Submittals requirements are specified in the technical sections. Submittals are identified by SD numbers and
titles as follows.
Office or designated person authorized to approve submittal.
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 USE OF SUBMITTAL REGISTER [DATABASE]
NOTE: The following paragraphs, up to the paragraph entitled "SUBMITTAL CLASSIFICATION",
are for Navy projects only.
NOTE: Create the submittal register from the project specification files, at
the conclusion of the design. In SGML SPECSINTACT, choose "Submittal Register
Program" from "Forms/Documents" pull-down menu. Local procedures must be responsive
to the requirement that the submittal register, required with the QA plan, is
usually due from the Contractor within 20 days after the Notice of Award.
NOTE: Include the bracketed text, invoking the use of the electronic database
for submittals, in most projects. The alternative is a manually processed submittal
register initially created from the Submittal Register Program, which may be
appropriate for small projects.
Submittal register [database and submittal management program] will be delivered to the Contractor, by Contracting
Officer [on 3 1/2 inch disk]. Register[ database] will have the following fields completed, to the extent that
will be required by the Government during subsequent usage.
Column (c): Lists specification section in which submittal is required.
Column (d): Lists each submittal description (SD No. and type, e.g. SD-04 Drawings) required
in each specification section.
Column (e): Lists one principal paragraph in specification section where a material or product
is specified. This listing is only to facilitate locating submitted requirements. Do not consider
entries in column (e) as limiting project requirements.
Column (f): Indicate approving authority for each submittal. A "G" indicates approval by Contracting
Officer; a blank indicates approval by QC manager.
[The database and submittal management program will be extractable from the disk furnished to Contractor, for
operation on Contractor's IBM compatible personal computer with 640kb RAM, a hard drive, and 3 1/2 inch high
density floppy disk drive.]
Prepare and maintain submittal register, as the work progresses.[ Use electronic submittal register program furnished
by the Government or any other format.] Do not change data which is output in columns (c), (d), (e), and (f)
as delivered by Government; retain data which is output in columns (a), (g), (h), and (i) as approved.
1.3.1 Submittal Register
NOTE: Include the bracketed text, invoking the use of the electronic database
for submittals, in most projects. The alternative is a manually processed submittal
register initially created from the Submittal Register Program, which may be
appropriate for small projects.
Column (a) Activity Number: Activity number from the project schedule.
Column (g) Contractor Submit Date: Scheduled date for approving authority to receive submittals.
Column (h) Contractor Approval Date: Date Contractor needs approval of submittal.
Column (i) Contractor Material: Date that Contractor needs material delivered to Contractor
control.
1.3.2 Contractor Use of Submittal Register
Update the following fields[ in the Government-furnished submittal register program or equivalent fields in program
utilized by Contractor].
Column (b) Transmittal Number: Contractor assigned list of consecutive numbers.
Column (j) Action Code (k): Date of action used to record Contractor's review when forwarding
submittals to QC.
Column (l) List date of submittal transmission.
Column (q) List date approval received.
1.3.3 Approving Authority Use of Submittal Register
Update the following fields[ in the Government-furnished submittal register program or equivalent fields in program
utilized by Contractor].
Column (b).
Column (l) List date of submittal receipt.
Column (m) through (p).
Column (q) List date returned to Contractor.
1.3.4 Contractor Action Code and Action Code
Entries used shall be as follows (others may be prescribed by Transmittal Form):
NR - Not Received
AN - Approved as noted
A - Approved
RR - Disapproved, Revise, and Resubmit
1.3.5 Copies Delivered to the Government
NOTE: Include the bracketed text, invoking the use of the electronic database
for submittals, in most projects. The alternative is a manually processed submittal
register initially created from the Submittal Register Program, which may be
appropriate for small projects.
Deliver one copy of submittal register updated by Contractor to Government with each invoice request. [Deliver
in electronic format, unless a paper copy is requested by Contracting Officer.]
1.4 PROCEDURES FOR SUBMITTALS
1.4.1 Reviewing, Certifying, Approving Authority
QC organization shall be responsible for reviewing and certifying that submittals are in compliance with contract
requirements. Approving authority on submittals is QC manager unless otherwise specified for specific submittal.
