Attachment_13_Submittal_Procedures.pdf

CLEAN HVAC SYSTEMS IN B16, B30 AND B100

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SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 DEFINITIONS

1.1.1 Submittal

Contract Clauses "FAR 52.236-5, Material and Workmanship," paragraph (b) and "FAR 52.236-21, Specifications and Drawings for Construction," paragraphs (d), (e), and (f) apply to all "submittals."

1.1.2 Submittal Descriptions (SD)

Submittals requirements are specified in the technical sections. Submittals are identified by SD numbers and titles as follows.

SD-01 Preconstruction Submittals

Certificates of insurance.

Surety bonds.

List of proposed subcontractors.

Construction Progress Schedule.

Submittal registers; G.

Schedule of values.

Health and safety plan.

Work plan.

Quality control 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 or equipment for some portion of the work.

Samples of warranty language when the contract requires extended product warranties.

Attachment 13

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SD-05 Design Data

Calculations, mix designs, analyses or other data pertaining to a part of the work.

SD-06 Test Reports

Report signed by authorized official of testing laboratory that a material, product or system identical to the material, product or system to be provided has been tested in accord with specified requirements. (Testing must have been within three years of date of contract award for the project.)

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

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

Investigation reports.

Daily checklists.

Final acceptance test and operational test procedures.

SD-07 Certificates

Statements signed by responsible officials of manufacturer of product, system or material attesting that product, system or material meets specification requirements. Must be dated after award of project contract and clearly name the project.

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

Confined space entry permits.

SD-08 Manufacturer’s Instructions

Preprinted material describing installation of a product, system or material, including special notices and Material Safety Data sheets concerning impedances, hazards and safety precautions.

SD-09 Manufacturer’s Field Reports

Documentation of the testing and verification actions taken by manufacturer’s representative to confirm compliance with manufacture’s standards or instructions.

SD-10 Operation and Maintenance Data

Data that is furnished by the manufacturer or the system provider to the equipment operating and maintenance personnel. This data is needed by operating and data personnel for the safe and efficient operation, maintenance and repair of the item.

SD-11 Closeout Submittals

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

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1.1.3 Approving Authority

Office or designated person authorized to approve submittal.

1.1.4 Work

As used in this section, on- and off-site construction required by contract documents, including labor necessary to produce submittals, construction, materials, products, equipment, and systems incorporated or to be incorporated in such construction.

1.2 SUBMITTALS

Government approval is required for submittals with a "G" designation; submittals not having a "G" designation are for information only or as otherwise designated.

1.3 USE OF SUBMITTAL REGISTERS (FORM 4288)

1.3.1 Government-Supplied Information

Submittal Registers (Form 4288) will be delivered to the Contractor by the Government in electronic file format. A copy of this form is provided at the end of this section and is labeled Table 1. The Submittal Registers will have the following fields completed, to the extent that will be required by the Government during subsequent usage:

Column (c): Lists Specification Section submittal is required. This listing is only to facilitate locating submittal requirements. Do not consider entries in column (c) as limiting project requirements.

Column (d): Lists each submittal description (SD No. and type, e.g. SD-04, Drawings), and provides a brief description of the submittal item(s) required.

Column (e): Lists the Paragraph Number that the submittal requirement is established under within the Specification Section listed for each submittal item described in Column (d).

Column (f): Indicates the review classification of each submittal.

Submittal items marked "G" in Column (f) must be submitted and receive Government review and approval.

Submittal items that leave Column (f) blank do not require Government review and approval are for information only.

Prepare and maintain submittal register as the work progresses.

1.3.2 Contractor Use of Submittal Registers

The Contractor shall provide and maintain the following information on each Submittal Register:

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Column (a): Indicate the Contractor’s Activity Number in accordance with the Contractor’s approved Project Schedule.

Column (b): Indicate the Contractor’s Transmittal Number in accordance with the numbers assigned to Submittal Transmittal Forms (ENG Form 4025, described herein).

Columns (g) through (r):

Provide information in Columns (g) through (r) upon submission (or re-submission) to the Government for review.

Complete Columns (m) through (p) using information provided on

Submittals returned by the Government upon completion of review.

