UFGS_01_33_00_Submittal_Procedures_-_UFGS_01_33_00.pdf

SECTION 01 33 00 Page 1

SECTION 01 33 00

SUBMITTAL

PROCEDURES 05/11

PART 1 GENERAL

1.1 SUMMARY

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

Units of weights and measures used on all submittals are to be the same as those used in the contract drawings.

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

Contractor's Quality Control (CQC) System Manager and the Designer of Record, if applicable, to check and approve all items prior to 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.

Submittals requiring Government approval are to be scheduled and made prior to the acquisition of the material or equipment covered thereby.

Pick up and dispose of samples not incorporated into the work in accordance with manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.

A submittal register showing items of equipment and materials for when submittals are required by the specifications is provided as "Appendix A

- Submittal Register".

1.2 DEFINITIONS

1.2.l Submittal Descriptions (SD)

Submittals requirements are specified in the technical sections.

Submittals are identified by Submittal Description (SD) numbers and titles as follows:

SD-01 Preconstruction Submittals

Submittals which are required prior to start of construction (work) issuance of contract notice to proceed or commencing work on site or the start of the next major phase of the construction on a multi-phase contract, includes schedules, tabular list of data, or tabular list including location, features, or other pertinent information regarding products, materials, equipment, or components to be used in the work.

SECTION 01 33 00 Page 2

Certificates of insurance

Surety bonds

List of proposed Subcontractors

List of proposed products

Construction progress schedule

Network Analysis Schedule (NAS)

Submittal register

Schedule of prices or Earned Value Report

Health and safety plan

Work 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 not fabricated physical examples of materials, equipment or workmanship that illustrate functional and aesthetic characteristics of a material or product and establish standards by which the work can be judged.

Color samples from the manufacturer's standard line (or custom color samples if specified) to be used in selecting or approving colors for the project.

Field samples and mock-ups constructed on the project site establish standards by which the ensuring work can be judged. Includes assemblies or port ions of assemblies which are to be incorporated into the project and those which will be removed at conclusion of the work.

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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 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 port ion 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 port ion 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

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

SECTION 01 33 00 Page 4 the manufacturer 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 that is furnished by the manufacturer, or the system provider, to the equipment operating and maintenance personnel, including manufacturer's help and product line documentation necessary to maintain and install equipment. This data is needed by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item

This data is intended to be 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 submittal.

1.2.3 Work

As used in this section, on- and off-site construction required by contract documents, including labor necessary to produce submittals, except those SD-01 Pre-Construction Submittals noted above, construction, materials, products, equipment, and systems incorporated or to be incorporated in such construction.

1.3 SUBMITTALS

Government approval is required for submittals with a "G" designation;

submittals not having a "G" designation are [or information only. When used, a designation following the "G " designation identifies the office that will review the submittal for the Government .

SD-01 Preconstruction Submittals

Submittal Register; G

1.4.1 Designer of Record Approved (DA)

Designer of Record (DOR) approval is required for extensions of design, critical materials, any deviations from the solicitation, the accepted proposal, or the completed design, equipment whose compatibility with the

SECTION 01 33 00 Page 5 entire system must be checked, and other items as designated by the Contracting Officer. Within the terms of the Contract Clause SPECIFICATIONS AND DRAW INGS FOR CONSTRUCTION, they are considered to be "shop drawings."

Contractor to provide the Government with the number of copies designated hereinafter of all DOR approved submittals. The Government may review any or all Designer of Record approved submittals for conformance to the Solicitation, Accepted Proposal and the completed design. The Government will review all submittals designated as deviating from the Solicitation or Accepted Proposal, as described below. Design submittals to be in accordance with Section 01 33 16.00 10 DESIGN DATA (DESIGN AFTER AWARD ). Generally, design submittals should be identified as SD-05 Design Data submittals.

1.4 .2 Government Approved (G)

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 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 SPECIFICATIONS AND DRAW INGS FOR CONSTRUCTION, they are considered to be "shop drawings."

