Section_01_33_00_Submittal_Procedures.docx
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SECTION 01 33 00 SUBMITTAL PROCEDURES
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SECTION 01 33 00
SECTION 01 33 00
SUBMITTAL PROCEDURES
| PART 1 | GENERAL | |
| 1.1 | SUMMARY | |
| A. | The Pre-construction package described in the following paragraphs must be received by the government at the Pre-construction meeting per Statement of Work Section C.5.1.5.1 submittal procedure. | |
| B. | Submittals that are poorly prepared, incomplete, or inaccurate will be returned, and the Pre-con and the NTP will be delayed. Delay of NTP due to poorly prepared or late submittals will reduce the "actual" amount of time you have to complete the work of the Contract. | |
| C. | Present any technical questions in writing to the Contracting Officer, no later than seven days before the Pre-construction. | |
| 1.2 | DEFINITIONS | |
| A. | Submittal: Product data, samples, operation and maintenance data, and administrative submittals presented for review and approval. 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." | |
| B. | Types of Submittals: All submittals are classified as indicated in paragraph "Submittal Descriptions (SD)". Submittals also are grouped as follows: | |
| 1. | Product data: Preprinted material such as illustrations, performance charts, instructions, brochures, diagrams, manufacturer's descriptive literature, catalog data, and other data to illustrate portion of work, but not prepared exclusively for this contract. | |
| 2. | Samples: Physical examples of products, materials, or workmanship that are physically identical to portion of work, illustrating portion of work or establishing standards for evaluating appearance of finished work or both. | |
| 3. | Administrative submittals: Data presented for reviews and approval to ensure that administrative requirements of project are adequately met but not to ensure directly that work is in accordance with design concept and in compliance with contract documents. | |
| 1.3 | SUBMITTAL IDENTIFICATION (SD) | |
| A. | Submittals required are identified by SD numbers and titles as follows: | |
| 1. | SD-01 | Pre-construction Submittals: |
| a. | Certificates of insurance. | |
| b. | Surety bonds. | |
| c. | List of proposed subcontractors. | |
| d. | List of proposed products. | |
| f. | Construction Progress Schedule. | |
| g. | Submittal register. | |
| h. | Health and safety plan. | |
| i. | Work plan. | |
| j. | Quality control plan. | |
| k. | Environmental protection plan. | |
| 2. | SD-03 | Product Data: |
| a. | Catalog cuts, illustrations, schedules, diagrams, performance charts, instructions and brochures illustrating size, physical appearance and other characteristics of materials for some portion of the work. | |
| b. | Samples of warranty language when the contract requires extended product warranties. | |
| 3. | SD-04 | Samples |
| a. | Physical examples of materials that illustrate functional and aesthetic characteristics of a material or product and establish standards by which the work can be judged. | |
| b. | Field samples and mock-ups constructed on the project site establish standards by which the ensuring work can be judged. Includes assemblies or portions of assemblies which are to be incorporated into the project and those which will be removed at conclusion of the work. | |
| 4. | SD-06 | Test Reports |
| a. | Report signed by authorized official of testing laboratory that a material or product 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.) | |
| b. | 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. | |
| c. | 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. | |
| 5. | SD-07 | Certificates |
| a. | Statements signed by responsible officials of manufacturer of product or material attesting that product or material meets specification requirements. Must be dated after award of project contract and clearly name the project. | |
| b. | 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. | |
| 6. | SD-08 | Manufacturer's Instructions: Preprinted material describing installation of a product including special notices and Material Safety Data sheets concerning hazards and safety precautions. |
| 7. | SD-09 | Manufacturer's Field Reports |
| a. | Documentation of the testing and verification actions taken by manufacturer's representative to confirm compliance with manufacturer's standards or instructions. | |
| b. | Factory test reports. | |
| B. | Approving Authority | |
| 1. | Submit Pre-Construction submittals to the Contracting Officer at: |
MICC
U.S. Army Garrison Dugway Proving Ground ATTN: (fill in Contract Administrator’s name)
| 5330 Valdez Circle | |
| Dugway, Utah 84022 | |
| Contract No. _____________ | |
| C. | Work: As used in this section, on and off-site construction required by contract documents, including labor necessary to produce submittals, construction, materials and products incorporated or to be incorporated in such construction. |
| 1.4 | SUBMITTALS |
| A. | Submit the following in accordance with the requirements of this section. |
NOTE: The "G," following the submittal item indicates Government approval.
