01 33 00.pdf

NUWC P-084 AMENDMENT 006

NEWPORT NAVAL STATION, NEWPORT, RI OCTOBER 2026

SECTION 01 33 00

SUBMITTAL PROCEDURES

08/18, CHG 4: 02/21

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

The Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections. 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.

1.1.2 Project Type

The Contractor's Quality Control (CQC) System Manager are to check and approve all items before submittal and stamp, sign, and date indicating action taken. Proposed deviations from the contract requirements are to be clearly identified. Include within submittals items such as:

Contractor's, manufacturer's, or fabricator's drawings; descriptive literature including (but not limited to) catalog cuts, diagrams, operating charts or curves; test reports; test cylinders; samples; O&M manuals (including parts list); certifications; warranties; and other such required submittals.

The Contractor and the Designer of Record (DOR), if applicable, are to check and approve all items before submittal and stamp, sign, and date indicating action taken. Proposed deviations from the contract requirements are to be clearly identified. Include within submittals items such as: Contractor's, manufacturer's, or fabricator's drawings;

descriptive literature including (but not limited to) catalog cuts, diagrams, operating charts or curves; test reports; test cylinders;

samples; O&M manuals (including parts list); certifications; warranties;

and other such required submittals.

1.1.3 Submission of Submittals

Schedule and provide submittals requiring Government approval before acquiring 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.

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

Submittal requirements are specified in the technical sections. Examples

SECTION 01 33 00 Page 1 and descriptions of submittals identified by the Submittal Description (SD) numbers and titles follow:

SD-01 Preconstruction Submittals

Submittals that are required prior to or commencing with the start of work on site.

Preconstruction Submittals include schedules and a tabular list of locations, features, and other pertinent information regarding products, materials, equipment, or components to be used in the work.

Certificates Of Insurance

Surety Bonds

List Of Proposed Subcontractors

List Of Proposed Products

Baseline Network Analysis Schedule (NAS)

Submittal Register

Schedule Of Prices Or Earned Value Report

Accident Prevention 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

SECTION 01 33 00 Page 2 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 ensuring work can be judged. Includes assemblies or portions of assemblies that are to be incorporated into the project and those that will 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.

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. Unless specified in another section, testing must have been within three years of date of contract award for the project.

Report that includes findings of a test required to be performed on an actual portion of the work or prototype prepared for the project before shipment to job site.

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

Document required of Contractor, or of a manufacturer, supplier, installer or Subcontractor through Contractor. The document purpose is to further promote the 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

SECTION 01 33 00 Page 3

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

SD-10 Operation and Maintenance Data

Data provided by the manufacturer, or the system provider, including manufacturer's help and product line documentation, necessary to maintain and install equipment, for operating and maintenance use by facility personnel.

Data required by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item.

Data incorporated in an operations and maintenance manual or control system.

SD-11 Closeout Submittals

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

Submittals required for Guiding Principle Validation (GPV) or Third Party Certification (TPC).

Special requirements necessary to properly close out a construction contract. For example, Record Drawings and as-built drawings. Also, submittal requirements necessary to properly close out a major phase of construction on a multi-phase contract.

1.2.2 Approving Authority

Office or designated person authorized to approve the submittal.

1.2.3 Work

As used in this section, on-site 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. In exception, excludes work to produce SD-01 submittals.

1.3 SUBMITTALS

Government approval is required for submittals with a "G" or "S" classification. Submittals not having a "G" or "S" classification are for Contractor Quality Control approval. Submit the following in accordance with Section 01 33 00 SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Submittal Register ; G

Coordination Drawings ; G

SECTION 01 33 00 Page 4

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

Government approval is required for any variations from the Solicitation or the Accepted Proposal and for other items as designated by the Government. Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, submittals are considered to be "shop drawings."

1.4.2 For Information Only

Submittals not requiring Government approval will be for information only. Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are not considered to be "shop drawings."