1.4 .3 Government Conformance Review of Design (CR)

The Government will review all intermediate and final design submittals for conformance with the technical requirements of the solicitation . Section 01 33 16.00 10 DESIGN DATA (DESIGN AFTER AWARD ) covers the design submittal and review process in detail. Review will be only for conformance with the applicable codes, standards and contract requirements. Design data includes the design documents described in Section 01 33 16.00 10 DESIGN DATA (DESIGN AFTER AWARD). Generally, design submittals should be identified as SD-05 Design Data submittals.

1.4. 4 Designer of Record Approved/Government Conformance Review (DA/CR)

1.4. 4. l Deviations to the Accepted Design

Designer of Record approval and the Government's concurrence are required for any proposed deviation from the accepted design which still complies with the contract before the Contractor is authorized to proceed with material acquisition or installation. Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are considered to be "shop drawings." If necessary to facilitate the project schedule, the Contractor and the DOR may discuss a submittal proposing a deviation with the Contracting Officer's Representative prior to officially submitting it to the Government. However, the Government reserves the right to review the submittal before providing an opinion, if deemed necessary. In any case, the Government will not formally agree to or provide a preliminary opinion on any deviation without the DOR's approval or recommended approval.

The Government reserves the right to non-concur with any deviation from the design, which may impact furniture, furnishings, equipment selections or operations decisions that were made, based on the reviewed and concurred design.

1.4. 4 .2 Substitutions

Unless prohibited or provided for otherwise elsewhere in the Contract, where the accepted contract proposal named products, systems, materials or equipment by manufacturer, brand name and/or by model number or other specific identification, and the Contractor desires to substitute

SECTION 01 33 00 Page 6 manufacturer or model after award, submit a requested substitution for Government concurrence . Include substantiation, identifying information and the DOR's approval, as meeting the contract requirements and that it is equal in function, performance, quality and salient features to that in the accepted contract proposal. If the Contract otherwise prohibits substitutions of equal named products, systems, materials or equipment by manufacturer, brand name and/or by model number or other specific identification, the request is considered a "variation" to the contract .

Variations are discussed below in paragraphs: "Designer of Record Approved/Government Approved" and "VAR IATIONS."

1.4 .5 Designer of Record Approved/Government Approved (DA/GA)

In addition to the above stated requirements for proposed deviations to the accepted design, both Designer of Record and Government Approval and, where applicable, a contract modification are required before the Contractor is authorized to proceed with material acquisition or installation for any proposed variation to the contract (the solicitation and/or the accepted proposal), which constitutes a change to the contract terms. Within the terms of the Contract Clause SPECIFICATIONS AND DRAW INGS FOR CONSTRUCTION, they are considered to be "shop drawings." The Government reserves the right to accept or reject any such proposed deviation at its discretion.

1.4. 6 For Information Only

Submittals not requiring Government approval will be for information only.

For Design-build construction all submittals not requiring Designer of Record or 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.

1.4 .7 Omitted

1.5 FORWARDING SUBMITTALS REQUIRING GOVERNMENT APPROVAL

1.5.1 Submittals Required from the Contractor

As soon as practicable after award of contract, and before procurement of fabrication, forward to the Architect-Engineer: submittals required in the technical sections of this specification, including shop drawings, product data and samples. Forward one copy of the transmittal form for all submittals to the Resident Officer in Charge of Construction.

The Architect-Engineer for this project will review and approve for the Contracting Officer those submittals reserved for Contracting Officer approval to verify submittals comply with the contract requirements.

1.5.1.1 O&M Data

The Architect-Engineer for this project will review and approve for the Contracting Officer O&M Data to verify the submittals comply with the contract requirements; 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 item with which such O&M Data are applicable.

1.6 PREPARATION

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1.6.1 Transmittal Form

Transmit each submittal, except sample installations and sample panels to office of [proving authority. Transmit submittals with transmittal form prescribed by Contracting Officer and standard for project. On the transmittal form identify Contractor, indicate date of submittal, and include information prescribed by transmittal form and required in paragraph IDENTIFYING SUBM ITTALS. Process transmittal forms to record actions regarding samples panels.

