01_33_00.pdf

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES (NAU)

3/18

PART 1 GENERAL

1.1 SUMMARY

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

1.2.2 Approving Authority

1.2.3 Work

1.3 SUBMITTALS

1.4 SUBMITTAL CLASSIFICATION (DESIGN-BUILD)

1.4.1 Design and Design Related Submittals

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

1.4.1.2 Designer of Record Approved/Government Conformance Review

(DA/CR)

1.4.2 Non-Design Related Submittals

1.4.2.1 Government Approved (G)

1.4.2.2 For Information Only (FIO)

1.4.3 Sustainability Reporting Submittals (S)

1.5 SUBMITTAL CLASSIFICATION (DESIGN-BID-BUILD)

1.5.1 Government Approved (G)

1.5.2 For Information Only

1.5.3 Sustainability Reporting Submittals (S)

1.6 PREPARATION

1.6.1 Transmittal Form

1.6.2 Electronic File Format

1.6.3 Contractor Approval

1.7 QUANTITY OF SUBMITTALS

1.7.1 Number of Copies of SD-02 Shop Drawings

1.7.2 Number of Samples SD-04 Samples

1.7.3 Number of Copies SD-05 Design Data

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

Field Reports

1.8 INFORMATION ONLY SUBMITTALS

1.9 SUBMITTAL REGISTER

1.10 DEVIATIONS, SUBSTITUTIONS, AND VARIATIONS

1.10.1 Required Approval

1.10.2 Considerations

1.10.3 Proposing Variations

1.10.4 Warranting that Variations are Compatible

1.11 SCHEDULING

1.11.1 Review Periods

1.11.2 No Impact on Schedule

1.12 CONTRACTOR RESPONSIBILITIES

1.12.1 Reviewing, Certifying, Approving Authority

1.12.2 Related Items

1.12.3 QC Organization Responsibilities

1.13 GOVERNMENT REVIEW OF TRANSMITTALS

1.13.1 Review Notations

1.14 DISAPPROVED OR REJECTED SUBMITTALS

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1.15 APPROVED/ACCEPTED SUBMITTALS

1.16 APPROVED SAMPLES

1.17 WITHHOLDING OF PAYMENT

PART 2 PRODUCTS

PART 3 EXECUTION

-- End of Section Table of Contents --

SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES (NAU)

3/18

PART 1 GENERAL

1.1 SUMMARY

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

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

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

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

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; and warranties.

Submittals requiring Government approval are to be scheduled and made prior to the acquisition of the material or equipment covered thereby. Pick up and dispose of samples not incorporated into the work in accordance with manufacturer's Safety Data Sheets (SDS) and in compliance with existing laws and regulations.

1.2 DEFINITIONS

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

Construction progress schedule

Network Analysis Schedule (NAS)

Submittal register

Health and safety plan

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Work plan

Quality Control(QC) plan

Environmental protection plan

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-05 Design Data

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

Design submittals, design substantiation submittals and extensions of design submittals.

SD-06 Test Reports

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

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

Report which includes finding of a test made at the job site or on sample taken from the job site, on 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 the product, system, or material meets specification requirements. Must be dated after award of project contract and clearly name the project.

Document required of Contractor, or of a manufacturer, supplier, installer or Subcontractor through Contractor. The document purpose is to further promote the orderly progression of a portion of the work by documenting procedures, acceptability of methods, or personnel

SECTION 01 33 00 Page 4 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 (SDS) concerning impedances, hazards and safety precautions.

SD-10 Operation and Maintenance Data

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

This data is intended to be incorporated in an operations and maintenance manual or control system.

SD-11 Closeout Submittals

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

Submittals required for Guiding Principle Validation (GPV) or Third Party Certification (TPC).

Special requirements necessary to properly close out a construction contract. For example, Record Drawings and as-built drawings. Also, submittal requirements necessary to properly close out a major phase of construction on a multi-phase contract.

1.2.2 Approving Authority

Office or designated person authorized to approve submittal.

1.2.3 Work

As used in this section, on- and off-site construction required by contract documents, including labor necessary to produce submittals, except SD-01 Pre-Construction 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" designation;

submittals not having a "G" designation are for Contractor QC approval.