1.5 FORWARDING SUBMITTALS REQUIRING GOVERNMENT APPROVAL

As soon as practicable after award of contract, and before procurement or fabrication, forward to the NAVFAC Construction Manager, submittals required in the technical sections of this specification, including shop drawings, product data and samples. In addition, forward a copy of the submittals to the Contracting Officer.

1.5.1 O&M Data

Submit data specified for a given item within 30 calendar days after the item is delivered to the contract site.

In the event the Contractor fails to deliver O&M data within the time limits specified, the Contracting Officer may withhold from progress payments 50 percent of the price of the items to which such O&M data apply.

1.5.2 Submittals Reserved for NAVFAC Approval

As an exception to the standard submittal procedure for Government Approval, submit the following to the Commander, NAVFAC, Code CI4.

Submittals under these sections must be alloted 30 working days for Government Review.:

a. Pile driving records

b. All fire protection system submittals

c. All fire alarm system submittals

d. All elevator submittals

e. Section 26 12 19 PAD-MOUNTED, LIQUID-FILLED, MEDIUM-VOLTAGE TRANSFORMERS: All submittals

1.6 PREPARATION

1.6.1 Transmittal Form

Transmit each submittal, except sample installations and sample panels to the office of the approving authority using the transmittal form prescribed by the Contracting Officer. Include all information prescribed by the transmittal form and required in paragraph IDENTIFYING SUBMITTALS.

Use the submittal transmittal forms to record actions regarding samples.

SECTION 01 33 00 Page 5

1.6.2 Identifying Submittals

The Contractor's Quality Control Manager must prepare, review and stamp submittals, including those provided by a subcontractor, before submittal to the Government.

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

a. Project title and location

b. Construction contract number

c. Dates of the drawings and revisions

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

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

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

g. For a resubmission, add alphabetic suffix on submittal description, for example, submittal 18 would become 18A, to indicate resubmission

h. Product identification and location in project.

1.6.3 Submittal Format

1.6.3.1 Format of SD-01 Preconstruction 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.

1.6.3.2 Format for SD-02 Shop Drawings

Provide shop drawings not less than 8 1/2 by 11 inches nor more than 30 by 42 inches, except for full-size patterns or templates. Prepare drawings to accurate size, with scale indicated, unless another form is required.

Ensure drawings are suitable for reproduction and of a quality to produce clear, distinct lines and letters, with dark lines on a white background.

a. Include the nameplate data, size, and capacity on drawings. Also include applicable federal, military, industry, and technical society publication references.

b. 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.

SECTION 01 33 00 Page 6

Submit an electronic copy of drawings in PDF format and native electronic format.

1.6.3.2.1 Drawing Identification

Include on each drawing the drawing title, number, date, and revision numbers and dates, in addition to information required in paragraph

IDENTIFYING SUBMITTALS.

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

Reserve a blank space, no smaller than 2 inches on the right-hand side of each sheet for the Government disposition stamp.

1.6.3.3 Format of SD-03 Product Data

Present product data submittals for each section. Include a table of contents, listing the page and catalog item numbers for product data.

Indicate, by prominent notation, each product that is being submitted;

indicate the specification section number and paragraph number to which it pertains.

1.6.3.3.1 Product Information

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

Provide product data in units used in the Contract documents. Where product data are included in preprinted catalogs with another unit, submit the dimensions in contract document units, on a separate sheet.

1.6.3.3.2 Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the 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.

1.6.3.3.3 Data Submission

Collect required data submittals for each specific material, product, unit of work, or system into a single submittal that is marked for choices, options, and portions applicable to the submittal. Mark each copy of the product data identically. Partial submittals will not be accepted for

SECTION 01 33 00 Page 7 expedition of the construction effort.

Submit the manufacturer's instructions before installation.

1.6.3.4 Format of SD-04 Samples

1.6.3.4.1 Sample Characteristics

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

a. Sample of Equipment or Device: Full size.