Use the attached sample transmittal form in Appendix B ENG Form 4025-R 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][are included in the QCS software that the Contractor is required to use for this contract].

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 2 Identifying Submittals

When submittals are provided by a Subcontractor, the Prime Contractor is to prepare, review and stamp with Contractor's approval all specified submittals prior to submitting for Government approval.

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

a. Project title and location.

b. Construction contract number.

c. Date 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 section by which submittal is required.

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

g. When 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 Format for SD-02 Shop Drawings

Shop drawings are not to be less than 210 by 297 mm 8 1/2 by 11 inches nor more than 1189 by 841 mm 30 by 42 inches, except for full size patterns or templates. Prepare drawings to accurate size, with scale indicated, unless other form is required. Drawings are to be suitable for reproduction and be of a quality to produce clear, distinct lines and letters with dark lines on a white background.

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

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 adjacent 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 one inches on the right hand side of each sheet for the Government disposition stamp.

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.

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

Submit drawings in PDF format.

l.6. 4 Format of SD-03 Product Data and SD-08 Manufacturer's Instructions

Present product data submittals for each section as a complete, bound volume.

Include table of contents, listing page and catalog item numbers for product data.

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

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

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, with information and format as required for submission of SD-07 Certificates.

Provide product data in metric dimensions. Where product data are included in preprinted catalogs with English units only, submit metric dimensions on separate sheet.

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. Should manufacturer's data require supplemental information for clarification, submit as specified for SD-07 Certificates.

Where equipment or materials are specified to conform to industry and technical society reference standards of the organizations such as American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), and 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

SECTION 01 33 00 Page 9 perform testing, and approved by the Contracting Officer.

State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

Collect required data submittals for each specific material, product, unit of work, or system into a single submittal and marked for choices, options, and port ions applicable to the submittal. Mark each copy of the product data identically. Partial submittals will [not] be accepted for expedition of construction effort.

Submit manufacturer's instructions prior to installation.

1.6.5 Format of SD-04 Samples

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

a. Sample of Equipment or Device: Full size.

b. Sample of Materials Less Than 50 by 75 mm 2 by 3 inches: Built up to

210 by 297 mm 8 1/2 by 11 inches.

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

d. Sample of Linear Devices or Materials: 250 mm 10 inch length or length to be supplied, if less than 250 mm 10 inches. Examples of linear devices or materials are conduit and handrails.

e. Sample of Non-Solid Materials: 750 ml Pint. Examples of non-solid materials are sand and paint.

f. Color Selection Samples: 50 by 100 mm 2 by 4 inches. Where samples are specified for selection of color, finish, pattern, or texture, submit the full set of available choices for the material or product specified. Sizes and quantities of samples are to represent their respective standard unit.

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

h. Sample Installation: 10 square meters 100 square feet.

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

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

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

When color, texture or pattern is specified by naming a particular

SECTION 01 33 00 Page 10 manufacturer and style, include one sample of that manufacturer and style, for comparison.

1.6.6 Format of SD-05 Design Data and SD-07 Certificates

Provide design data and certificates on 210 by 297 mm 8 1/2 by 11 inches paper. Provide a bound volume for submittals containing numerous pages.

1.6.7 Format of SD-06 Test Reports and SD-09 Manufacturer's Field Reports

Provide reports on 210 by 297 mm 8 1/2 by 11 inches paper in a complete bound volume.

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

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

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

1.6.9 Format of SD-01 Preconstruction Submittals and SD-11 Closeout Submittals

When submittal includes a document which is to be used in project or become part of project record, other than as a submittal, do not apply Contractor's approval stamp to document, but to a separate sheet accompanying document.

Provide all dimensions in administrative submittals in metric. Where data are included in preprinted material with English units only, submit metric dimensions on separate sheet.

