A22 - Attachment J-17 - Spec Section 01 33 00 - Submittal Procedures - 07 Sept. 2023.pdf

01 33 00 – SUBMITTAL PROCEDURES – Page 18

SECTION 01 33 00

SUBMITTAL PROCEDURES

07 September 2023

Table of Contents

1. GENERAL

1.1. SUMMARY

1.2. DEFINITIONS

1.3. SUBMITTALS

1.4. SUBMITTAL CLASSIFICATION

1.5. PREPARATION

1.6. INFORMATION ONLY SUBMITTALS

1.7. PROJECT SUBMITTAL REGISTER

1.8. VARIATIONS

1.9. SCHEDULING

1.10. GOVERNMENT APPROVING AUTHORITY

1.11. DISAPPROVED SUBMITTALS

1.12. APPROVED SUBMITTALS

1.13. APPROVED SAMPLES

1.14. WITHHOLDING OF PAYMENT

1.15. CERTIFICATION OF SUBMITTAL DATA

1. GENERAL

1.1. SUMMARY

1.1.1. SUBMITTAL INFORMATION

The Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections. Each submittal is to be complete and in sufficient detail to allow ready determination of compliance with contract requirements.

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

1.1.2. CONTRACTOR REVIEW OF SUBMITTALS

The Contractor's Quality Control (CQC) System Manager are to check and approve all items before 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.

The Contractor and the Designer of Record (DOR), if applicable, are to check and approve all items before 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.

1.1.3. SUBMISSION OF SUBMITTALS

Schedule and provide submittals requiring Government approval before acquiring the material or equipment covered thereby. Pick up and dispose of samples not incorporated into the work in accordance with manufacturer's Safety Data Sheets (SDS) and in compliance with existing laws and regulations.

1.2. DEFINITIONS

1.2.1. Submittal

Contract Clauses "FAR 52.236-5, Material and Workmanship," paragraph (b) and "FAR 52.236-

21, Specifications and Drawings for Construction," paragraphs (d), (e), and (f) apply to all

"submittals."

1.2.2. Submittal Descriptions (SD)

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

SD-01 Preconstruction Submittals

Submittals that are required prior to or commencing with the start of work on site.

Submittals that are required prior to or at the start of construction (work) or the next major phase of the construction on a multiphase contract.

Preconstruction Submittals include schedules and a tabular list of locations, features, and other pertinent information regarding products, materials, equipment, or components to be used in the work.

• Certificates of insurance

• Surety bonds

• List of proposed subcontractors

• List of proposed products

• Construction Progress Schedule

• Submittal register

• Schedule of prices

• Accident Prevention Plan

• Health and Safety Plan

• Work plan

• Quality control plan

• Environmental protection plan

SD-02 Shop Drawings

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

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

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

SD-03 Product Data

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

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

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 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 ensuring work can be judged. Includes assemblies or portions of assemblies that are to be incorporated into the project and those that 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.

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. (Testing must have been within three years of date of contract award for the project.)

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

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

Investigation reports.

Daily checklists.

Final acceptance test and operational test 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 product, system or material meets specification requirements. Must be dated after award of project contract and clearly name the project.

Document required of Contractor, or of a supplier, installer or subcontractor through

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

Confined space entry permits.

Text of posted operating instructions.

SD-08 Manufacturer's Instructions

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

SD-09 Manufacturer's Field Reports

Documentation of the testing and verification actions taken by manufacturer's representative at the job site, in the vicinity of the job site, or on a sample taken from the job site, on a portion of the work, during or after installation, to confirm compliance with manufacturer's standards or instructions. The documentation must be signed by an authorized official of a testing laboratory or agency and state the test results; and indicate whether the material, product, or system has passed or failed the test.

Factory test reports.

SD-10 Operation and Maintenance Data

Data provided by the manufacturer, or the system provider, including manufacturer's help and product line documentation, necessary to maintain and install equipment, for operating and maintenance use by facility personnel.

Data required by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item.

Data incorporated in an operations and maintenance manual or control system.

SD-11 Closeout Submittals

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

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.

1.1.3. Approving Authority

Office authorized to approve submittal.