When used, a designation following the "G" designation identifies the office that will review the submittal for the Government. Codes are: "AE" for Architect-Engineer; "DO" for District Office; "AO" for Area Office;

"RO" for Resident Office; and "PO" for Project Office.

Submit the following in accordance with this section.

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SD-01 Preconstruction Submittals

Submittal Register; G

1.4 SUBMITTAL CLASSIFICATION (DESIGN-BUILD)

Submittals on Design-Build projects are classified as follows:

1.4.1 Design and Design Related Submittals

Designer of Record (DOR) approval is required for design, extensions of design, critical materials, any deviations from the solicitation, the accepted proposal, 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 SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are considered to be "shop drawings." Design submittals to be in accordance with Section 01 10 15 DESIGN DATA (DESIGN AFTER AWARD). Generally, design submittals should be identified as SD-05 Design Data submittals.

All DOR approved submittals will be submitted either as Designer of Record Approved/Government Approved (DA/GA) or Designer of Record Approved/Government Conformance Review (DA/CR) as described below.

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

Government approval is required for any deviation, variation, or substitution, as well as other items designated by the Contracting Officer.

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

Any DOR approved submittal not specifically identified elsewhere as Government Approved (DA/GA) is considered DA/CR. Review will be only for conformance with the applicable codes, standards and contract requirements.

Generally, design submittals should be identified as SD-05 Design Data submittals. Design data includes the design documents described in Section

01 10 15 DESIGN DATA (DESIGN AFTER AWARD).

1.4.2 Non-Design Related Submittals

Any submittal which is not considered design or design related as described above shall be classified either as Government Approved (G) or For Information Only (FIO).

1.4.2.1 Government Approved (G)

Government approval is required for all non-design related deviations, substitutions, variations, and other items as designated by the Contracting Officer.

1.4.2.2 For Information Only (FIO)

All submittals not requiring DOR 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.

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1.4.3 Sustainability Reporting Submittals (S)

Submittals for Guiding Principle Validation (GPV) or Third Party Certification (TPC) are indicated with an "S" designation. Submit the information required by the technical sections that demonstrates compliance with the sustainable requirement, and for inclusion in the Sustainability eNotebook as required by Section 01 33 29 SUSTAINABILITY REPORTING. A full submittal for an item may be provided under another SD; however, for the "S" submittal, only provide that portion of the submittal that demonstrates compliance with the sustainable requirement. If the sustainable submittal does require Government Approval, it may be tagged under another SD with a "G."

Schedule submittals for these items throughout the course of construction as provided; do not wait until closeout.

1.5 SUBMITTAL CLASSIFICATION (DESIGN-BID-BUILD)

Submittals on Design-Bid-Build projects are classified as follows:

1.5.1 Government Approved (G)

Government approval is required for extensions of design, critical materials, deviations, equipment whose compatibility with the entire system must be checked, and other items as designated by the Contracting Officer.

Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are considered to be "shop drawings."

1.5.2 For Information Only

Submittals not requiring Government approval will be for information only.

They are not considered to be "shop drawings" within the terms of the Contract Clause referred to previously.

1.5.3 Sustainability Reporting Submittals (S)

Submittals for Guiding Principle Validation (GPV) or Third Party Certification (TPC) are indicated with an "S" designation. Submit the information required by the technical sections that demonstrates compliance with the sustainable requirement, and for inclusion in the Sustainability eNotebook as required by Section 01 33 29 SUSTAINABILITY REPORTING. A full submittal for an item may be provided under another SD; however, for the "S" submittal, only provide that portion of the submittal that demonstrates compliance with the sustainable requirement. If the sustainable submittal does require Government Approval, it may be tagged under another SD with a "G."

Schedule submittals for these items throughout the course of construction as provided; do not wait until closeout.

1.6 PREPARATION

1.6.1 Transmittal Form

Use the ENG Form 4025-R which is automatically generated in RMS (CM) for all submittals. All fields shall be completed.

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1.6.2 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 ENG 4025-R. Name the electronic submittal file specifically according to its contents, coordinate the file naming convention with the Contracting Officer. Electronic files must be of sufficient quality that all information is legible.