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

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

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

e. Sample Volume of Nonsolid Materials: Pint. Examples of nonsolid materials are sand and paint.

f. Color Selection Samples: 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.

g. Sample Panel: 4 by 4 feet.

h. Sample Installation: 100 square feet.

1.6.3.4.2 Sample Incorporation

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

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

1.6.3.4.3 Comparison Sample

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.

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

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1.6.3.5 Format of SD-05 Design Data

Provide design data and certificates on 8 1/2 by 11 inch paper.

1.6.3.6 Format of SD-06 Test Reports

By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

1.6.3.7 Format of SD-07 Certificates

Provide design data and certificates on 8 1/2 by 11 inch paper.

1.6.3.8 Format of SD-08 Manufacturer's Instructions

Present manufacturer's instructions submittals for each section. 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 supplemental information is needed to clarify the manufacturer's data, submit it as specified for SD-07 Certificates.

Submit the manufacturer's instructions before installation.

1.6.3.8.1 Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the 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.

1.6.3.9 Format of SD-09 Manufacturer's Field Reports

By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

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

Comply with the requirements specified in Section 01 78 23 OPERATION AND MAINTENANCE DATA for O&M Data format.

1.6.3.11 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.

SECTION 01 33 00 Page 9

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

1.6.4 Source Drawings for Shop Drawings

1.6.4.1 Source Drawings

The entire set of source drawing files (DWG) will not be provided to the Contractor. Request the specific Drawing Number for the preparation of shop drawings. Only those drawings requested to prepare shop drawings will be provided. These drawings are provided only after award.

1.6.4.2 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 construction data for the referenced project. Any other use or reuse 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 its subconsultants that may 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.

These electronic source drawing files are not construction documents.

Differences may exist between the source drawing files and the corresponding construction 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. The Contractor is responsible for determining if any conflict exists. In the event that a conflict arises between the signed and sealed construction documents prepared by the Government and the furnished source drawing files, the signed and sealed construction documents govern. Use of these source drawing files does not relieve the Contractor of the 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 the project. If the Contractor uses, duplicates or modifies these electronic source drawing files for use in producing construction data related to this contract, remove all previous indication of ownership (seals, logos, signatures, initials and dates).

1.6.5 Electronic File Format

Provide submittals in electronic format, with the exception of material samples required for SD-04 Samples items. In addition to the electronic submittal, provide three hard copies of the submittals. Compile the submittal file as a single, complete document, to include the Transmittal Form described within, and also separately attach the native files which were used to create PDF. The attached files should include the original digital files used to create the submittal. Name the electronic submittal file specifically according to its contents, and coordinate the file naming convention with the Contracting Officer. Electronic files must be of sufficient quality that all information is legible. Use PDF as the electronic format, unless otherwise specified or directed by the Contracting Officer. Generate PDF files from original documents with

SECTION 01 33 00 Page 10 bookmarks so that the text included in the PDF file is 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 required, the electronic file must include a valid electronic signature or a scan of a signature.

Provide electronic documents over 10 MB through the electronic file sharing system: the DOD SAFE Web Application located at the following website: https://safe.apps.mil/ .

1.7 QUANTITY OF SUBMITTALS

1.7.1 Number of SD-01 Preconstruction Submittal Copies

Unless otherwise specified, submit three sets of administrative submittals.

1.7.2 Number of SD-04 Samples

a. Submit one sample, or one set of samples showing the range of variation, of each required item. One approved sample or set of samples will be retained by the approving authority and one will be returned to the Contractor.

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

c. Submit one sample installation, where directed.

d. Submit one sample of nonsolid materials.

1.8 INFORMATION ONLY SUBMITTALS

Submittals without a "G" designation must be certified by the QC manager and submitted to the Contracting Officer for information-only. Provide information-only submittals to the Contracting Officer a minimum of 14 calendar days prior to the Preparatory Meeting for the associated Definable Feature of Work (DFOW). Approval of the Contracting Officer is not required on information only submittals. The Contracting Officer will mark "receipt acknowledged" on submittals for information and will return only the transmittal cover sheet to the Contractor. Normally, submittals for information only will not be returned. However, the Government reserves the right to return unsatisfactory submittals and require the Contractor to resubmit any item found not to comply with the contract.