1.1.4. Work

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

1.3. SUBMITTALS

Government approval is required for submittals with a "G" or "S" classification. Submittals not having a "G" or “S” classification are for information only. When used, a code following the "G" classification identifies the office that will review the submittal for the Government. Submit the following in accordance with Section 01 33 00 SUBMITTAL PROCEDURES:

SD-01 Preconstruction

Submittals Submittal Register; G

1.4. SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.4.1. Designer of Record Approved (DA)

Designer of Record (DOR) approval is required for extensions of design; critical materials; any variations from the Solicitation, the Accepted Proposal, or the completed design; equipment whose compatibility with the entire system must be checked; and other items as designated by the Contracting Officer. 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 with the Solicitation, the Accepted Proposal, and the completed design. The Government will review all submittals designated as varying from the

Solicitation or Accepted Proposal, as described below. Provide design submittals in accordance with Section 01 33 16.00 10 DESIGN DATA (DESIGN AFTER AWARD). Generally, list design submittals under SD-05 Design Data.

The DOR must ensure that the submittals comply with all applicable Buy American Act and Trade

Agreement Act clauses in the contract. The DOR may confer with the Contracting Officer's

Representative for advice and interpretation of those clauses, as necessary.

The Government may, but is not required to, review any or all DOR approved submittals for conformance to the solicitation, accepted proposal and the completed design. Except for submittals designated as deviating from the Solicitation, the Accepted Proposal or completed design, the Contractor may proceed with acquisition and installation upon DOR approval.

Government Approved (GA)

1.4.2. Government Approved (GA)

Government approval is required for extensions of design, critical materials, variations, equipment whose compatibility with the entire system must be checked, and other items as designated by the Government. Government approval is required for any variations from the Solicitation or the

Accepted Proposal and for other items as designated by the Government.

Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR

CONSTRUCTION, submittals 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 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 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)

1.4.4.1. 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 (the Solicitation and

Accepted Proposal) before the Contractor is authorized to proceed with material acquisition or installation. Within the terms of the Contract Clause entitled "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 it deems it 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 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.

1.4.5. Designer of Record Approved/Government Approved (DA/GA)

Any proposed deviation to the solicitation and/or the accepted proposal constitutes a change to the contract. 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 deviation to the contract. Within the terms of the Contract Clause entitled "Specifications and Drawings 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. All submittals not requiring DOR or Government approval will be for information only. Within the terms of the

Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are not considered to be "shop drawings."

1.5. PREPARATION

1.5.1. Transmittal Form

Use the ENG Form 4025-R transmittal form for submitting both Government-approved and information-only submittals. Submit in accordance with the instructions on the reverse side of the form. These forms or similar forms are included in the RMS CM 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.

1.5.2. Identifying Submittals

The Contractor's Quality Control Manager must prepare, review and stamp submittals, including those provided by a subcontractor, before submittal to the Government. 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) Dates 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 by which submittal is required

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

g) For a resubmission, add alphabetic suffix on submittal description, for example, submittal

18 would become 18A, to indicate resubmission

h) Product identification and location in project.

1.5.3. Submittal Format

1.5.3.1. Format of SD-01 Preconstruction Submittals

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

Provide data in the unit of measure used in the contract documents.

1.5.3.2. Format for SD-02 Shop Drawings

Provide shop drawings not less than 8 1/2 by 11 inches nor more than 30 by 42 inches, except for full-size patterns or templates. Prepare drawings to accurate size, with scale indicated, unless another form is required. Ensure drawings are suitable for reproduction and of a quality to produce clear, distinct lines and letters, with dark lines on a white background.

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

b) Dimension drawings, except diagrams and schematic drawings. Prepare drawings demonstrating interface with other trades to scale. Use the same unit of measure for shop drawings as indicated on the contract drawings. Identify materials and products for work shown.

Submit an electronic copy of drawings in PDF format.

1.5.3.2.1. Drawing Identification

Include on each drawing the drawing title, number, date, and revision numbers and dates, in addition to information required in paragraph IDENTIFYING SUBMITTALS.

Number drawings in a logical sequence. Each drawing is to bear the number of the submittal in a uniform location next to the title block. Place the Government contract number in the margin, immediately below the title block, for each drawing.

1.5.3.3. Format of SD-03 Product Data

Present product data submittals for each section volume as a complete, bound volume. Include a table of contents, listing the page and catalog item numbers for product data.

