 by 75 mm 2 by 3 inches: Built up to 210 by 297 mm 8 1/2 by 11 inches.

Sample of Materials Exceeding 210 by 297 mm 8 1/2 by 11 inches: Cut down to 210 by 297 mm 8 1/2 by 11 inches and adequate to indicate color, texture, and material variations.

Sample of Linear Devices or Materials: 250 mm 10 inches, or length to be supplied if less than 250 mm 10 inches.

Examples of linear devices or materials are conduit and handrails.

Sample of Non-Solid Materials: 750 mL Pint.

Examples of non-solid materials are sand and paint.

Color Selection Samples: 50 by 100 mm 2 by 4 inches.

Where samples are specified for selection of color, finish, pattern, or texture, submit the full set of available choices for the material or product specified. Sizes and quantities of samples are to represent their respective standard unit.

Sample Panel: 1200 by 1200 mm 4 by 4 feet.

Sample Installation: 10 m² 100 ft².

Samples Showing Range of Variation: Where variations in color, finish, pattern, or texture are unavoidable due to nature of the materials, submit sets of samples of not less than three units showing extremes and middle of range. Mark each unit to describe its relation to the range of the variation.

Reusable Samples: Incorporate returned samples into work only if so specified or indicated. Incorporated samples are to be in undamaged condition at time of use.

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

Format for SD-05 Design Data and SD-07 Certificates Provide design data and certificates on 210 by 297 mm 8 1/2 by 11 inches paper. Provide a bound volume for submittals containing numerous pages.

Perform all Electrical Engineering calculations using Easy Power Software Version 10.0. Submit all calculations files in native file format and PDF format.

Format for SD-06 Test Reports and SD-09 Manufacturer’s Field Reports Provide reports on 210 by 297 mm 8 1/2 by 11 inches paper in a complete bound volume.

Indicate by prominent notation, each report in the submittal. Indicate specification number and paragraph number to which it pertains. 297 by 420 mm 11 by 17 inches paper format is permitted to aid in readability.

Format for SD-10 Operation and Maintenance Data Submit Operation and Maintenance (O&M) Data specifically applicable to this Contract and a complete and concise depiction of the provided equipment, product, or system, stressing and enhancing the importance of system interactions, troubleshooting, and long-term preventative maintenance and operation bound in 210 by 297 mm 8 1/2 by 11 inch booklets or binders. The Subcontractors must compile and prepare data and deliver to the Contractor prior to the training of Government personnel. The Contractor must compile and prepare aggregate O&M data including clarifying and updating the original sequences of operation to as-built conditions. Organize and present information in sufficient detail to clearly explain O&M requirements at the system, equipment, component, and subassembly level. Include an index preceding each submittal.

Format of SD-11 Closeout Submittals When the submittal includes a document that is to be used in the project or is to become part of the project record, other than as a submittal, do not apply the Contractor's approval stamp to the document itself, but to a separate sheet accompanying the document.

Provide data in the unit of measure used in the Contract documents.

Source Drawings for Shop Drawings The entire set of Source Drawing (existing facility as-built) files will not be provided to the Contractor. Only those relevant to this project and requested by the Contractor to prepare shop drawings may be provided. Request the specific Drawing Number only for the preparation of Shop Drawings. Normally these drawings are only provided after award.

Terms and Conditions Data contained on these electronic files must not be used for any purpose other than as a convenience in the preparation of data for the referenced project. All data and drawings provided are UNCLASSIFIED – FOR OFFICIAL USE ONLY and must be protected as such. Any use or reuse on this project is at the sole risk of the Contractor and without liability or legal exposure to the Government. The Contractor must make no claim and waives to the fullest extent permitted by law, any claim or cause of action of any nature against the Government, its agents or sub-consultants that could arise out of or in connection with the use of these electronic files. The Contractor must, to the fullest extent permitted by law, indemnify and hold the Government harmless against all damages, liabilities or costs, including reasonable attorney's fees and defense costs, arising out of or resulting from the use of these electronic files.