This does not relieve the Contractor from the obligation to furnish material conforming to the plans and specifications; will not prevent the Contracting Officer from requiring removal and replacement of nonconforming material incorporated in the work; and does not relieve the Contractor of the requirement to furnish samples for testing by the Government laboratory or for check testing by the Government in those instances where the technical specifications so prescribe.

1.9 PROJECT SUBMITTAL REGISTER

A sample Project Submittal Register showing items of equipment and materials for when submittals are required by the specifications is provided as "Attachment A - Submittal Register."

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1.9.1 Submittal Management

Prepare and maintain a submittal register, as the work progresses. Do not change data that is output in columns (c), (d), (e), and (f) as delivered by Government; retain data that is output in columns (a), (g), (h), and

(i) as approved. As an attachment, provide a submittal register showing items of equipment and materials for which submittals are required by the specifications. This list may not be all-inclusive and additional submittals may be required.

Column (c): Lists specification section in which submittal is required.

Column (d): Lists each submittal description (SD Number. and type, e.g., SD-02 Shop Drawings) required in each specification section.

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

Column (f): Lists the approving authority for each submittal.

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

1.9.2 Preconstruction Use of Submittal Register

Submit the submittal register. Include the QC plan and the 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 submitted with the QC plan and the project schedule:

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

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

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

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

1.9.3 Contractor Use of Submittal Register

Update the following fields with each submittal throughout the contract.

Column (b) Transmittal Number: List of consecutive, Contractor-assigned numbers.

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

Column (l) Date submittal transmitted.

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Column (q) Date approval was received.

1.9.4 Approving Authority Use of Submittal Register

Update the following fields:

Column (b) Transmittal Number: List of consecutive, Contractor-assigned numbers.

Column (l) Date submittal was received.

Column (m) through (p) Dates of review actions.

Column (q) Date of return to Contractor.

1.9.5 Action Codes

1.9.5.1 Government Review Action Codes

"A" - "Approved as submitted"

"AN" - "Approved as noted"

"RR" - "Disapproved as submitted"; "Completed"

"NR" - "Not Reviewed"

"RA" - "Receipt Acknowledged"

1.9.6 Delivery of Copies

Submit an updated electronic copy of the submittal register to the Contracting Officer with each invoice request. Provide an updated Submittal Register monthly regardless of whether an invoice is submitted.

1.10 VARIATIONS

Variations from contract requirements require Contracting Officer approval pursuant to contract Clause FAR 52.236-21 Specifications and Drawings for Construction, and will be considered where advantageous to the Government.

1.10.1 Considering Variations

Discussion of variations with the Contracting Officer before submission of a variation submittal will help ensure that functional and quality requirements are met and minimize rejections and resubmittals. For variations that include design changes or some material or product substitutions, the Government may require an evaluation and analysis by a licensed professional engineer or architect hired by the contractor.

Specifically point out variations from contract requirements in a variation submittal. Failure to point out variations may cause the Government to require rejection and removal of such work at no additional cost to the Government.

1.10.2 Proposing Variations

When proposing variation, deliver a submittal, clearly marked as a

SECTION 01 33 00 Page 13

"VARIATION" to the Contracting Officer, with documentation illustrating the nature and features of the variation including any necessary technical submittals 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.

The Contracting Officer will indicate an approval or disapproval of the variation request; and if not approved as submitted, will indicate the Government's reasons therefore. Any work done before such approval is received is performed at the Contractor's risk."

Specifically point out variations from contract requirements in a variation submittal. Failure to point out variations may cause the Government to require rejection and removal of such work at no additional cost to the Government.

1.10.3 Warranting that Variations are Compatible

When delivering a variation for approval, the Contractor warrants that this contract has been reviewed to establish that the variation, if incorporated, will be compatible with other elements of work.