| 1. | SD-01 | Preconstruction Submittals; G |
| 2. | SD-03 | Product Data; G |
| 3. | SD-04 | Samples; G |
| 4. | SD-06 | Test Reports; G |
| 5. | SD-07 | Certificates; G |
| 6. | SD-08 | Manufacturer’s Instructions; G |
| 7. | SD-09 | Manufacturer’s Field Reports; G |
| 1.5 | USE OF SUBMITTAL REGISTER | |
| A. | Prepare and maintain Submittal Register, as the work progresses. Use Submittal Register furnished by the Government. Do not change data which is output in columns (c), (d), (e), and (f) as delivered by government; retain data which is output in columns (a), (g), (h), and (i) as approved. | |
| 1. | Submittal Register | |
| a. | Submit manually processed submittal register. Submit with quality control plan and project schedule. Verify that all submittals required for project are listed and add missing submittals. Complete the following on the register: | |
| b. | Column (a) Activity Number: Activity number from the project schedule. | |
| c. | Column (g) Contractor Submit Date: Scheduled date for approving authority to receive submittals. | |
| d. | Column (h) Contractor Approval Date: Date contractor needs approval of submittal. | |
| e. | Column (i) Contractor Material: Date that contractor needs material delivered to contractor control. | |
| 2. | Contractor Use of Submittal Register | |
| a. | Update the following fields in the government-furnished submittal register program or equivalent fields in program utilized by contractor. | |
| b. | Column (b) Transmittal Number: Contractor assigned list of consecutive numbers. | |
| c. | Column (j) Action Code (k): Date of action used to record contractor's review when forwarding submittals to QC. | |
| d. | Column (l) List date of submittal transmission. | |
| e. | Column (q) List date approval received. | |
| 3. | Approving Authority Use of Submittal Register | |
| a. | Update the following fields in the government-furnished submittal register program or equivalent fields in program utilized by contractor. | |
| b. | Column (b). | |
| c. | Column (l) List date of submittal receipt. | |
| d. | Column (m) through (p). | |
| e. | Column (q) List date returned to contractor. | |
| 4. | Contractor Action Code and Action Code | |
| a. | Entries used will be as follows (others may be prescribed by Transmittal Form): | |
| 1) | NR - Not Received | |
| 2) | EN - Exceptions as Noted | |
| 3) | NT – No Exceptions Taken | |
| 4) | RV – Revise and/or Resubmit | |
| 5) | RJ – Rejected and Resubmit | |
| 5. | Copies Delivered to the Government | |
| a. | Deliver one copy of submitted register updated by contractor to government with each invoice request. | |
| 1.6 | PROCEDURES FOR SUBMITTALS | |
| A. | Reviewing, Certifying, Approving Authority | |
| 1. | 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 contracting officer is approving authority for that submittal item. | |
| B. | Constraints |
1. Submittals listed or specified in this contract shall conform to provisions of this section, unless explicitly stated otherwise.
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.
3. When acceptability of a submittal is dependent on conditions, items, or materials included in separate subsequent submittals, submittal will be returned without review.
4. Approval of a separate material, product, or component does not imply approval of assembly in which item functions.
C. Scheduling
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.
2. Except as specified otherwise, allow review period, beginning with receipt by approving authority that 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.
| D. | Variations |
| 1. | 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. |
| a. | 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). |
| b. | 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. |
| c. | 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. |
| d. | 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. |
| E. | Contractor's Responsibilities |
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.