Indicate, by prominent notation, each product that is being submitted; indicate the specification section number and paragraph number to which it pertains.

1.5.3.3.1. Product Information

Supplement product data with material prepared for the project to satisfy the submittal requirements where product data does not exist. Identify this material as developed specifically for the project, with information and format as required for submission of SD-07 Certificates.

Provide product data in units used in the Contract documents. Where product data are included in preprinted catalogs with another unit, submit the dimensions in contract document units, on a separate sheet.

1.5.3.3.2. Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM

International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters

Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

1.5.3.3.3. Data Submission

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

Submit the manufacturer's instructions before installation.

1.5.3.4. Format of SD-04 Samples

1.5.3.4.1. Sample Characteristics

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

a) Sample of Materials Less Than 2 by 3 inches: Built up to 8½ by 11 inches.

b) Sample of Materials Exceeding 8½ by 11 inches: Cut down to 8½ by 11 inches and adequate to indicate color, texture, and material variations.

c) Color Selection Samples: 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.

1.5.3.4.2. Sample Incorporation

Reusable Samples: Incorporate returned samples into work only if so specified or indicated.

Incorporated samples are to be in undamaged condition at the time of use.

Recording of Sample Installation: Note and preserve the notation of any area constituting a sample installation, but remove the notation at the final clean-up of the project.

1.5.3.4.3. Comparison Sample

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.

When color, texture, or pattern is specified by naming a particular manufacturer and style, include one sample of that manufacturer and style, for comparison.

1.5.3.5. Format of SD-05 Design Data

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

1.5.3.6. Format of SD-06 Test Reports

Provide reports on 8½ by 11 inch paper in a complete bound volume.

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

1.5.3.7. Format of SD-07 Certificates

Provide design data and certificates on 8½ by 11 inch paper. Provide a bound volume for submittals containing numerous pages.

1.5.3.8. Format of SD-08 Manufacturer’s Instructions

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

Include the manufacturer's name, trade name, place of manufacture, and catalog model or number on product data. Also include applicable federal, military, industry, and technical-society publication references. If supplemental information is needed to clarify the manufacturer's data, submit it as specified for SD-07 Certificates.

Submit the manufacturer's instructions before installation.

1.5.3.8.1. Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM

International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters

Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

1.5.3.9. Format of SD-09 Manufacturer’s Field Reports

Provide reports on 8½ inch by 11 inch paper in a complete bound volume.

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

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

Comply with the requirements specified in Section 01 78 23 OPERATION AND MAINTENANCE

DATA for O&M Data format.

1.5.3.11. Format of SD-11 Closeout Submittals

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

Provide data in the unit of measure used in the contract documents.

1.5.4. Electronic File Format

Provide submittals in electronic format, with the exception of material samples required for SD-04

Samples items. Compile the submittal file as a single, complete document, to include the

Transmittal Form described within. Name the electronic submittal file specifically according to its contents and coordinate the file naming convention with the Contracting Officer. Electronic files must be of sufficient quality that all information is legible. Use PDF as the electronic format, unless otherwise specified or directed by the Contracting Officer. Generate PDF files from original documents with bookmarks so that the text included in the PDF file is searchable and can be copied. If documents are scanned, optical character resolution (OCR) routines are required.

Index and bookmark files exceeding 30 pages to allow efficient navigation of the file. When required, the electronic file must include a valid electronic signature or a scan of a signature.

1.6. INFORMATION ONLY SUBMITTALS

Submittals without a "G" designation must be certified by the QC manager and submitted to the

Contracting Officer for information-only. Provide information-only submittals to the Contracting

Officer a minimum of 14 calendar days prior to the Preparatory Meeting for the associated

Definable Feature of Work (DFOW). Approval of the Contracting Officer is not required on information only submittals. The Contracting Officer will mark "receipt acknowledged" on submittals for information and will return only the transmittal cover sheet to the Contractor.

Normally, submittals for information only will not be returned. However, the Government reserves the right to return unsatisfactory submittals and 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 3 copies of information-only submittals.