1.3.3 Contractor Action Code and Approving Authority Action Code Entries shall be by letter designation and shall be assigned as follows: “A” – Approved

“B” – Approved except as noted.

“C” – Approved except as noted, resubmit.

“D” – Will provide comments under separate correspondence “E” – Not approved “F” – Receipt Acknowledged “FX” - Receipt Acknowledged but does not meet contract requirements “G” – Other

1.3.4 Copies Delivered to the Government

Deliver one (1) copy of updated Submittal Registers to Government with each invoice request. Deliver in electronic format unless a paper copy is requested by Contracting Officer.

1.4 PROCEDURES FOR SUBMITTALS

1.4.1 Reviewing, Certifying, Approving Authority

QC organization shall be responsible for reviewing and certifying that submittals are in compliance with Contract requirements. Approving authority on submittals is QC Manager unless otherwise specified for specific submittal. At each "Submittal" paragraph in individual specification sections, a notation "G," following a submittal item, indicates that the Contracting Officer (or his/her designee) is the approving authority for that submittal item.

1.4.2 Constraints

1.4.2.1 Submittals listed or specified in this Contract shall conform to provisions of this

Section, unless explicitly stated otherwise.

1.4.2.2 Submittals shall be complete for each definable feature of work; components of definable feature interrelated as a system shall be submitted at same time.

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

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

1.4.3 Scheduling

1.4.3.1 Coordinate scheduling, sequencing, preparing and processing of submittals with performance of work so that work will not be delayed by submittal processing. Allow for potential requirements to resubmit.

1.4.3.2 Except as specified otherwise, allow review period, beginning with receipt by Approving

Authority, which includes at least 15 working days for submittals for QC Manager approval and 20 working days for submittals for Contracting Officer approval. Period of review for submittals with Contracting Officer approval begins when Government receives submittal from QC organization. Period of review for each re-submittal is the same as for initial submittal.

1.4.4 Variations

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

1.4.4.1 Considering Variations

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

1.4.4.2 Proposing Variations

When proposing variation, deliver written request to the Contracting Officer, with documentation of the nature and features of the variation and why the variation is desirable and beneficial to Government. If lower cost is a benefit, also include an estimate of the cost saving. In addition to documentation required for variation, include the submittals required for the item. Clearly mark the proposed variation in all documentation.

1.4.4.3 Warranting That Variations Are Compatible

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

1.4.4.4 Review Schedule Is Modified

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

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1.4.5 Contractor's Responsibilities

1.4.5.1 Determine and verify field measurements, materials, field construction criteria; review each submittal; and check and coordinate each submittal with requirements of the work and contract documents.

1.4.5.2 Transmit submittals to QC organization in accordance with schedule on approved

Submittal Register, and to prevent delays in the work, delays to Government, or delays to separate Contractors.

1.4.5.3 Advise Contracting Officer of variation, as required by paragraph entitled

"Variations."

1.4.5.4 Correct and resubmit submittal as directed by approving authority. Direct specific attention in writing or on resubmitted submittal, to revisions not requested by approving authority on previous submissions.

1.4.5.5 Furnish additional copies of submittal when requested by the Contracting Officer.

1.4.5.6 Complete work which must be accomplished as basis of a submittal in time to allow submittal to occur as scheduled.

1.4.5.7 Ensure no work has begun until submittals for that work have been returned as

"Approved," or "Approved as Noted", except to the extent that a portion of work must be accomplished as basis of submittal.

1.4.6 Government's Responsibilities

When approving authority is Contracting Officer, the Government will:

1.4.6.1 Note date on which submittal was received from QC manager, on each submittal for which the Contracting Officer is approving authority.

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

1.4.6.3 Identify returned submittals with one of the actions defined in paragraph entitled

"Actions Possible" and with markings appropriate for action indicated.

1.4.7 Actions Possible

Submittals will be returned with one of the following notations:

“A” – Approved – no comments are provided for submitted item. Acceptable as is.

“B” – Approved except as noted on submittal. Submission is acceptable with comments added by reviewer. These comments would typically be a suggested change that may or may not be made, at the contractor’s discretion.

Resubmission is not required.

“C” – Approved except as noted on drawings. Submission is acceptable with comments added by reviewer. These comments represent required changes by the reviewer. In general, the submission is acceptable with the exception of the items identified in the submission. Resubmission IS required.