| 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. |
| 3. | Advise contracting officer of variation, as required by paragraph entitled "Variations." |
| 4. | Correct and resubmit submittal as directed by approving authority. When resubmitting disapproved transmittals or transmittals noted for re-submittal, the contractor shall provide copy of that previously submitted transmittal including all reviewer comments for use by approving authority. Direct specific attention in writing or on resubmitted submittal, to revisions not requested by approving authority on previous submissions. |
| 5. | Furnish three (3) additional copies of submittal. |
| 6. | Complete work which must be accomplished as basis of a submittal in time to allow submittal to occur as scheduled. |
| 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. |
| F. | QC Organization Responsibilities |
| 1. | Note date on which submittal was received from contractor on each submittal. |
| 2. | Review each submittal; and check and coordinate each submittal with requirements of work and contract documents. |
| 3. | Review submittals for conformance with project design concepts and compliance with contract documents. |
| 4. | Act on submittals, determining appropriate action based on QC organization's review of submittal. |
| a. | When QC manager is approving authority, take appropriate action on submittal from the possible actions defined in paragraph entitled, "Actions Possible." |
| b. | When contracting officer is approving authority or when variation has been proposed, forward submittal to Government with certifying statement or return submittal marked "not reviewed" or "revise and resubmit" as appropriate. The QC organization's review of submittal determines appropriate action. |
| 5. | Ensure that material is clearly legible. |
| 6. | Mark submittal transmittal with QC certifying statement or approving statement. Use submittal transmittal form provided by the Government. |
| 7. | The person signing certifying statements shall be QC organization member designated in the approved QC plan. The signatures shall be in original ink. Stamped signatures are not acceptable. |
| 8. | Update submittal register database as submittal actions occur and maintain the submittal register at project site until final acceptance of all work by contracting officer. |
| 9. | Retain a copy of approved submittals at project site, including contractor's copy of approved samples. |
| G. | Government's Responsibilities |
| 1. | When approving authority is Contracting Officer, the Government will: |
| a. | Note date on which submittal was received from QC manager. |
| b. | Review submittals within 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 entitled "Actions Possible" and with markings appropriate for action indicated. |
| H. | Actions Possible |
| 1. | Submittal transmittals will be returned with one of the following notations: |
| a. | Submittals marked "Reviewed/No Exceptions Taken" authorize contractor to proceed with work covered. |
| c. | Submittals marked "Exceptions as Noted" authorize contractor to proceed with work as noted provided contractor takes no exception to the notations. |
| d. | Submittals marked "Revise/Resubmit" indicate submittal is incomplete shall be resubmitted with appropriate changes. No work shall proceed for this item until re-submittal is approved. |
| e. | Submittals marked "Rejected/Resubmit" indicate submittal does not comply with design concept or requirements of the contract documents and shall be resubmitted with appropriate changes. No work shall proceed for this item until re-submittal is approved. |
| 1.7 | FORMAT OF SUBMITTALS |
| A. | 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. 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. |
| B. | Identifying Submittals |
| 1. | 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: |
| a. | Project title and location. |
| b. | Construction contract number. |
| c. | Section number of the specification section by which submittal is required. |
| d. | Submittal description (SD) number of each component of submittal. |
| e. | When a resubmission, add alphabetic suffix on submittal description, for example, SD-10A, to indicate resubmission. |
| f. | Name, address, and telephone number of subcontractor, supplier, manufacturer and any other second tier contractor associated with submittal. |
| g. | Product identification and location in project. |
| C. | Format of Product Data |
| 1. | Present product data submittals for each section as a complete, bound volume. Include table of contents, listing page and catalog item numbers for product data. |
| 2. | Indicate, by prominent notation, each product which is being submitted; indicate specification section number and paragraph number to which it pertains. |
| 3. | Supplement product data with material prepared for project to satisfy submittal requirements for which product data does not exist. Identify this material as developed specifically for project. |
| d. | Provide product data in English units only. |
| D. | Format of Samples |
| 1. | Furnish samples in sizes below, unless otherwise specified or unless the manufacturer has prepackaged samples of approximately same size as specified: |
| a. | Sample of Materials Less Than 2 by 3 inches: Built up to A4, 8 1/2 by 11 inches. |
