Submittal Procedures (01 33 00).pdf

SECTION 01 33 00

SUBMITTAL PROCEDURES

08/18, CHG 4: 02/21

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

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 equipment manufacturer shall check and approve all items before submitting shop drawings. Proposed deviations from the contract requirements are to be clearly identified. Include within submittals items such as: fabrication 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.

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

Submittal requirements are specified in the technical sections. Examples 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. Submittals that are required prior to or at the start of construction (work) or the next major phase of the construction on a multiphase contract.

Certificates Of Insurance

Surety Bonds

Submittal Register

Quality Control (QC) plan

SD-02 Shop Drawings

Drawings, diagrams and schedules specifically prepared to illustrate

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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 NOT USED

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.

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.

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

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Text of posted operating instructions

SD-08 Manufacturer's Instructions

Preprinted material describing installation of a product, system or material, including special notices and (SDS)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.

Factory test reports.

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.

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.

1.3 SUBMITTALS

Government approval is required for all requested submittals:

SD-01 Preconstruction Submittals

Submittal Register; G

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1.4 NOT USED

1.5 NOT USED

1.6 PREPARATION

1.6.1 Transmittal Form

Transmit each submittal 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.

Use the ENG Form 4025-R transmittal form for submitting submittals. Submit in accordance with the instructions on the reverse side of the form. These forms or similar forms will be furnished to the Contractor. Properly complete this form by filling out all the heading blank spaces and identifying each item submitted. 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.

1.6.2 Identifying Submittals

Identify submittals 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. Purchase Order number

c. Dates of the drawings and revisions

d. Name, address, and telephone number of 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.

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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 22 by 34 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.

Present shop drawings sized 8 1/2 by 11 inches as part of the bound volume for submittals. Present larger drawings in sets. Submit an electronic copy of drawings in PDF 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 3 by 3 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 as a complete, bound volume.

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.

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

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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 expedition of the construction effort.

1.6.3.4 NOT USED

1.6.3.5 Format of SD-05 Design Data

Provide design data and certificates on 8 1/2 by 11 inch paper. Provide a bound volume for submittals containing numerous pages.

1.6.3.6 Format of SD-06 Test Reports

Provide reports on 8 1/2 by 11 inch paper in a complete bound volume.

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. Provide a bound volume for submittals containing numerous pages.

1.6.3.8 Format of SD-08 Manufacturer's Instructions

Present manufacturer's instructions submittals for each section as a complete, bound volume. 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.

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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

Provide reports on 8 1/2 by 11 inch paper in a complete bound volume.

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)

Operating Instructions shall provide specific instructions for the following phases of operation for the installed model and features of each system:

a. Safety Precautions and Hazards

b. Operator Prestart

c. Startup, Shutdown, and Post-Shutdown Procedures

d. Normal Operations

e. Emergency Operations

f. Operator Service Requirements

Preventive and Scheduled Maintenance shall include the following:

a. Lubrications Data showing recommended lubricants, lubrication points, and lubrication schedule.

b. Preventive Maintenance Plan, Schedule and Procedures for routine preventive maintenance, inspections, condition monitoring (predictive tests) and adjustments required to ensure proper and economical operation and to minimize repairs. Provide instructions stating when the systems should be retested. Provide manufacturer's projection of preventive maintenance work-hours on a daily, weekly, monthly, and annual basis. For periodic calibrations, provide manufacturer's specified frequency and procedures for each separate operation.

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.

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

SECTION 01 33 00 Page 7 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. Compile the submittal file as a single, complete document, to include the Transmittal Form described within. 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 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.

E-mail electronic submittal documents smaller than 10MB to an e-mail address as directed by the Contracting Officer. Provide electronic documents over 10 MB on an optical disc or through an electronic file sharing system such as 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.

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1.7.2 NOT USED

1.7.3 Number of SD-03 Product Data Copies

Submit three copies of all product data shop drawings.

1.7.4 NOT USED

1.7.5 Number of SD-05 Design Data Copies

Submit three copies of all product data shop drawings.

1.7.6 Number of SD-06 Test Report Copies

Submit three copies of all test report submittals.

1.7.7 Number of SD-07 Certificate Copies

Submit three copies of all certificate submittals.

1.7.8 Number of SD-08 Manufacturer's Instructions Copies

Submit three copies of all manufacturer's instructions submittals.

1.7.9 Number of SD-09 Manufacturer's Field Report Copies

Submit three copies of all field report submittals.

1.7.10 Number of SD-10 Operation and Maintenance Data Copies

Submit three copies of O&M data to the Contracting Officer for review and approval.

1.7.11 Number of SD-11 Closeout Submittals Copies

Unless otherwise specified, submit three sets of administrative submittals.

1.8 NOT USED

1.9 PROJECT SUBMITTAL REGISTER AND DATABASE

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

1.9.1 Submittal Management

Prepare and maintain a submittal register using an electronic spreadsheet program capable of producing a '.xls' file type. Provide a submittal register showing items of equipment and materials for which submittals are required by the specifications. At a minimum, provide the following columns for tracking submittal data:

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

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

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

Column (d): List the number of 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 (e): Contractor Submit Date: Scheduled date for the approving authority to receive submittals.

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

Column (g): Action Code

Column (h): Date of action used to record Contractor's review when forwarding submittals to QC.

Column (i): Date submittal transmitted.

Column (j): Date (hard copies) are received by Government.

Columns (k) through (m): Dates of review actions.

Column (n): Date of return to Contractor.

Column (o): Date approval was received.

1.9.2 Prefabrication

Submit the submittal register as indicated in paragraph 1.9.1 Verify that all submittals required for the project are listed and add missing submittals. Coordinate and complete the following fields on the register database :

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

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

1.9.3 Contractor Use of Submittal Register

Update the following fields in the submittal register with each submittal throughout the contract.

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

Column (g) Action Code.

Column (h) Date of action used to record Contractor's review when forwarding submittals to QC

Column (i) Date submittal transmitted.

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Column (o) Date approval was received.

1.9.4 Approving Authority Use of Submittal Register

Update the following fields:

Column (j) Date submittal was received.

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

Column (n) Date of return to Contractor.

1.9.5 Action Codes

Entries for columns (g) to be used as follows (others may be prescribed by the Transmittal Form):

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"

1.10 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 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 hired by the contractor.

Specifically point out variations from contract requirements in a transmittal letter. 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 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.

1.11 SCHEDULING

Schedule and submit concurrently, product data and shop drawings covering component items forming a system or items that are interrelated. Submit

SECTION 01 33 00 Page 11 pertinent certifications at the same time. No delay damages or time extensions will be allowed for time lost in late submittals.

a. 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."

b. 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 14 calendar working days after the date of submission.

1.12 GOVERNMENT APPROVING AUTHORITY

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

a. Note the date on which the submittal was received from the QC manager.

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 copy of the submittal will be retained by the Contracting Officer and 2 copies of the submittal will be returned to the Contractor.If the Government performs a conformance review of other Designer of Record approved submittals, the submittals will be identified and returned, as described above.

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

SECTION 01 33 00 Page 12 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.

1.14 APPROVED SUBMITTALS

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 NOT USED

1.16 NOT USED

1.17 CERTIFICATION OF SUBMITTAL DATA

Certify the submittal data as follows on Form ENG 4025: "I certify that the above submitted items had been reviewed in detail and are correct and in strict conformance with the contract drawings and specifications except as otherwise stated.

______NAME OF CONTRACTOR ______ SIGNATURE OF CONTRACTOR

PART 2 PRODUCTS

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