01_33_00_Submittal_Procedures.pdf

SECTION 01 33 00

SUBMITTAL PROCEDURES

07/09

PART 1: GENERAL

1.1 DEFINITIONS

1.1.1 Submittal Descriptions (SD)

1.1.2 Approving Authority

1.1.3 Work

1.2 SUBMITTALS

1.3 SUBMITTAL CLASSIFICATION AND GOVERNMENT REVIEW PERIOD

1.3.1 Designer of Record Approved (DA)

1.3.2 Government Approved

1.3.3 Government Conformance Review of Design (CR)

1.3.4 Designer of Record Approved/Government Conformance Review (DA/CR)... 6

1.3.5 Designer of Record Approved/Government Approved (DA/GA)

1.3.6 Information Only

1.4 PREPARATION

1.4.1 Transmittal Form

1.5 QUANTITY OF SUBMITTALS

1.5.1 Number of Samples SD-04

1.6 INFORMATION ONLY SUBMITTALS

1.7 VARIATIONS / SUBSTITUTION REQUESTS

1.7.1 Considering Variations

1.7.2 Proposing Variations

1.7.3 Warranting That Variations Are Compatible

1.7.4 Review Schedule Is Modified

1.8 SUBMITTAL REGISTER

1.8.1 Government Provided Submittal Register

1.8.2 Use of Submittal Register

1.8.3 Copies Delivered to the Government

1.9 SCHEDULING

1.9.1 Contractor Schedule Dates

1.9.2 Government Reviewed Design or Extension of Design

1.10 GOVERNMENT APPROVING AUTHORITY

1.11 DISAPPROVED OR REJECTED SUBMITTALS

1.12 APPROVED/ACCEPTED SUBMITTALS

1.13 APPROVED SAMPLES

1.14 WITHHOLDING OF PAYMENT

1.15 STAMPS

PART 2: PRODUCTS

PART 3: EXECUTION

3.1 APPROVED SAMPLES

SECTION 01 33 00 SUBMITTAL PROCEDURES (07/09)

PART 1: GENERAL

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 determination of compliance with contract requirements.

Contractor's Quality Control (CQC) System Manager and the Designer of Record, if applicable, shall 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. Samples remaining upon completion of the work shall be picked up and disposed of in accordance with manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.

1.1 DEFINITIONS

1.1.1 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 required prior to commencing construction or the start of the next major phase of the construction on a multi-phase contract.

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 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 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.

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

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, 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.

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.

1.1.2 Approving Authority

Office or designated person authorized to approve submittal.

1.1.3 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.

1.2 SUBMITTALS

Submit the following in accordance with this section.

SD-01 Preconstruction Submittals

Submittal register; G

1.3 SUBMITTAL CLASSIFICATION AND GOVERNMENT REVIEW PERIOD

Submittals are classified as follows:

1.3.1 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 entire system must be checked, and other items as designated by the Contracting Officer. Within the terms of the Contract Clause entitled "Specifications and Drawings for Construction," they are considered to be "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 DESIGN AFTER AWARD. Generally, design submittals should be identified as SD-05 Design Data submittals.

For the purposes of scheduling, the contractor shall allow a minimum of 21 calendar days for government review.

1.3.2 Government Approved

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 entitled "Specifications and Drawings for Construction," they are considered to be "shop drawings."

For the purposes of scheduling, the contractor shall allow 30 days for government review.

1.3.3 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 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 DESIGN AFTER AWARD. Generally, design submittals should be identified as SD-05 Design Data submittals.

For the purposes of scheduling, the contractor shall allow a minimum of 14 calendar days for government review.

1.3.4 Designer of Record Approved/Government Conformance Review (DA/CR)

1.3.4.1 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 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 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.

For the purposes of scheduling, the contractor shall allow a minimum of 21 calendar days for government review.

1.3.4.2 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.

1.3.5 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 deviation 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 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.

For the purposes of scheduling, the contractor shall allow a minimum of 30 calendar days for government review.

1.3.6 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.

For the purposes of scheduling, the contractor shall allow a minimum of 14 days for government review.

1.4 PREPARATION

1.4.1 Transmittal Form

ENG Form 4025 shall be used for all transmittals. When QCS is required by the contract, the contractor shall use QCS to generate the transmittal cover sheet. 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 QUANTITY OF SUBMITTALS

Normally, 4 copies of FIO submittals will be submitted to the Government;

one copy will be returned to the contractor and the government will retain the other three.

5 copies of all other submittals will be provided to the government; one copy will be returned to the contractor and the government will retain the other copies.

1.5.1 Number of Samples SD-04

Submit one sample, or two 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.

Submit one sample panel or provide one sample installation where directed.

