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Garrison Breakers

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

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SUBMITTAL PROCEDURES

04/06

PART 1 GENERAL

1.1 SUBMITTAL

1.2 CONTROL AND SCHEDULING OF SUBMITTALS

1.2.1 Submittal Coordination Meeting

1.2.2 Final Submittal Register ENG Form 4288

1.2.3 Submittal Register Updates

1.3 SUBMITTALS

1.4 SUBMITTAL DESIGNATIONS

1.5 SUBMITTAL DESCRIPTIONS(SD)

1.6 APPROVED SUBMITTALS

1.7 DISAPPROVED SUBMITTALS

1.8 PAYMENT

1.9 WITHHOLDING OF PAYMENT

PART 2 PRODUCTS - NOT USED

PART 3 EXECUTION

3.1 GENERAL

3.2 SUBMITTAL REGISTER

3.3 SCHEDULING

3.4 TRANSMITTAL FORM (ENG FORM 4025)

3.5 CROSS-REFERENCE (ENG FORM 4288/ENG FORM 4025)

3.6 SUBMITTAL PROCEDURES

3.6.1 General

3.6.2 Approval of Submittals by the Contractor

3.6.3 Variations

3.6.4 Drawings

3.6.5 Shop Drawing Reproducibles

3.6.6 Printed Material

3.7 SAMPLES REQUIRING LABORATORY ANALYSIS

3.8 [Enter Appropriate Subpart Title Here]

3.9 [Enter Appropriate Subpart Title Here]

3.10 CONTROL OF SUBMITTALS

3.11 GOVERNMENT APPROVED SUBMITTALS

3.11.1 General

3.11.2 Processing of G Submittals

3.12 INFORMATION ONLY SUBMITTALS

3.12.1 General

3.12.2 Processing of Information-Only Submittals

3.13 PURCHASE ORDERS

3.14 CONTRACTOR APPROVAL STAMP

3.15 CERTIFICATES OF COMPLIANCE

3.16 CONTRACTOR'S FILES

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SUBMITTAL PROCEDURES

04/06

PART 1 GENERAL

1.1 SUBMITTAL

Contract Clauses 52.236-5, MATERIAL AND WORKMANSHIP, paragraph (b) and 52.236-21, SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, paragraphs (d), (e), and (f) apply to all "submittals."

1.2 CONTROL AND SCHEDULING OF SUBMITTALS

1.2.1 Submittal Coordination Meeting

After the preconstruction conference and before any submittals are sent to the Contracting Officer's Representative (COR), the Contractor shall meet with the COR to further develop the preliminary submittal register, ENG Form 4288, attached to the end of this section. The Government will provide the preliminary submittal register by exporting it through the QCS system. During the meeting all required items will be identified and grouped into the categories as shown in paragraph 1.4, SUBMITTAL

DESIGNATIONS.

1.2.2 Final Submittal Register ENG Form 4288

The final submittal register shall be coordinated with the progress schedule and submitted within 40 days of Notice to Proceed. In preparing the final document, a minimum of 21 days shall be allowed for review and approval, and possible resubmittal of each item on the register.

1.2.3 Submittal Register Updates

The Contractor's quality system manager shall review the listing at least every 30 days and take appropriate action to maintain an effective system.

Copies of updated or corrected listings shall be submitted to the COR at least every 30 days in the quantity specified.

1.3 SUBMITTALS

Submit the following in accordance with this Section:

SD-01 Preconstruction Submittals

Final Submittal Register ENG Form 4288

1.4 SUBMITTAL DESIGNATIONS

a. Government Approved (G). Government approval is required for extensions of design, critical materials, variations/deviations, an "or equal" decision, equipment whose compatibility with the entire system must be checked, architectural items such as Color Charts/Patterns/Textures, and other items as designated by the COR.

Within the terms of the Contract Clause 52.236-21, SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, these submittals will be acted on as "shop

SECTION 01 33 00.00 10 Page 3 drawings." Government approval is required for submittals with a "G designation.

b. For Information Only. Submittals not required Government approval, but require submission, will be for information only. These items are such as Installation Procedures, Certificates of Compliance, Samples, Qualifications, etc. Within the terms of the Contract Clause 52.236-21, these submittals will not be acted on as "shop drawings."

Submittals not having a "G" designation are For Information Only.

1.5 SUBMITTAL DESCRIPTIONS(SD)

Submittals requirements are specified in the technical sections.

Submittals are identified by SD numbers and titles as follows.

SD-01 Preconstruction Submittals

Certificates of insurance.

Surety bonds.

List of proposed subcontractors.

List of proposed products.

Construction Progress Schedule.

Submittal register.

Schedule of prices.

Health and safety plan.

Work plan.

Quality control plan.

Environmental protection plan.