All documents shall be submitted in PDF format. All drawings shall be submitted in both PDF and DWG (AutoCAD, latest version) format, unless otherwise specified or directed by the Contracting Officer. Generate PDF files from original documents with bookmarks so that the text included in the PDF file is both searchable and can be copied. If documents are scanned, Optical Character Resolution (OCR) routines are required. Index and bookmark files exceeding 30 pages to allow efficient navigation of the file.

RMS (CM) shall be used to transmit the electronic files to the Government.

Additionally, the ProjNet (Dr. Checks) system may also be required to be used for transmittals at the discretion of the Government.

1.6.3 Contractor Approval

The Contractor Quality Control System Manager and for Design-Build contracts, the Designer of Record, are to stamp and sign the ENG 4025-R to certify that the submittal meets contract requirements.

Electronically submitted transmittals must include a valid electronic signature or scan of a signature.

1.7 QUANTITY OF SUBMITTALS

Unless a different quantity is identified elsewhere in a technical section, up to three hard copies of any submittal may be requested at the discretion of the Contracting Officer, at no additional cost to the Government. Sizes and number of copies identified in other contract documents govern over the sizes and quantities indicated herein.

Drawings shall be in ANSI D or A1 size, and all other documents shall be printed on A4 or US 8.5" x 11" paper. Documents shall be provided in binders or otherwise bound: loose documents are prohibited.

1.7.1 Number of Copies of SD-02 Shop Drawings

Submit three copies of submittals of shop drawings.

1.7.2 Number of Samples SD-04 Samples

a. Submit two samples, 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.

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

c. Submit one sample installation, where directed.

SECTION 01 33 00 Page 8

d. Submit one sample of non-solid materials.

1.7.3 Number of Copies SD-05 Design Data

Submit in compliance with quantity requirements specified for shop drawings.

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

Submit in compliance with quantity and quality requirements specified for shop drawings with the exception of field test results which shall be submitted with QC reports.

1.8 INFORMATION ONLY SUBMITTALS

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.

1.9 SUBMITTAL REGISTER

Within 30 calendar days of Notice to Proceed, provide for Contracting Officer approval the following schedule of submittals:

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

b. A separate schedule of other submittals required under the contract but not listed in the specifications or drawings.

Schedule will indicate the contract requirement reference; the type or title of the submittal; the Contractor's anticipated submission date and the approved need date (if approval is required).

Maintain a submittal register for the project in accordance with Section 01 45 01 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM)). All submittal items shall be identified in the register and every transmittal will be recorded and submitted through RMS.

1.10 DEVIATIONS, SUBSTITUTIONS, AND VARIATIONS

Unless prohibited or provided for otherwise elsewhere in the Contract, deviations, substitutions, and variations from contract requirements will be considered where advantageous to Government. As used in this context, the terms are used interchangeably and include:

a. Changes to the contractors accepted proposal

b. Changes to the contractors accepted design (Design-Build projects) or

SECTION 01 33 00 Page 9 extensions of design, including shop drawings (all projects)

c. Changes to products, systems, materials or equipment by manufacturer, brand name and/or by model number or other specific identification identified in the contractors proposal or accepted design.

1.10.1 Required Approval

The contractor shall obtain Government approval prior proceeding with material acquisition or installation. Include substantiation the proposed item meets the contract requirements and that it is equal in function, performance, quality and salient features to the original item.

For contractor prepared designs or extensions of design, the Government will not agree to or provide a preliminary opinion without the DOR's approval or recommended approval.

A contract modification is also required before the Contractor is authorized to proceed with material acquisition or installation for any proposed variation to which constitutes a change to the contract terms.

Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are considered to be "shop drawings."

The Government reserves the right to accept or reject any proposed deviation at its discretion.

1.10.2 Considerations

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

1.10.3 Proposing Variations

When proposing variation, deliver written request to the Contracting Officer, with documentation of the nature and features of the variation and why the variation is desirable and beneficial to Government, including the DOR's written analysis and approval. If lower cost is a benefit, also include an estimate of the cost savings. In addition to documentation required for variation, include the submittals required for the item.

Clearly mark the proposed variation in all documentation.