1.10.4 Review Schedule Extension

In addition to the normal submittal review period, a period of 14working days will be allowed for the Government to consider submittals with variations.

1.11 SCHEDULING

Schedule and submit concurrently product data and shop drawings covering component items forming a system or items that are interrelated. Submit pertinent certifications 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. The Contractor is responsible for additional time required for Government reviews resulting from required resubmittals. The review period for each resubmittal is the same as for the initial submittal.

b. Submittals required by the contract documents are listed on the submittal register. If a submittal is listed in the submittal register 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 that have been omitted from the register or marked "N/A."

c. Resubmit the submittal register and annotate it monthly with actual submission and approval dates. When all items on the register have been fully approved, no further resubmittal is required.

Contracting Officer review will be completed within 20 working days after

SECTION 01 33 00 Page 14 the date of submission.

d. Except as specified otherwise, allow a review period, beginning with receipt by the approving authority, that includes at least 15 working days for submittals for QC manager approval and 20 working days for submittals where the Contracting Officer is the approving authority.

The period of review for submittals with Contracting Officer approval begins when the Government receives the submittal from the QC organization.

e. For submittals requiring review by a Government fire protection engineer, allow a review period, beginning when the Government receives the submittal from the QC organization, of 30 working days for return of the submittal to the Contractor.

1.11.1 Reviewing, Certifying, and Approving Authority

The QC Manager is responsible for reviewing all submittals and certifying that they are in compliance with contract requirements. The approving authority on submittals is the QC Manager unless otherwise specified. At each "Submittal" paragraph in individual specification sections, a notation "G" following a submittal item indicates that the Contracting Officer is the approving authority for that submittal item. Provide an additional copy of the submittal to the Government Approving authority

1.11.2 Constraints

Conform to provisions of this section, unless explicitly stated otherwise for submittals listed or specified in this contract.

Submit complete submittals for each definable feature of the work. At the same time, submit components of definable features that are interrelated as a system.

When acceptability of a submittal is dependent on conditions, items, or materials included in separate subsequent submittals, the submittal will be returned without review.

Approval of a separate material, product, or component does not imply approval of the assembly in which the item functions.

1.11.3 QC Organization Responsibilities

a. Review submittals for conformance with project design concepts and compliance with contract documents.

b. Process submittals based on the approving authority indicated in the submittal register.

(1) When the QC manager is the approving authority, take appropriate action on the submittal from the possible actions defined in paragraph APPROVED SUBMITTALS.

(2) When the Contracting Officer is the approving authority or when variation has been proposed, forward the submittal to the Government, along with a certifying statement, or return the submittal marked "not reviewed" or "revise and resubmit" as appropriate. The QC organization's review of the submittal determines the appropriate action.

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c. Ensure that material is clearly legible.

d. Stamp each sheet of each submittal with a QC certifying statement or an approving statement, except that data submitted in a bound volume or on one sheet printed on two sides may be stamped on the front of the first sheet only.

(1) When the approving authority is the Contracting Officer, the QC organization will certify submittals forwarded to the Contracting Officer with the following certifying statement:

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

Certified by Submittal Reviewer _____________________, Date _______ (Signature when applicable)

Certified by QC Manager _____________________________, Date ______" (Signature)

(2) When approving authority is the QC manager, the QC manager will use the following approval statement when returning submittals to the Contractor as "Approved" or "Approved as Noted."

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

Certified by Submittal Reviewer ______________________, Date ______ (Signature when applicable)

Approved by QC Manager _______________________________, Date _____" (Signature)

e. Sign the certifying statement or approval statement. The QC organization member designated in the approved QC plan is the person signing certifying statements. The use of original ink for signatures is required. Stamped signatures are not acceptable.

f. Update the submittal register as submittal actions occur, and maintain the submittal register at the project site until final acceptance of all work by the Contracting Officer.

g. Retain a copy of approved submittals and approved samples at the project site.

h. For "S" submittals, provide a copy of the approved submittal to the Government Approving authority.