SD-02 Shop Drawings

Drawings, diagrams and schedules specifically prepared to illustrate some portion of the work.

Diagrams and instructions from a manufacturer or fabricator for use in producing the product and as aids to the Contractor for integrating the product or system into the project.

Drawings prepared by or for the Contractor to show how multiple systems and interdisciplinary work will be coordinated.

SD-03 Product Data

Catalog cuts, illustrations, schedules, diagrams, performance charts, instructions and brochures illustrating size, physical appearance and other characteristics of materials, systems or equipment for some portion of the work.

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

SD-04 Samples

Fabricated or unfabricated physical examples of materials, equipment 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

SECTION 01 33 00.00 10 Page 4 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 ensuing 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.

SD-05 Design Data

Design calculations, mix designs, analyses or other data pertaining to a part of work.

SD-06 Test Reports

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

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

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

Investigation reports.

Daily logs and checklists.

Final acceptance test and operational test procedure.

Any reports required by the Contracting Officer or designated representative to assure successful completion of tasks during the life of the Contract.

SD-07 Certificates

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

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

Confined space entry permits.

Text of posted operating instructions.

SD-08 Manufacturer's Instructions

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

SD-09 Manufacturer's Field Reports

Documentation of the testing and verification actions taken by manufacturer's representative 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 must 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. 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.

1.6 APPROVED SUBMITTALS

Submittals for Government approval shall be Contractor-approved first and stamped as shown in paragraph 3.4, CONTRACTOR APPROVAL STAMP. The Contracting Officer or Contracting Officer's Representative'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. Approval will not relieve the Contractor of the responsibility for any error which may exist, as the Contractor under the Contactor Quality Control (CQC) requirements of this contract is responsible for dimensions, the design of adequate connections and details, and the satisfactory construction of all work. After submittals have been approved by the Contractor 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.

1.7 DISAPPROVED SUBMITTALS

The Contractor shall make all corrections required by the Contracting Officer or Contracting Officer's Representative and promptly furnished a corrected submittal in the form and number of copies specified for the initial submittal. 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 52.243-5, CHANGES AND CHANGED CONDITIONS shall be given promptly to the Contracting Officer.

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1.8 PAYMENT

Separate payment will not be made for submittals, and all costs associated therein shall be included in the applicable unit prices or lump sum prices contained in the Price Schedule. Payment will not be made for any material or equipment which does not comply with contract requirements

1.9 WITHHOLDING OF PAYMENT

Payment for materials incorporated in the work will not be made if required approvals have not been obtained.

PART 2 PRODUCTS - NOT USED

PART 3 EXECUTION

3.1 GENERAL

The Contractor shall make submittals as required by the specifications.

The Contracting Officer or Contracting Officer's Representative 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 shall be the same as those used in the contract drawings. Each submittal shall be complete and in sufficient detail to allow ready determination of compliance with contract requirements. Prior to submittal, all items shall be checked and approved by the Contractor's Quality Control (CQC) System Manager and each item shall be stamped, signed, and dated by the CQC System Manager indicating action taken. Proposed deviations from the contract requirements shall be clearly identified. Submittals shall include items such as: Contractor's, 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 shall be scheduled and made prior to the acquisition of the material or equipment covered thereby. Samples remaining upon completion of the work shall be picked up and disposed of in accordance with manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.

3.2 SUBMITTAL REGISTER

An electronic copy of the Final Submittal Register ENG Form 4288 (Attachment A1) for Divisions 1 through 50 a hard copy shall be developed by the Contractor prior to the submittal coordination meeting and list each item of equipment and materials for which submittals are required in the technical specifications. The Contractor shall approve all items listed in the submittal register. , the Contractor shall complete the column entitled "Item No." and all data under "Contractor Schedule Dates" and return five completed copies to the COR for approval. The Contractor shall review the list to ensure its completeness and may expand general category listings to be assigned sequentially starting with "1" for each specification section. Names and titles of individuals authorized by the Contractor to approve shop drawings shall be submitted to the COR with the final Form 4288. Supplier or subcontractors certifications are not acceptable as meeting this requirement

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3.3 SCHEDULING

Submittals covering component items forming a system or items that are interrelated shall be scheduled to be coordinated and submitted concurrently. Certifications to be submitted with the pertinent drawings shall be so scheduled. Adequate time (a minimum of 30 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.

3.4 TRANSMITTAL FORM (ENG FORM 4025)

The sample transmittal form (ENG Form 4025 - Attachment A2) shall be used for submitting both Government approved and information only submittals in accordance with the instructions on the reverse side of the form.

Transmittal numbers shall be assigned sequentially. Electronic generated 4025 forms shall be printed on carbonless paper and be a reasonable facsimile of the original 4025. If electronic forms are not used, the original 4025 forms shall be used (do not photocopy) and will be furnished by the COR. These forms shall be filled in completely prior to submittal.