The Contractor is responsible to field-verify all existing conditions prior to proceeding with associated work.

These electronic Source Drawing files are not installation documents. Differences could exist between the Source Drawing files and the corresponding installation documents. The Government makes no representation regarding the accuracy or completeness of the electronic Source Drawing files, nor does it make representation to the compatibility of these files with the Contractor hardware or software. Use of these Source Drawing files does not relieve the Contractor of duty to fully comply with the Contract documents, including and without limitation, the need to check, confirm and coordinate the work of all Contractors for this project. If the Contractor uses, duplicates or modifies these electronic Source Drawing files for use in producing installation data related to this Contract, remove all previous indication of ownership (seals, logos, signatures, initials and dates).

Electronic File Format Provide submittals in electronic format, with the exception of material samples required for SD-04 Samples items or as required by the sections of this specification. Compile the submittal file as a single, complete document, to include the Transmittal Cover Sheet described within this document. Name the electronic submittal file specifically according to its transmittal number and contents. Coordinate the file naming convention with DISA. Electronic files must be of sufficient quality that all information is legible. Use PDF as the electronic format, unless otherwise specified by the sections of this specification or as directed by the Contracting Officer. Generate PDF files from original documents so that information can be readily located, and the text is both searchable and can be copied. If documents are scanned, Optical Character Resolution (OCR) routines are required. Index and bookmark files exceeding 30 pages to allow efficient navigation of the file. When signatures are required, the electronic file must include a valid electronic signature, or scan of a signature.

QUANTITY OF SUBMITTALS

Provide PDF electronic copies of all submittals except samples. Provide hard copies of submittals as specified within this paragraph or when requested by the Government. Up to three additional hard copies of any submittal may be requested at the discretion of the Government, at no additional cost to the Government. Normally, electronic copies suffice for most submittals.

Number of Copies of SD-02 Shop Drawings, SD-03 Product Data, SD-05 Design Data, SD-07 Certificates, SD-08 Manufacturer's Instructions In addition to electronic copies, submit TBD hardcopies.

Number of Copies of SD-04 Samples Submit zero samples, or zero 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 the remaining will be returned to Contractor.

Submit one sample panel or provide one sample installation where directed. Include components listed in technical section or as directed.

Submit one sample installation, where directed.

Submit one sample of non-solid materials.

Number of Copies of SD-6 Test Reports and SD-09 Manufacturer's Field Reports Submit field test results with QC reports. For all other submittals, provide electronic copies.

Number of Copies of SD-10 Operation and Maintenance Data Submit copies for Government review and approval in PDF format only, with contents bookmarked and aligned with the table of contents.

Submit one hardcopies copies and three PDF copy of the approved O&M Manuals for the equipment provided for use during O&M onsite training, one PDF copy for DISA, the remaining copies for the facility. If discrepancies are encountered during O&M training, hardcopies can be corrected via replacement pages or new hardcopies produced at the Contractor’s discretion. PDF copies must be replaced in their entirety.

Submit PDF copies of the approved O&M Manuals to the site and to DISA.

Number of Copies of SD-01 Preinstallation Submittals and SD-11 Closeout Submittals Unless otherwise required in the sections of this specification, submit [two][___] hardcopy and one PDF copy.

SUBMITTAL REGISTER

Prepare and maintain submittal register prior to the Post-Award Kickoff Meeting and before proceeding with any work. The submittal register must reflect all submissions required in the Contract documents, including, but not limited to the statement of work (SOW), specifications, attachments, and standards. Maintain the submittal register as the work progresses. Use electronic submittal register document provided by the Government or similar format. Do not change submittal register entries after the fact. A blank submittal register (Section 01 33 00 Appendix A Blank Submittal Register) is provided as an attachment to this specification. The submittal register must be completed prior to scheduling the Post Award Kickoff Meeting.