1.7. PROJECT SUBMITTAL REGISTER

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

1.7.1. Submittal Management

Prepare and maintain a submittal register, as the work progresses. Do not change data that is output in columns (c), (d), (e), and (f) as delivered by Government; retain data that is output in columns (a), (g), (h), and (i) as approved. As an attachment, provide a submittal register showing items of equipment and materials for which submittals are required by the specifications. 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).

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

Column (d): Lists each submittal description (SD Number. and type, e.g., SD-02 Shop

Drawings) required in each specification section.

Column (e): Lists one principal paragraph in each specification section where a material or product is specified. This listing is only to facilitate locating submitted requirements.

Do not consider entries in column (e) as limiting the project requirements.

Column (f): Lists the approving authority for each submittal.

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

1.7.2. Design-Build Submittal Register

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.

1.7.3. Preconstruction Use of Submittal Register

Submit the submittal register using the Resident Management System (RMS). Include the QC plan and the project schedule. Verify that all submittals required for the project are listed and add missing submittals. Coordinate and complete the following fields on the register database and the project schedule: submitted with the QC plan

Column (a) Activity Number: Activity number from the project schedule.

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

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

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

Contractor control.

1.7.4. Contractor Use of Submittal Register

Update the following fields in the Government-furnished submittal register program or equivalent fields in the program used by the Contractor each submittal throughout the contract.

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

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

Column (l) Date submittal transmitted.

Column (q) Date approval was received.

1.7.5. Approving Authority Use of Submittal Register

Update the following fields:

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

Column (l) Date submittal was received.

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

Column (q) Date of return to Contractor.

1.7.6. Action Codes

Entries for columns (j) and (o) are to be used as follows (others may be prescribed by the

Transmittal Form):

1.7.6.1. 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"

1.7.6.2. Contractor Action Codes

DESIGN BUILD SUBMITTALS

Submittal Classifications shown in UFGS Sections

Submittal Classification

Corresponding SpecsIntact

Submittal Register Code which is populated in the SI Submittal Register.

Software Limitations:

(The software shows one character delineation in the

SpecsIntact Submittal Register)

RMS – The following Submittal

Classifications are populated in RMS when the SpecsIntact Submittal Data File is pulled into RMS)

G Submittal requires Government

Approval

G GA

BLANK Submittal is For Information Only(FIO)

BLANK FIO

DA Submittal requires Designer of Record

Approval

D DA

CR Submittal requires Government

Conformance Review

C CR

DA/CR Submittal requires Designer of Record

Approval and Government

Conformance Review

R DA/CR

DA/GA Submittal requires Designer of Record

Approval and Government

Approval

A DA/GA

1.8. VARIATIONS

Variations from contract requirements require Contracting Officer approval pursuant to contract

Clause FAR 52.236-21 Specifications and Drawings for Construction, and will be considered where advantageous to the Government.

1.8.1. Considering Variations

Discussion of variations with the Contracting Officer before submission will help ensure that functional and quality requirements are met and minimize rejections and resubmittals. For variations that include design changes or some material or product substitutions, the Government may require an evaluation and analysis by a licensed professional engineer hired by the contractor.

Specifically point out variations from contract requirements in a transmittal letter. Failure to point out variations may cause the Government to require rejection and removal of such work at no additional cost to the Government.

1.8.2. Proposing Variations

Specifically point out variations from contract requirements in a transmittal letter. Failure to point out variations may cause the Government to require rejection and removal of such work at no additional cost to the Government.

Check the column "variation" of ENG Form 4025 for submittals that include variations proposed by the Contractor. Set forth in writing the reason for any variations and note such variations on the submittal. The Government reserves the right to rescind inadvertent approval of submittals containing unnoted variations.

1.8.3. Warranting that Variations are Compatible

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

1.8.4. Review Schedule Extension

In addition to the normal submittal review period, a period of 14 working days will be allowed for the Government to consider submittals with variations.

1.9. SCHEDULING

Schedule and submit concurrently product data and shop drawings covering component items forming a system or items that are interrelated. Submit pertinent certifications at the same time.