| b. | Sample of Materials Exceeding A4, 8 1/2 by 11 inches: Cut down to A4, 8 1/2 by 11 inches and adequate to indicate color, texture, and material variations. |
| 1.8 | SUBMITTAL CLASSIFICATION |
| A. | Submittals are classified as follows: |
| 1. | Government Approved: Government approval is required for extensions of design, critical materials, deviations, 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 "field revisions." |
| 2. | Information Only: All submittals not requiring Government approval will be for information only. They are not considered to be "field revisions" within the terms of the Contract Clause referred to above. |
| 1.9 | APPROVED SUBMITTALS |
| A. | The COR’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. |
| B. | 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. |
| C. | After submittals have been approved by the COR, no re-submittal for the purpose of substituting materials or equipment will be considered unless accompanied by an explanation of why a substitution is necessary. |
| 1.10 | DISAPPROVED SUBMITTALS |
| A. | The Contractor shall make all corrections required and promptly furnish a corrected submittal in the form and number of copies specified for the initial submittal. |
| B. | 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. |
| 1.11 | WITHHOLDING OF PAYMENT |
| A. | Payment for materials incorporated in the work will not be made if required approvals have not been obtained. |
| 1.12 | GENERAL |
| A. | 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. |
| B. | Units of weights and measures used on all submittals shall be the same as those used in the contract drawings. |
| C. | Each submittal shall be complete and in sufficient detail to allow ready determination of compliance with contract requirements. |
| D. | 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. |
| E. | Proposed deviations from the contract requirements shall be clearly identified. |
| F. | Submittals shall include items such as: |
| 1. | Contractor's, manufacturer's, or fabricator's drawings; |
| 2. | descriptive literature including (but not limited to) catalog cuts, diagrams, operating charts or curves; |
| 3. | test reports; |
| 4. | test cylinders; |
| 5. | samples; |
| 6. | certifications; |
| 7. | warranties; |
| 8. | and other such required submittals. |
| G. | Submittals requiring Government approval shall be scheduled and made prior to the acquisition of the material or equipment covered thereby. |
| H. | 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. |
| 1.13 | SUBMITTAL REGISTER |
| A. | The Government will provide the initial Submittal Register (see ENG Form 4288-R, Jan 97, at the end of this Section). |
| B. | Thereafter, the Contractor shall maintain a complete list of all submittals, including completion of all data columns. |
| C. | Dates on which submittals are received and returned by the Government will be included in its export file to the Contractor. |
| D. | The Contractor shall track all submittals. |
| 1.14 | SCHEDULING |
| A. | Submittals covering component items that are interrelated shall be scheduled to be coordinated and submitted concurrently. |
| B. | Certifications to be submitted with the pertinent drawings shall be so scheduled. |
| C. | Adequate time (a minimum of 20 calendar days exclusive of mailing time) 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. |
| 1.15 | TRANSMITTAL FORM (ENG FORM 4025) |
| A. | The transmittal form (ENG Form 4025) provided locally shall be used for submitting both Government approved and information only submittals in accordance with the instructions on the reverse side of the form. These forms will be furnished to the Contractor. |
| B. | 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. |
| 1.16 | SUBMITTAL PROCEDURES |
| A. | Submittals shall be made as follows: |
| 1. | Procedures: Refer to Section “C,” Statement of Work, Paragraph C.5.1.5. |
| 2. | Deviations: |
| a. | For submittals which include proposed deviations requested by the Contractor, the column "variation" of ENG Form 4025 shall be checked. |
| b. | The Contractor shall set forth in writing the reason for any deviations and annotate such deviations on the submittal. |
| c. | The Government reserves the right to rescind inadvertent approval of submittals containing unnoted deviations. |
| 1.17 | CONTROL OF SUBMITTALS |
| A. | 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." |
| 1.18 | GOVERNMENT APPROVED SUBMITTALS |
| A. | Upon completion of review of submittals requiring Government approval, the submittals will be identified as having received approval by being so stamped and dated. 2 copies of the submittal will be retained by the Contracting Officer and 1 copy of the submittal will be returned to the Contractor. |
| 1.19 | INFORMATION ONLY SUBMITTALS |
| A. | Normally submittals for information only will not be returned. Approval of the COR is not required on information only submittals. |
| B. | The Government reserves the right to require the Contractor to resubmit any item found not to comply with the contract. |
| C. | Information Only submittals do not relieve the Contractor from the obligation to furnish material conforming to the plans and specifications; will not prevent the COR 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. |
END OF SECTION
SUBMITTAL PROCEDURES Page 12
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