1.12 GOVERNMENT APPROVING AUTHORITY

When the approving authority is the Contracting Officer, the Government will:

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a. Note the date on which the submittal was received.

b. Review submittals for approval within the 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 REVIEW NOTATIONS and with comments and markings appropriate for the action indicated.

Upon completion of review of submittals requiring Government approval, stamp and date submittals.

1.12.1 Review Notations

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

a. Submittals marked "approved" or "accepted" authorize proceeding with the work covered.

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

c. Submittals marked "not approved," "disapproved," or "revise and resubmit" indicate incomplete submittal or noncompliance with the contract requirements or design concept. Resubmit with appropriate changes. Do not proceed with work for this item until the resubmittal is approved.

d. Submittals marked "not reviewed" indicate that the 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.

e. Submittals marked "receipt acknowledged" indicate that submittals have been received by the Government. This applies only to "information-only submittals" as previously defined.

1.13 DISAPPROVED SUBMITTALS

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, give notice to the Contracting Officer as required under the FAR clause titled CHANGES. The Contractor is responsible for the dimensions and design of connection details and the construction of work. Failure to point out variations may cause the Government to require rejection and removal of such work at the Contractor's expense.

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

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1.14 APPROVED SUBMITTALS

The Contracting Officer's approval of submittals is not to be construed as a complete check, and indicates only thatthe general method of construction, materials, detailing, and other information are satisfactory. The design, general method of construction, materials, detailing, and other information appear to meet the Solicitation and Accepted Proposal.

Approval or acceptance by the Government for a submittal does not relieve the Contractor of the responsibility for meeting the contract requirements or for any error that may exist, because under the Quality Control (QC) requirements of this contract, the Contractor is responsible for ensuring information contained with in each submittal accurately conforms with the requirements of the contract documents.

After submittals have been approved or accepted by the Contracting Officer, no resubmittal for the purpose of substituting materials or equipment will be considered unless accompanied by an explanation of why a substitution is necessary.

1.15 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, provide assurance that the materials or equipment will be available in quantities required in the project. No change or substitution will be permitted after a sample has been approved.

Match the approved samples for materials and equipment incorporated in the work. If requested, approved samples, including those that may be damaged in testing, will be returned to the Contractor, at its expense, upon completion of the contract. Unapproved samples will also be returned to the Contractor at its expense, if so requested.

Failure of any materials to pass the specified tests will be sufficient cause for refusal to consider, under this contract, any further samples of the same brand or make as that material. The Government reserves the right to disapprove any material or equipment that has previously 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. Replace such materials or equipment to meet contract requirements.

1.16 CONTRACTOR COORDINATION

The Contractor and their sub-contractors are responsible for confirming and correlating dimensions and weights at the project site for tolerances, clearances, quantities, fabrication processes, and techniques of construction.

The contractor shall be responsible for the coordination of all submittals with related building elements. The contractor and their sub-contractors are responsible for coordination of the work with other trades and full compliance with contract documents.

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Comprehensive coordination and integration of submittals between trades is required and must be completed. The Contractor will be responsible for all schedule delays and cost impacts resulting from changes and conflicts which have not been fully coordinated as part of the buy-out and shop drawing preparation.

1.16.1 COORDINATION DRAWINGS

Prepare Coordination Drawings in accordance to the requirements of this specification. Before work progresses, in addition to the shop drawings listed herein, coordination drawings shall be created and prepared by the HVAC and Sheetmetal Subcontractors in AutoCAD DWG electronic format. The Coordination Drawings, once completed by the HVAC and Sheetmetal contractors, shall be delivered to the Controls Contractor, Fire Protection Contractor, Structural Steel Contractor, Interior/Exterior Finishes Contractor, and lastly the Electrical Contractor for inclusion of their respective equipment and systems. Provide drawings in electronic format, one 3/8 inch scale reproducible and one 3/8 inch scaleable print of coordination drawings.