Include components listed in technical section or as directed.

1.6 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.

1.7 VARIATIONS / SUBSTITUTION REQUESTS

Variations from contract requirements require Government approval pursuant to contract Clause FAR 52.236-21 and will be considered where advantageous to Government.

1.7.1 Considering Variations

Discussion with Contracting Officer prior to submission will help ensure functional and quality requirements are met and minimize rejections and re-submittals. When contemplating a variation which results in lower cost, consider submission of the variation as a Value Engineering Change Proposal

(VECP).

Specifically point out variations from contract requirements in transmittal 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.

1.7.2 Proposing Variations

When proposing variation, 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. If lower cost is a benefit, also include an estimate of the cost savings. The Government reserves the right to rescind inadvertent approval of submittals containing unnoted deviations.

1.7.3 Warranting That Variations Are Compatible

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

1.7.4 Review Schedule Is Modified

In addition to normal submittal review period, an additional 14 calendar days will be allowed for consideration by the Government of submittals with variations (i.e. if the submittal review period is 30 days, the review period for a variation would be 44 days).

1.8 SUBMITTAL REGISTER

The contractor shall be responsible for reviewing the plans and specifications and developing a submittal register within 30 calendar days after Notice to Proceed. The submittal register shall be maintained in accordance with Section 01 45 01.10 USACE QUALITY CONTROL SYSTEM (QCS).

The approved submittal register will serve as a scheduling document for submittals and will be used to control submittal actions throughout the contract period. Approval of the submittal register 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.

On design-build projects, the Designer of Record shall develop a complete list of submittals during design and identify required submittals in the specifications, and use the list to prepare the Submittal Register.

1.8.1 Government Provided Submittal Register

Normally, the government will not provide a submittal register as part of the contract. If one is provided as part of the solicitation, it shall be considered the minimum number of submittals required and the contractor shall incorporate those items into their submittal register.

1.8.2 Use of Submittal Register

All fields on the submittal register shall be utilized by linking every submittal item to the project schedule to determine submittal needs dates, including appropriate material ordering and delivery periods.

1.8.3 Copies Delivered to the Government

Deliver to the Government one updated copy of submittal register monthly or until all submittals have been satisfactorily completed 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.

1.9 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.

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.

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."

1.9.1 Contractor Schedule Dates

Each submittal item must be linked to an activity in the progress schedule such that the following dates may be determined:

Submittal needed by date: the date the submittal must be delivered to the government so that review can be made in accordance with paragraph SUBMITTAL CLASSIFICATION AND GOVERNMENT REVIEW PERIOD above.

Material needed by date: the date materials/equipment/supplies must be on the job site to allow the activity to proceed.

Submittal approval needed by date: the date the submittal must be completed to allow materials/equipment to be ordered and shipped. This date is determined by subtracting from the “material needed by date” the material procurement period (the amount of time it will take to deliver the item to the job site).

These dates must be shown on the submittal register

1.9.2 Government Reviewed Design or Extension of Design

The Government will review all design submittals for conformance with the technical requirements of the solicitation. Section 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.

1.10 GOVERNMENT APPROVING AUTHORITY

When approving authority is Contracting Officer, the Government will:

a. Note date on which submittal was received.

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 entitled "Review Notations" and with markings appropriate for action indicated.

Upon completion of review of submittals requiring Government approval, stamp and date approved submittals. One copy of the submittal will be returned to the Contractor, all other copies of the approved submittal will be retained by the Contracting Officer.

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.

1.11 DISAPPROVED OR REJECTED SUBMITTALS

Contractor shall 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 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, the Contractor shall 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.

All resubmittals shall be provided within fifteen (15) days of the receipt of the Government comments or the original returned submittal with Government review comments. Resubmittals shall only address the item(s) identified on the original submittal and shall not include new items – these must be provided on a separate transmittal.

1.12 APPROVED/ACCEPTED SUBMITTALS

The Contracting Officer's approval or acceptance of submittals is not be construed as a complete check, and indicates only that design, 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 complying with 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, the Contractor shall assure 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 which may be damaged in testing, will be returned to the Contractor, at his expense, upon completion of the contract. Samples not approved 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 of that material. Government reserves the right to disapproved any material or equipment which previously has 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, and the Contractor shall replace such materials or equipment to meet contract requirements.

Approval of the Contractor's samples by the Contracting Officer does not relieve the Contractor of his responsibilities under the contract.

1.14 WITHHOLDING OF PAYMENT

No payment for materials incorporated in the work will be made if all required 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 STAMPS

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

PART 2: PRODUCTS

Not Used

PART 3: EXECUTION

3.1 APPROVED SAMPLES

Not Used

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