The approved Submittal Register serves as a management and scheduling document for submittals and to control submittal actions throughout the period of performance. Coordinate the submit dates and need dates with dates in the Contractor-prepared progress schedule. Submit an updated Submittal Register in native format monthly or more often as warranted until all submittals have been satisfactorily completed. Revise the Submittal Register when the progress schedule is revised and submit both for approval.

Use of Submittal Register The fields in the Submittal Register are:

Column (a) Specification Section: For the first entry of each specification Section and first entry on a following page, the Section number and name goes in this block. The following lines list the submittals for that specification section. In the case there is no Specification Section, enter the document which requires the submittal (i.e., SOW).

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

The Transmittal Number typically includes two parts separated by a dash (-). The first part is the Specification Section number. The second part is a sequential number for the submittals under that Specification Section. If the Transmittal is a Contract requirement which is not part of a Specification Section, use “SOW” as the first part of the Transmittal Number. If the Transmittal is a resubmittal, then add a decimal point to the end of the original Transmittal Number and begin numbering the resubmittal packages sequentially after the decimal.

Column (c) Item Number: The item being submitted.

Column (d):

SD #: This is the submittal description number from the specifications. In the case there is no SD # (e.g., SOW reference), enter “SD-00”.

Specification Section Paragraph #: This is the paragraph number associated with the submittal from the specifications. This listing is only to facilitate locating submitted requirements. Do not consider entries in this column as limiting project requirements.

In the case there is no Specification Section Paragraph, enter “SOW” to indicate the submittal is a Contract requirement.

Description of Item Submitted: A description of the items to be submitted. Try to use specific, abbreviated (but intuitive) terms to help avoid confusion with other items (for example, use “Generator Factory Test” as opposed to “Factory Test”, or use “Ductbank Shop Drawings” as opposed to “Shop Drawings”).

Column (e) Reviewer(s): List the required reviewer(s) for the submittal. Note that the Government is required for all reviews. Additional reviewers which could be required are DOR, CR, and CxA.

Column (f) Material Needed by Date: Date Contractor needs material onsite in accordance with the project schedule.

Column (g) Approval Needed by Date: Date approval is needed to order materials or proceed with work. This date usually precedes the Material Needed by Date by the lead or ordering time.

Column (h) Scheduled Submittal Date: This is the date the submittal is planned to go to the Government to allow for review time and response.

Column (i) Actual Submittal Date: This is the actual date the submittal was transmitted to the Government.

Column (j) Government Review Action Codes:

A - Approved as submitted; Completed B - Approved, except as noted on drawings; Completed C - Approved, except as noted on drawings. Refer to attached comments. Resubmission Required D - Returned by separate correspondence; Completed E - Disapproved. Refer to attached comments. Resubmission Required F - Receipt acknowledged; Completed Column (k) Date of Action: Date submittal was returned to the Contractor.

Column (l) Received by Contractor Date: Date submittal was received by the Contractor Column (m) Remarks: As needed.

Copies Delivered to the Government Deliver one copy of Submittal Register updated by Contractor to Government with each invoice request. Deliver in electronic format, unless a paper copy is requested by Contracting Officer.

VARIATIONS

Variations from Contract requirements require Government approval and will be considered where advantageous to Government. Note: variations, exceptions, deviations must be identified on the Section 01 33 00 Appendix B, Transmittal Cover Sheet, and in the submittal or the submittal will be rejected. The Contractor is highly encouraged to identify and coordinate any variations with the Government well in advance prior to submission.

Considering Variations Discuss with DISA and the Contracting Officer prior to submission, after consulting with the DOR, 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.

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.

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 the Government, including the DOR's written analysis and approval. 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.

Enter “Y” in the column "Variation" of Section 01 33 00 Appendix B, Transmittal Cover Sheet, 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.