1.6.10 Source Drawings for Shop Drawings

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

1.6.10.l 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 shall be at the sole risk of the Contractor and without liability or legal exposure to the Government. The Contractor must make no claim and waives to the fullest extent permitted by law, any claim or cause of action of any nature against the Government, its agents or sub consultants that 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. In the event that

SECTION 01 33 00 Page 11 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. The Contractor is responsible for determining if any conflict exists. Use of these Source Drawing files does not relieve the Contractor of duty to fully comply with the contract documents, including and without limitation, the need to check, confirm and coordinate the work of all contractors for 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 indicia of ownership (seals, logos, signatures, initials and dates)

1.6.11 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 six hard copies of the submittals. 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, 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 both searchable and can be copied. If documents are scanned, Optical Character Resolution OCR routines are required. Index and bookmark files exceeding 30 pages to allow efficient navigation of the file.

When required, the electronic file must include a valid electronic signature, or scan of a signature.

Email electronic submittal documents fewer than OMB to an email address as directed by the Contracting Officer. Provide electronic documents over OMB on an optical disc, or through an electronic file sharing system such as the AMRDEC SAFE Web Application located at the following website :

https ://safe .amrdec.army.mil/safe/.

Provide hard copies of submittals when requested by the Contracting Officer. Up to four additional hard copies of any submittal may be requested at the discretion of the Contracting Officer, at no additional cost to the Government.

1.7 QUANTITY OF SUBM ITTALS

l.7. 1 Number of Copies of SD-02 Shop Drawings

Submit six copies of submittals of shop drawings requiring review and approval only by QC organization and six copies of shop drawings requiring review and approval by Contracting Officer.

l.7.2 Number of Copies of SD-03 Product Data and SD-08 Manufacturer's Instructions

Submit in compliance with quantity requirements specified for shop drawings.

1.7 .3 Number of Samples SD-04 Samples

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a. Submit t h r e e samples, or three sets of samples showing range of variation, of each required item. One approved sample or set of samples will be retained by approving authority and one will be returned to contractor.

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

c. Submit one sample installation, where directed.

d. Submit one sample of non-solid materials.

1.7.4 Number of Copies SD-05 Design Data and SD-07 Certificates

Submit in compliance with quantity requirements specified for shop drawings.

l.7 .5 Reports

Number of Copies SD-06 Test Reports and SD-09 Manufacturer's Field

Submit in compliance with quantity and quality requirements specified for shop drawings other than field test results that will be submitted with QC reports.

l.7. 6 Number of Copies of SD-10 Operation and Maintenance Data

Submit six for review and approval.

copies of O&M Data to the Contracting Officer

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1.7.7 Number of Copies of SD-01 Preconstruction Submittals and SD-11 Closeout Submittals

Unless otherwise specified, submit six sets of administrative submittals.

1.8 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. For design-build construction the Government will retain four copies of information only submittals.

1.9 SUBMITTAL REGISTER AND DATABASE

Prepare and maintain submittal register, as the work progresses. Use electronic submittal register program furnished by the Government or any other format. 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. A submittal register showing items of equipment and materials for which submittals are required by the specifications is provided as an attachment. This list may not be all inclusive and additional submittals may be required. Maintain a submittal register for the project in accordance with Section 01 45 00.15 10 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM). The Government will provide the initial submittal register in electronic format.

Column (c) required.

Lists specification section in which submittal is

Column (d) Lists each submittal description (SD No. and type, e .g . SD-02 Shop Drawings) required in each specification section.

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

Column (f): Indicate approving authority for each submittal.

The database and submittal management program will be furnished to Contractor on a Writable Compact Disk (CD-R) , for operation on Windows based personal computer .

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

SECTION 01 33 00 Page 14

The Designer of Record develops a complete list of submittals during design and identify required submittals in the specifications, and use the list to prepare the Submittal Register. The list may not be all inclusive and additional submittals may be required by other parts of the contract.

Complete the submittal register and submit it to the Contracting Officer for approval within 30 calendar days after Notice to Proceed. The approved submittal register will serve as a scheduling document for submittals and will be used to control submittal actions throughout the contract period.