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“D” – This review indicates that there are enough comments on the submission that additional correspondence beyond what is normal in this review process is required.

No disposition is made on the submission. This would typically require a resubmission based on the outcome of the additional correspondence.

“E” – The submission is NOT approved. This will always be accompanied by an explanation as to why the submission is disapproved. Resubmission IS required.

“F” – Receipt Acknowledged – means that the submission is neither approved nor disapproved. Items submitted are for information and do not require concurrence.

“FX” - Receipt Acknowledged but does not meet contract requirements – means that the submission is neither approved nor disapproved, however, a warring is provided to alert the contractor that the item submitted does not meet contract requirements.

“G” – Other – is a catch-all for any other type of disposition that is not listed above.

This rating is always followed by an explanation of the rating and what the reviewer’s expectations are for the contractor.

1.5 FORMAT OF SUBMITTALS

1.5.1 Transmittal Form

Transmit each submittal, except sample installations and sample panels, to office of approving authority. Transmit submittals with transmittal form prescribed by Contracting Officer and standard for project (ENG FORM 4025) provided as Table 2, Pages 1 and 2 at the end of this section. The transmittal form shall identify Contractor, indicate date of submittal, and include information prescribed by transmittal form and required in paragraph entitled "Identifying Submittals." Process transmittal forms to record actions regarding sample panels and sample installations.

1.5.2 Identifying Submittals

Identify submittals, except sample panel and sample installation, 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:

Project title and location.

Construction contract number.

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

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

When a resubmission, add alphabetic suffix on submittal description, for example, SD-

10A, to indicate resubmission.

Name, address, and telephone number of subcontractor, supplier, manufacturer and any other second tier Contractor associated with submittal.

1.6 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.6.1 Government Approved

Government approval is required for extensions of design, critical materials, deviations, equipment whose compatibility with the entire system must be checked, and other items as

SECTION 01 33 00 Page 8 designated by the Contracting Officer. Government approval is required for any deviations from the Solicitation or Accepted Proposal and other items as designated by the Contracting Officer. Within the terms of the Contract Clause entitled "Specifications and Drawings for Construction," they are considered to be "shop drawings."

1.6.2 Information Only

All submittals not requiring Government approval will be for information only. They are not considered to be "shop drawings" within the terms of the Contract Clause referred to above.

1.7 APPROVED SUBMITTALS

The Contracting Officer's approval of submittals shall not be construed as a complete check, but will indicate only that the general method of construction, materials, detailing and other information are satisfactory design, general method of construction, materials, detailing and other information appear to meet the Solicitation and Accepted Proposal. Approval will not relieve the Contractor of the responsibility for any error which may exist, as the Contractor under the Contractor Quality Control (CQC) requirements of this contract is responsible for dimensions, the design of adequate connections and details, and the satisfactory construction of all work. After submittals have been approved 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.

1.8 DISAPPROVED SUBMITTALS

The Contractor shall make all corrections required by the Contracting Officer and promptly furnish a corrected submittal in the form and number of copies specified for the initial submittal.

The Contractor shall make all corrections required by the Contracting Officer, obtain the Designer of Record's approval when applicable, and promptly furnish a corrected submittal in the form and number of copies specified for the initial submittal.

Any "information only" submittal found to contain errors or unapproved deviations from the Solicitation or Accepted Proposal shall be resubmitted as one requiring "approval" action, requiring both Designer of Record and Government approval. If the Contractor considers any correction indicated on the submittals to constitute a change to the contract, a notice in accordance with the Contract Clause "Changes" shall be given promptly to the Contracting Officer.

1.9 WITHHOLDING OF PAYMENT

Payment for materials incorporated in the work will not be made if required approvals have not been obtained. No payment for materials incorporated in the work will be made if all required Government approvals have not been obtained. No payment will be made for any materials incorporated into the work for any conformance review submittals or information only submittals found to contain errors or deviations from the Solicitation or Accepted Proposal.

1.10 GENERAL

The Contractor shall make submittals as required by the specifications. The Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections. Units of weights and

SECTION 01 33 00 Page 9 measures shall be English standard units.