Warranting that Variations are Compatible When delivering a variation for approval, the Contractor, including its Engineer(s) of Record, warrants that this Contract has been reviewed to establish that the variation, if incorporated, is compatible with other elements of work.

Review Schedule Extension NOTE: Allow a longer additional review period if the installation phase has geographically scattered reviewers.

In addition to normal submittal review period, an additional period of 10 working days is allowed for consideration by the Government of submittals with variations. For Transmittals exceeding 100 Pages, an additional 20 working days is allowed for Government Review.

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 are allowed for time lost in late submittals. Coordinate scheduling, sequencing, preparing and processing of submittals with performance of work so that work is not delayed by submittal processing. Allow for potential resubmittal of requirements.

If a submittal is required 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."

Resubmit register and annotate monthly by the Contractor with actual submission and approval dates. Highlight overdue and critical items in weekly updates. When all items on the register have been fully approved, no further re-submittal is required.

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

Period of review for submittals with the Government approval begins when Government receives submittal from Contractor. For the purpose of Government submittal review, the time period of December 20 through January 5 are considered non-working days.

For submittals requiring review by environmental agencies, particularly air quality permitting for generator emissions, allow review period of 120 working days beginning when Government receives submittal from the Contractor.

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

Within 30 calendar days of notice to proceed, and prior to the kickoff meeting, provide, for approval by DISA, an initial Submittal Register with all submittals required under the Contract (SOW, PWS, including attachments and standards) but not listed in the specifications or drawings. Use “SOW” to indicate the Contract requirement reference in lieu of the Specification Section.

Constraints Long-Lead Items. Give special consideration to equipment that requires long lead time procurement cycles. This includes items like generators, switchgear, and transformers. The Contractor is responsible for evaluating lead times and scheduling submittal review time accordingly. If a submittal is returned with deficient items and needs to be re-submitted, the Government IS NOT RESPONSIBLE for schedule impacts to the Contractor.

Conform to provisions of this Section, unless explicitly stated otherwise for submittals listed or specified in this Contract. Submit submittals for components interrelated as a system at the same time. Approval of a separate material, product, or component does not imply approval of assembly in which item functions.

Government reviewed Design The Government will review design drawing submittals for conformance with the technical requirements with the Contract requirements. The DOR is responsible for conformance to applicable codes, erectability, functionality, and operability. The Government may offer feedback for the DOR’s consideration during the design review process.

GOVERNMENT APPROVING AUTHORITY

When approving authority for the Government is DISA. The Government will:

Note date on which submittal was received from the Contractor.

Review submittals for approval within scheduling period specified and only for conformance with project drawing concepts and compliance with Contract documents.

Identify returned submittals with one of the actions defined in paragraph 1.10.1, Use of Submittal Register and Transmittal Cover Sheet with markings appropriate for action indicated.

No adjustment for time or money will be allowed for corrections required as a result of noncompliance with the Contract plans and requirements specifications. The Contractor is responsible for assuring that all submittals are in accordance with the Contract requirements, plans, or specifications. The Contractor is responsible for ensuring materials and installation meet Contract requirements. Government approval of a submittal does not relieve the Contractor from meeting Contract requirements.

Review Notations Submittals will be returned to the Contractor with the following notations:

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

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

Submittals marked "not approved" or "disapproved," or "revise and resubmit," indicate deficiencies with the Contract requirements or design concept, the submittal is incomplete, or does not have evidence of being reviewed and approved by Contractor. Resubmit with appropriate changes. Work is NOT allowed to proceed for this item until resubmittal is approved.

Submittals marked "receipt acknowledged" indicates submittal has been previously reviewed and approved or approval is not required.

DISAPPROVED/REJECTED SUBMITTALS

Make corrections required by the Government. If the Contractor considers any correction or notation on the returned submittals to constitute a change to the Contract drawings or specifications; notice in accordance with FAR 52.243-4 must be given to the Contracting Officer. Contractor is responsible for the dimensions and drawings of connection details and installation 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…