Special care shall be exercised to ensure proper listing of the specific paragraph and/or sheet number of the contract drawings pertinent to the data submitted for each item. Each submittal item shall be listed separately on the form, naming subcontractor, supplier, or manufacturer, applicable specification paragraph number(s), drawing/sheet number, pay item number, and any other information needed to identify the item, define its use, and locate in the work. One or more 4025 forms may be used per specification section, however, DO NOT include more than one specification section per transmittal.

3.5 CROSS-REFERENCE (ENG FORM 4288/ENG FORM 4025)

To provide a cross-reference between the approved submittal register and transmittal forms, the Contractor shall record the "transmittal numbers" assigned when submitting items in column "Transmittal No." of the ENG Form 4288. The item numbers in column "Item No." of submittal register shall correspond to the item number on ENG Form 4025.

3.6 SUBMITTAL PROCEDURES

3.6.1 General

Shop drawings with 4025 forms shall be submitted in the number of copies specified in subparagraphs "Government Approved Submittals" and "Information Only Submittals," or as indicated on the submittal register in the "Remarks" column. Submit a complete collated "reviewers copy" with one 4025 form and attachments (not originals). The remaining copies (4 for Government-approval, 2 for information-only) of 4025 forms and attachments shall not be collated. This would not apply to a series of drawings.

3.6.2 Approval of Submittals by the Contractor

Before submittal to the COR, the Contractor shall review and correct shop drawings prepared by subcontractors, suppliers, and itself, for completeness and compliance with plans and specifications. The Contractor shall not use red markings for correcting material to be submitted. Red markings are reserved for COR's use. Approval by the Contractor shall be indicated on each shop drawing by an approval stamp containing information as shown in this section. Submittals not conforming to the requirements of

SECTION 01 33 00.00 10 Page 8 this section will be returned to the Contractor for correction and resubmittal.

3.6.3 Variations

For submittals which include proposed variations requested by the Contractor, column "h" of ENG Form 4025 shall be checked and the submittal shall be classified as G, and submitted accordingly. The Contractor shall set forth in writing the justification for any variations and annotate such variations on the transmittal form in the REMARKS block. Variations are not approved unless there is an advantage to the Government. The Government reserves the right to rescind inadvertent approval of submittals containing unnoted variations.

3.6.4 Drawings

Each drawing shall be not larger than D size 22.0 x 34.0 inches, with a title block in lower right hand corner and a 3 by 4 inch clear area adjacent. The Title block shall contain subcontractor's or fabricator's name, contract number, description of item(s), bid item number, and a revision block. Unless otherwise specified, two prints of any type, except blueprints, and one electronic drawing file in an approved Computer Aided Design/Drafting (CADD) format discussed in paragraph "Shop Drawing Reproducibles" below shall be submitted. A blank margin of 3/4 inch at bottom, 2 inches at left, and 1/2 inch at top and right shall be provided.

Separate drawings are required for each bid item. Computed weight shall be indicated for all items for which payment is based on weight. Where drawings are submitted for assemblies of more than one piece of equipment or systems of components dependent on each other for compatible characteristics, complete information shall be submitted on all such related components at the same time. The information shall be complete and the sequence of drawing submittal shall be such that all information is available for reviewing each drawing. Drawings for all items and equipment, of special manufacture or fabrication, shall consist of complete assembly and detail drawings. All revisions after initial submittal shall be shown by number, date, and subject in revision block. Any drawing or electronic drawing file submitted that is not of satisfactory quality will be returned without action.

3.6.5 Shop Drawing Reproducibles

Upon completion of the work under this contract, the Contractor shall furnish a complete set of files from the most current version of MicroStation for all the drawings as finally approved under this contract.

This shall include all pertinent data files to reproduce the complete set.

The files shall be recorded on Compact Disc(s), or other digital media noted otherwise in this contract. These files shall show the drawings with all changes and revisions, including any field changes, made up to the time that the equipment is completed and accepted. In addition, the Contractor shall furnish a complete set of reproducible drawings. They shall be no larger than 14 inches high by 20 inches wide, of such quality and clarity as to permit sharp and thoroughly legible digital copying. They shall show all revisions, including field changes, up to the time that the equipment is accepted, and shall be identical to the electronic files.

3.6.6 Printed Material

All requirements for shop drawings shall apply to catalog cuts, illustrations, printed specifications, or other data submitted, except that

SECTION 01 33 00.00 10 Page 9 the 3 inch by 4 inch clear area adjacent to the title block is not mandatory. Inapplicable portions shall be marked out and applicable items such as model numbers, sizes, and accessories shall be indicated by arrow or highlighted.