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

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

1.10.4 Warranting that Variations are Compatible

When delivering a variation for approval, Contractor, including its Designer(s) of Record, warrants that this contract has been reviewed to

SECTION 01 33 00 Page 10 establish that the variation, if incorporated, will be compatible with other elements of work.

1.11 SCHEDULING

Schedule and submit concurrently submittals covering component items forming a system or items that are interrelated. Include certifications to be submitted with the pertinent drawings at the same time. No delay damages or time extensions will be allowed for time lost in late submittals.

a. Coordinate scheduling, sequencing, preparing and processing of submittals with performance of work so that work will not be delayed by submittal processing. Allow for potential resubmittal of requirements.

b. Each transmittal item in the submittal register shall be linked to the appropriate activity from the project schedule in RMS to determine the submittal needs dates on the register. Any lead time, procurement period, and review days shall be coordinated between RMS and the project schedule.

c. 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."

1.11.1 Review Periods

The contractor shall allow, and the project schedule shall account for the following review periods for submittals. The review period starts upon receipt of the submittal by the Government.

DA/GA: 30 calendar days DA/CR: 21 calendar days

G: 30 calendar days FIO or S: Although not required to be approved, for information only submittals allow review period of 14 calendar days for return of submittal to the Contractor

The Government shall have 30 calendar days to review any item requiring resubmission, regardless of the submittal type.

1.11.2 No Impact on Schedule

No extension to the contract performance period or to any interim completion date or milestone will be allowed for:

a. Any periods associated with re-submittals

b. Denial or delayed approval of any variation

1.12 CONTRACTOR RESPONSIBILITIES

1.12.1 Reviewing, Certifying, Approving Authority

The QC organization is responsible for reviewing and certifying submittals are in compliance with contract requirements. Approving authority on submittals is QC Manager unless otherwise specified.

SECTION 01 33 00 Page 11

All design and design related submittals also require the contractors DOR approval.

1.12.2 Related Items

Submit complete submittals for each definable feature of work. Submit at the same time components of definable feature interrelated as a system.

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

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

1.12.3 QC Organization Responsibilities

The contractor shall approve all submittals prior to submission to the Government. Prior to submission, the contractors QC Manager shall:

a. Review each submittal to ensure coordination with requirements of work, project design concepts, and contract documents

b. Sign certifying statement or approval statement. The QC organization member designated in the approved QC plan is the person signing certifying statements. The use of electronic signature, original ink or stamped signature is acceptable

1.13 GOVERNMENT REVIEW OF TRANSMITTALS

1.13.1 Review Notations

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

a. Submittals marked "approved" or "accepted" authorize the Contractor to proceed with the work covered. (RMS codes: "A", "D", "F", "R", or "K"

b. Submittals marked "approved as noted" or "approved, except as noted, resubmittal not required," authorize the Contractor to proceed with the work covered provided they take no exception to the corrections. (RMS code "B").

c. Submittals marked "approved, resubmission required" authorize the contractor to proceed only with the portions of the work which do not require resubmission. (RMS code "C")

c. Submittals marked "not approved" or "disapproved," or "revise and resubmit," indicate noncompliance with the contract requirements or design concept, or that submittal is incomplete. (RMS codes "E", "X").

Resubmit with appropriate changes. No work shall proceed for this item until resubmittal is approved.

1.14 DISAPPROVED OR REJECTED 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; notice as required under the FAR clause entitled CHANGES, is to be given to the Contracting Officer. Contractor is responsible for the dimensions and

SECTION 01 33 00 Page 12 design of connection details and construction of work.

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

1.15 APPROVED/ACCEPTED SUBMITTALS

The Contracting Officer's approval or acceptance of submittals is for contract conformance only and shall not be construed as a complete check.

The Contractor remains solely responsible for performing quality control, fully adhering to the requirements of the contract.

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 approved in accordance with paragraph DEVIATIONS, SUBSTITUTIONS, AND VARIATIONS.

1.16 APPROVED SAMPLES

Approval of a sample is only for the characteristics or use named in such approval and is not be construed to change or modify any contract requirements. Before submitting samples, the Contractor to assure that the materials or equipment will be available in quantities required in the project. 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 disapprove 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.

Contractor to 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.

1.17 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.

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PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

Not Used

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