Coordinate the submit dates and need dates with dates in the Contractor prepared progress schedule. Submit monthly or until all submittals have been satisfactorily completed, updates to the submittal register showing the Contractor action codes and actual dates with Government action codes.

Revise the submittal register when the progress schedule is revised and submit both for approval.

l.9.1 Use of Submittal Register

Submit submittal register as an electronic database, using submittals management program furnished to Contractor. Submit with QC plan and project schedule. Verify that all submittals required for project are listed and add missing submittals. Coordinate and complete the following fields on the register database 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 approving authority to receive submittals.

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

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

l.9 .2 Contractor Use of Submittal Register

Update the following fields with each submittal throughout contract.

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

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

Column (1) List date of submittal transmission.

Column (q) List date approval received.

l.9 .3 Approving Authority Use of Submittal Register

Update the following fields:

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

Column (1) List date of submittal receipt.

SECTION 01 33 00 Page 15

Column (m) through (p) List Date related to review actions.

Column (q) List date returned to Contractor.

l.9. 4 Action Codes

Entries for columns (j) and (o), are to be used are as follows (others may be prescribed by Transmittal Form):

1.9.4.l Government Review Action Codes

"A" - "Approved as submitted"; "Completed"

"B" - "Approved, except as noted on drawings"; "Completed"

"C" - "Approved, except as noted on drawings; resubmission required"; "Resubmit"

"D" - "Returned by separate correspondence"; "Completed"

"E" - "Disapproved (See attached)"; "Resubmit"

"F" - "Receipt acknowledged"; "Completed"

"G" - "Other (Specify)"; "Resubmit"

"X" - "Receipt acknowledged, does not comply with contract requirements"; "Resubmit"

1.9.4.2 Contractor Action Codes

NR - Not Received

AN - Approved as noted

A - Approved

RR - Disapproved, Revise, and Resubmit l.9 .5 Copies Delivered to the Government:

Deliver one copy of submittal register updated by Contractor to Government with each invoice request. Deliver in electronic format, unless a paper copy is requested by Contracting Officer.

1.10 VARIATIONS

Variations from contract requirements require both Designer of Record (DOR) and Government approval pursuant to contract Clause FAR 52.236-21 and will be considered where advantageous to Government.

1.10.1 Considering Variations

Discussion with Contracting Officer prior to submission, after consulting with the DOR, 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).

Specifically point out variations from contract requirements in transmittal

SECTION 01 33 00 Page 16 letters. Failure to point out deviations may result in the Government requiring rejection and removal of such work at no additional cost to the Government.

1.10.2 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, including the DOR's written analysis and approval. If lower cost is a benefit, also include an estimate of the cost savings. In addition to documentation required for variation, include the submittals required for the item.

Clearly mark the proposed variation in all documentation.

Check the column "variation" of ENG Form 4025 for submittals which include proposed deviations requested by the Contractor. Set forth in writing the reason for any deviations and annotate such deviations on the submittal.

The Government reserves the right to rescind inadvertent approval of submittals containing unnoted deviations.

1.10.3 Warranting that Variations are Compatible

When delivering a variation for approval, Contractor, including its Designer(s) of Record, 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 normal submittal review period, a period of (10] working days will be allowed for consideration by the Government of submittals with variations.

1.11 SCHEDULING

Schedule and submit concurrently submittals covering component items forming a system or items that are interrelated. Include certifications to be submitted with the pertinent drawings at the same time. No delay damages or time extensions will be allowed for time lost in late submittals. An additional 14 calendar days will be allowed and shown on the register for review and approval of submittals for refrigeration and HVAC control systems.

a. 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 resubmittal of requirements.

b. Submittals called for by the contract documents will be listed on the register. If a submittal is called for 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 which have been omitted from the register or marked "N/A."

c. Re-submit register and annotate monthly by the Contractor with actual submission and approval dates.

been fully approved, no further

When all items on the register have re-submittal is required.