3.7 SAMPLES REQUIRING LABORATORY ANALYSIS

See Section 01451 CONTRACTOR QUALITY CONTROL for procedures and address for samples requiring Government testing.

3.8 [Enter Appropriate Subpart Title Here]

3.9 [Enter Appropriate Subpart Title Here]

3.10 CONTROL OF SUBMITTALS

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

3.11 GOVERNMENT APPROVED SUBMITTALS

3.11.1 General

The Contractor shall submit 5 copies of G submittals with 5 corresponding 4025 forms. Upon completion of G submittal review, copies as specified below will be mark3ed with an action code, dated, and returned to the Contractor.

3.11.2 Processing of G Submittals

Submittals will be reviewed and processed as follows:

a. Approved as Submitted (Action Code "A"): Shop drawings which can be approved without correction will be stamped "Approved" and two copies will be returned to the Contractor. No resubmittal required.

b. Approved Except as Noted (Action Code "B"): Shop drawings which have only minor discrepancies will be annotated in red to indicate necessary corrections. Marked material will be stamped "Approved Except as Noted" and two copies returned to the Contractor for correction. No resubmittal required.

c. Approved Except as Noted (Action Code "C"): Shop drawings which are incomplete or require more than minor corrections will be annotated in red to indicate necessary corrections. Marked material will be stamped "Approved Except as Noted - Resubmission Required" and two copies returned to the Contractor for correction. Resubmittal of only those items needing correction required.

d. Disapproved (Action Code "E"): Shop drawings which are fundamentally in error, cover wrong equipment or construction, or require extensive corrections, will be returned to the Contractor stamped "Disapproved."

An explanation will be furnished on the submitted material or on ENG Form 4025 indicating reason for disapproval. Complete resubmittal required.

e. Resubmittal will not be required for shop drawings stamped "A" or "B" unless subsequent changes are made by Contractor or a contract

SECTION 01 33 00.00 10 Page 10 modification. For shop drawings stamped "C" or "E," Contractor shall make corrections required, note any changes by dating the revisions to correspond with the change request date, and promptly resubmit the corrected material. Resubmittals shall be associated with the "parent" by use of sequential alpha characters (for example, resubmittal of transmittal 8 will be 8A, 8B, etc). Government costs incurred after the first resubmittal may be charged to the Contractor.

3.12 INFORMATION ONLY SUBMITTALS

3.12.1 General

The Contractor shall submit three copies of data and four copies of ENG Form 4025. Information-only submittals will not be returned. Government approval is not required on information-only submittals. These submittals will be used for information purposes. 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 and will not prevent the COR from requiring removal and replacement if nonconforming material is incorporated in the work. This does not relieve the Contractor of the requirement to furnish samples for testing by the Government laboratory or check testing by the Government in those instances where the technical specifications so prescribe.

3.12.2 Processing of Information-Only Submittals

Information-only submittals shall be submitted prior to delivery of the material or equipment to the job site. ENG Form 4025 shall be marked with the words "contractor approved - information copy only" in the REMARKS block of the form. Submittals will be monitored and spot checks made.

When such checks indicate noncompliance, the Contractor will be notified by the same method used for Government-approval submittals. Resubmittal of nonconforming information-only submittals shall be reclassified Government-approval and shall be in five copies.

3.13 PURCHASE ORDERS

Each purchase order issued by the Contractor for materials and equipment to be incorporated into the project shall (1) be clearly identified with the applicable contract number, (2) carry an identifying number, (3) be in sufficient detail to identify the material being purchased, and (4) indicate a definite delivery date. Copies of purchase orders shall be furnished to the Contracting Officer when the Contractor requests assistance for expediting deliveries of equipment or materials, or when requested by the Contracting Officer for the purpose of quality assurance review.

3.14 CONTRACTOR APPROVAL STAMP

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

| CONTRACTOR |

| (Firm Name) |

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

| SIGNATURE: __________________________________________________________ |

| TITLE: ______________________________________________________________ |

| DATE: _______________________________________________________________ |

3.15 CERTIFICATES OF COMPLIANCE

Any certificates required for demonstrating proof of compliance of materials with specification requirements shall be executed in the original and two copies. Each certificate shall be signed by an official authorized to certify on behalf of the manufacturing company and shall contain the name and address of the Contractor, the project name and location, and the quantity and date or dates of shipment or delivery to which the certificates apply. Copies of laboratory test reports submitted with certificates shall contain the name and address of the testing laboratory and the date or dates of the tests to which the report applies.

Certification shall not be construed as relieving the Contractor from furnishing satisfactory material if, after tests are performed on selected samples, the material is found not to meet the specific requirements.

3.16 CONTRACTOR'S FILES

"Approved" and "Approved as Corrected" (Action Codes A and B) drawing files shall be maintained in fabrication shops and at field sites for Government use.

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