No delay damages or time extensions will be allowed for time lost in late submittals. Allow an additional 10 working days for review and approval of submittals for 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. The

Contractor is responsible for additional time required for Government reviews resulting from required resubmittals. The review period for each resubmittal is the same as for the initial submittal.

b) Submittals required by the contract documents are listed on the submittal register. If a submittal is listed in the submittal register but does not pertain to the contract work, the

Contractor is to include the submittal in the register and annotate it "N/A" with a brief explanation. Approval by the Contracting Officer does not relieve the Contractor of supplying submittals required by the contract documents but that have been omitted from the register or marked "N/A."

c) Resubmit the submittal register and annotate it monthly with actual submission and approval dates. When all items on the register have been fully approved, no further resubmittal is required.

1.9.1. 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 variations from the completed design. Review will be only for conformance with the contract requirements.

Included are only those construction submittals for which the DOR's 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.

1.10. GOVERNMENT APPROVING AUTHORITY

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

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

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

c) Identify returned submittals with one of the actions defined in paragraph REVIEW

NOTATIONS and with comments and markings appropriate for the action indicated.

Upon completion of review of submittals requiring Government approval, stamp and date submittals. [_____] copies of the submittal will be retained by the Contracting Officer and [_____] copies of the submittal will be returned to the Contractor. If the Government performs a conformance review of other Designer of Record approved submittals, the submittals will be identified and returned, as described above.

1.10.1. Submittals will be returned to the Contractor with the following notations:

a) Submittals marked "approved" or "accepted" authorize proceeding with the work covered.

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

c) Submittals marked "not approved," "disapproved," or "revise and resubmit" indicate incomplete submittal or noncompliance with the contract requirements or design concept.

Resubmit with appropriate changes. Do not proceed with work for this item until the resubmittal is approved.

d) Submittals marked "not reviewed" indicate that the submittal has been previously reviewed and approved, is not required, does not have evidence of being reviewed and approved by Contractor, or is not complete. A submittal marked "not reviewed" will be returned with an explanation of the reason it is not reviewed. Resubmit submittals returned for lack of review by Contractor or for being incomplete, with appropriate action, coordination, or change.

e) Submittals marked "receipt acknowledged" indicate that submittals have been received by the Government. This applies only to "information-only submittals" as previously defined.

1.11. DISAPPROVED SUBMITTALS

Make corrections required by the Contracting Officer. If the Contractor considers any correction or notation on the returned submittals to constitute a change to the contract drawings or specifications, give notice to the Contracting Officer as required under the FAR clause titled

CHANGES. The Contractor is responsible for the dimensions and design of connection details and the construction of work. Failure to point out variations may cause the Government to require rejection and removal of such work at the Contractor's expense.

If changes are necessary to submittals, make such revisions and resubmit in accordance with the procedures above. No item of work requiring a submittal change is to be accomplished until the changed submittals are approved.

1.12. APPROVED SUBMITTALS

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

Approval or acceptance by the Government for a submittal does not relieve the Contractor of the responsibility for meeting the contract requirements or for any error that may exist, because under the Quality Control (QC) requirements of this contract, the Contractor is responsible for ensuring information contained with in each submittal accurately conforms with the requirements of the contract documents. After submittals have been approved or accepted by the Contracting Officer, no resubmittal for the purpose of substituting materials or equipment will be considered unless accompanied by an explanation of why a substitution is necessary.

1.13. 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, provide assurance that the materials or equipment will be available in quantities required in the project.

No change or substitution will be permitted after a sample has been approved.

Match the approved samples for materials and equipment incorporated in the work. If requested, approved samples, including those that may be damaged in testing, will be returned to the

Contractor, at its expense, upon completion of the contract. Unapproved samples will also be returned to the Contractor at its expense, if so requested.

Failure of any materials to pass the specified tests will be sufficient cause for refusal to consider, under this contract, any further samples of the same brand or make as that material. The

Government reserves the right to disapprove any material or equipment that has previously proved unsatisfactory in service.

Samples of various materials or equipment delivered on the site or in place may be taken by the

Contracting Officer for testing. Samples failing to meet contract requirements will automatically void previous approvals. Replace such materials or equipment to meet contract requirements.

1.14. WITHHOLDING OF PAYMENT

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

1.15. CERTIFICATION OF SUBMITTAL DATA

For design-build construction, both the Contractor Quality Control System Manager and the Designer of Record must stamp and sign to certify that the submittal meets contract requirements.

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

______NAME OF CONTRACTOR ______ SIGNATURE OF CONTRACTOR