Prepare Coordination Drawings in accordance to the requirements of this specification and in addition, adhere to the following:

1. Indicate temporary relocation, phasing, sequencing and moving of large equipment in the building during construction.

2. Floor plans and details, including the following:

a. HVAC Coordination Drawings shall include, as a minimum, all ductwork, insulation, filters, air-handlers, fans, terminal equipment, piping, pumps, isolation valves, control valves, thermostats, sensors, controllers, control cabinets, skids, platforms, and all other equipment installed under this Section showing the adjoining work of the other trades at all floor/enclosure levels. Refer to articles throughout this SECTION for additional coordination requirements.

b. HVAC Sub-contractor shall note apparent conflicts and suggest alternate solutions.

c. Composite systems coordination drawings showing how HVAC systems are to be installed where conflicts with the work of other trades may occur.

d. Access Door and Panel Coordination: Show sizes, locations, and required clearances of all access panels and doors on coordination drawings.

e. Conduit Layout Drawing: Show conduit routing for all systems (electrical, fire alarm, controls, security, etc.) on a plan.

Identify any steel penetrations (as allowed in the contract documents) on this drawing. Sizes of conduit shall be color coded and identified for each system. The Contractor is responsible for ensuring conduit is provided for all circuits/infrastructure as shown on the one-line diagrams, schematics including any circuits required for Contractor-selected equipment, RFI responses, ASI's, and Contractors means and methods.

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f. Piping Layout Drawing: Show piping layout for all systems including insulation and fittings and supports on a plan. Piping shall be color coded and identified for each system.

The Contractor, before transmittal of the Coordination Drawings to the Owner for approval, may require the HVAC and Sheetmetal Subcontractors to revise the composite coordination drawings and shop drawings and to make reasonable modifications in the layout of the HVAC work, so that the HVAC work may be properly accommodated without the interference with work of other trades. The HVAC and Sheetmetal Subcontractors shall make such revisions to composite systems coordination drawings, when requested, without extra charge or schedule delay. For example, note that ductwork aspect ratio changes (up to a maximum of 5 to 1 width to height ratio) shall be considered reasonable changes and therefore made at no cost/time delay to the owner.

The HVAC Contractor shall be responsible for the cost for changes in the HVAC and adjoining work where an approved substitution of the HVAC equipment requires such changes in the HVAC work or in the adjoining work of any other trade. Provide coordination drawings showing all changes at time of substitution transmittal.

Sheetmetal ductwork installed in floor areas which may be in conflict with ceiling system; the Ceiling Contractor and the Sheetmetal Contractor shall coordinate the method of support and access for the ceiling. In no case shall the ductwork be used to support the ceiling construction nor shall it fall on the grid or its cross points or support system unless the specific areas of conflict are allowed by the Architect/Engineer of record.

The Contractor, before transmittal of the Coordination Drawings to the Owner for approval, shall review with and obtain sign-off from the following contractors indicating that the work of their trade is fully coordinated:

a. General Contractor

b. Metal Framing Contractors

c. Mechanical Systems Contractors

d. Sheetmetal Contractors

e. Insulation Contractors

f. ACT Contractors

g. Testing and Balancing Contractors

h. Air Duct and System Cleaning Contractors

i. Piping/Compressed Air Contractors

j. Electrical Contractors

k. Low Voltage Wiring and Controls Contractors

l. Fire Protection Contractors

m. Fire Alarm Contractors

n. Steel Contractor/Fabricators

o. Doors and Openings Contractors

1.16.2 MEP Coordination Meetings

The Contractor shall schedule in person coordination meetings with the mechanical, electrical, piping, and fire protection trades on a monthly basis at a minimum. The intent of the meetings is to review the progress of the coordination drawings and coordinate work being installed.

Meeting minutes must be provided within 24 hours of completion of the MEP coordination meeting.

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The QC organization will be responsible for leading the MEP Coordination Meetings with other trades encouraged to participate.

PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

Not Used

-- End of Section --

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