Each submittal shall be complete and in sufficient detail to allow ready determination of compliance with contract requirements. Prior to submittal, all items shall be checked and approved by the Contractor's Quality Control (CQC) System Manager, and each item shall be stamped, signed, and dated by the CQC System Manager indicating action taken.

Proposed deviations from the contract requirements shall be clearly identified. Submittals shall include items such as: Contractor's or manufacturer'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.

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

1.11 SUBMITTAL REGISTER (FORM 4288)

1.11.1 A copy of the Submittal Register form is provided at the end of this section and is labeled

Table 1. The set of Submittal Registers that are provided with the contract documents were developed by the Government to serve as a comprehensive listing of the minimum submittal items required for each Specification provided under this Contract. This list may not be all inclusive and additional submittals may be required. This determination will be made on a project-by-project basis. This information is provided to establish the minimum submittal requirements of each Specification Section for the Contractor. Individual Submittal Registers will be developed by the Government for each project in order to establish the products to be used for construction.

1.12 SCHEDULING

Submittals covering component items forming a system or items that are interrelated shall be scheduled to be coordinated and submitted concurrently. Certifications to be submitted with the pertinent drawings shall be so scheduled. Adequate time (minimum of 14 calendar days) shall be allowed and shown on the register for review and approval. No delay damages or time extensions will be allowed for time lost in late submittals

1.13 TRANSMITTAL FORM (ENG FORM 4025)

The sample transmittal form (ENG Form 4025) is provided as Table 2, Pages 1 and 2 at the end of this section and shall be used for submitting both Government approved and information only submittals in accordance with the instructions on Page 2 of the form.

These forms will be furnished to the Contractor. This form shall be properly completed by filling out all the heading blank spaces and identifying each item submitted. Special care shall be exercised to ensure proper listing of the specification paragraph and/or sheet number of the contract drawings pertinent to the data submitted for each item. Only one submittal shall be attached to each transmittal form.

1.14 SUBMITTAL PROCEDURES

Submittals shall be made as follows:

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1.14.1 Procedures

The Government will further discuss detailed submittal procedures with the Contractor at the Preconstruction Conference or Post-Award Conference for design-build projects. The Contractor shall submit four copies of Shop Drawings and Product Data for all materials except complex systems at the Preconstruction Conference. Shop drawings and Product Data for complex systems shall be submitted within 30 days of the Preconstruction Conference.

1.14.2 Deviations

For submittals which include proposed deviations requested by the Contractor, the column "variation" of ENG Form 4025 shall be checked. The Contractor shall set forth in writing the reason for any deviations and annotate such deviations on the submittal. The Government reserves the right to rescind inadvertent approval of submittals containing unnoted deviations.

1.15 CONTROL OF SUBMITTALS

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

1.16 GOVERNMENT APPROVED SUBMITTALS

Upon completion of review of submittals requiring Government approval, the submittals will be identified as having received approval by indicating approval on the submittal form. Three copies of the submittal will be retained by the Contracting Officer and one electronic copy of the submittal will be returned to the Contractor.

1.17 INFORMATION ONLY SUBMITTALS

Normally, submittals for information only will not be returned. Approval of the Contracting Officer is not required on information only submittals. The Government reserves the right to require the Contractor to resubmit any item found not to comply with the contract. This does not relieve the Contractor from the obligation to furnish material conforming to the plans and specifications; will not prevent the Contracting Officer from requiring removal and replacement of nonconforming material incorporated in the work; and does not relieve the Contractor of the requirement to furnish samples for testing by the Government laboratory or for check testing by the Government in those instances where the technical specifications so prescribe.

1.18 STAMPS

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

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1.19 BUY RECYCLE PROGRAM

Defense Distribution Depot San Joaquin actively encourages the use of materials made with recycled content. When submitting shop drawings for materials, list recycled contents contained in these products and services.

PART 2 PRODUCTS

Not used.

PART 3 EXECUTION

Not used.

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CONTRACTOR NAME

(Firm Name)

Approved

Approved with corrections as noted on submittal data and/or attached sheet(s).

SIGNATURE:

TITLE:

DATE:

TABLE 1

Eng. Form 4288, SUBMITTAL REGISTER

SUBMITTAL PROCEDURES

TABLE 2

ENG.FORM 4025, Page 1