SECTION 01 33 00 Page 17

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

e. 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.

f. For submittals requiring review period, beginning organization, of 30 the Contractor.

review by fire protection engineer, allow when Government receives submittal from QC working days for return of submittal to

SECTION 01 33 00 Page 18

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

Within 30 calendar days of notice to proceed, provide, for approval by the Contracting Officer, the following schedule of submittals:

a. A schedule of shop drawings and technical submittals required by the specifications and drawings. Indicate the specification or drawing reference requiring the submittal; the material, item, or process for which the submittal is required; the "SD" number and identifying title of the submittal; the Contractor's anticipated submission date and the approval need date.

b. A separate schedule of other submittals required under the contract but not listed in the specifications or drawings. Schedule will indicate the contract requirement reference; the type or title of the submittal;

the Contractor's anticipated submission date and the approved need date (if approval is required).

1.11.1 Reviewing, Certifying, Approving Authority

The QC organization is 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. Use the "S" Classification only in SD-11 Closeout Submittals.

1.11.2 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 work. Submit at the same time components of definable feature interrelated as a system.

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

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

1.11.3 3 QC Organization Responsibilities

a. Note date on which submittal was received from Contractor on each submittal.

b. Review each submittal; and check and coordinate each submittal with requirements of work and contract documents.

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

d. Act on submittals, determining appropriate action based on QC organization's review of submittal.

(1) When QC Manager is approving authority, take appropriate action on

SECTION 01 33 00 Page 19 submittal from the possible actions defined in paragraph APPROVED

SUBMITTALS.

(2) 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.

e. Ensure that material is clearly legible.

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

(1) When approving authority is Contracting Officer, QC organization will certify submittals forwarded to 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 [ ], 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 (Signature when applicable)

Certified by QC Manager , Date II (Signature)

(2) When approving authority is QC Manager, QC Manager will use the following approval statement when returning submittals to 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 [ ], 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 II

(Signature)

g. Sign 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.

h. 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.

i. Retain a copy of approved submittals at project site, including

Contractor's copy of approved samples.

SECTION 01 33 00 Page 20

1.11.4 Government Reviewed Design

The Government will review design submittals for conformance with the technical requirements of the solicitation. Section 01 33 16.00 10 DESIGN DATA (DESIGN AFTER AWARD) covers the design submittal and review process in detail. Government review is required for deviation from the completed design. Review will be only for conformance with the contract Requirements. Included are only those construction submittals for which the Designer of Record design documents do not include enough detail to ascertain contract compliance. The Government may, but is not required, to review extensions of design such as structural steel or reinforcement shop drawings.

1.12 GOVERNMENT APPROVING AUTHORITY

When approving authority is Contracting Officer, the Government will:

a. Note date on which submittal was received from QC Manager.

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

Upon completion of review of submittals requiring Government approval, stamp and date submittals. Four copies of the submittal will be retained by the Contracting Officer and two 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 so identified and returned, as described above.

1.12.l Review Notations

Contracting Officer review will be completed within 21 calendar days after date of submission. Submittals will be returned to the Contractor with the following notations:

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

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

c. Submittals marked "not approved" or "disapproved," or "revise and resubmit," indicate noncompliance with the contract requirements or design concept, or that submittal is incomplete. Resubmit with appropriate changes. No work shall proceed for this item until resubmittal is approved.

d. Submittals marked "not reviewed" will indicate 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.

SECTION 01 33 00 Page 21

1.13 DISAPPROVED SUBM ITTALS

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; notice as required under the FAR clause entitled CHANGES, is to be given to the Contracting Officer. Contractor is responsible for the dimensions and design of connection details and construction of work. Failure to point out deviations may result in the Government requiring rejection and removal of such work at the Contractor's expense.

If changes are necessary to submittals, make such revisions and submission of the submittals 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

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

Approval or acceptance 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 design, dimensions, all design extensions, such as the design of adequate connections and details, etc., and the satisfactory construction of all work.

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, the Contractor to assure that the materials or equipment will be available in quantities required in the project.