At each "Submittal" paragraph in individual specification sections, a notation "G," following a submittal item,
indicates Contracting Officer is approving authority for that submittal item.
1.4.2 Constraints
a. Submittals listed or specified in this contract shall conform to provisions of this section,
unless explicitly stated otherwise.
b. Submittals shall be complete for each definable feature of work; components of definable
feature interrelated as a system shall be submitted at same time.
c. When acceptability of a submittal is dependent on conditions, items, or materials included
in separate subsequent submittals, submittal will be returned without review.
d. Approval of a separate material, product, or component does not imply approval of assembly
in which item functions.
1.4.3 Scheduling
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 requirements
to resubmit.
b. Except as specified otherwise, allow review period, beginning with receipt by approving
authority, that includes at least [15] [_____] working days for submittals for QC Manager approval
and [20] [_____] working days for submittals for Contracting Officer approval. Period of review
for submittals with Contracting Officer approval begins when Government receives submittal from
QC organization. Period of review for each resubmittal is the same as for initial submittal.
NOTE: At bracket, use 30 working days for projects estimated to require 180
or more calendar days to construct. For projects requiring less than 180 calendar
days to complete, use at least 20 working days.
c. For submittals requiring review by fire protection engineer, allow review period, beginning
when Government receives submittal from QC organization, of [30][_____] working days for return
of submittal to the Contractor. Period of review for each resubmittal is the same as for initial
submittal.
1.4.4 Variations
Variations from contract requirements require Government approval pursuant to contract Clause entitled "FAR 52.236-21,
Specifications and Drawings for Construction" and will be considered where advantageous to Government.
1.4.4.1 Considering Variations
Discussion with Contracting Officer prior to submission, will help ensure functional and quality requirements
are met and minimize rejections and resubmittals. When contemplating a variation which results in lower cost,
consider submission of the variation as a Value Engineering Change Proposal (VECP).
1.4.4.2 Proposing Variations
When proposing variation, deliver written request to the Contracting Officer, with documentation of the nature
and features of the variation and why the variation is desirable and beneficial to Government. If lower cost
is a benefit, also include an estimate of the cost saving. In addition to documentation required for variation,
include the submittals required for the item. Clearly mark the proposed variation in all documentation.
1.4.4.3 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.
1.4.4.4 Review Schedule Is Modified
NOTE: Allow a longer additional review period if the construction phase will
have geographically scattered reviewers.
In addition to normal submittal review period, a period of [10] [_____] working days will be allowed for consideration
by the Government of submittals with variations.
1.4.5 Contractor's Responsibilities
a. Determine and verify field measurements, materials, field construction criteria; review
each submittal; and check and coordinate each submittal with requirements of the work and contract
documents.
b. Transmit submittals to QC organization in accordance with schedule on approved Submittal
Register, and to prevent delays in the work, delays to Government, or delays to separate Contractors.
c. Advise Contracting Officer of variation, as required by paragraph entitled "Variations."
d. Correct and resubmit submittal as directed by approving authority. When resubmitting disapproved
transmittals or transmittals noted for resubmittal, the Contractor shall provide copy of that
previously submitted transmittal including all reviewer comments for use by approving authority.
Direct specific attention in writing or on resubmitted submittal, to revisions not requested
by approving authority on previous submissions.
e. Furnish additional copies of submittal when requested by Contracting Officer, to a limit
of 20 copies per submittal.
f. Complete work which must be accomplished as basis of a submittal in time to allow submittal
to occur as scheduled.
g. Ensure no work has begun until submittals for that work have been returned as "approved,"
or "approved as noted", except to the extent that a portion of work must be accomplished as
basis of submittal.
1.4.6 QC Organization Responsibilities
a. Note date on which submittal was received from Contractor on each submittal.
b. Review each submittal; and check and coordinate each submittal with requirements of work
and contract documents.
c. Review submittals for conformance with project design concepts and compliance with contract
documents.
d. Act on submittals, determining appropriate action based on QC organization's review of submittal.
(1) When QC manager is approving authority, take appropriate action on submittal from the possible
actions defined in paragraph entitled, "Actions Possible."
(2) When Contracting Officer is approving authority or when variation has been proposed, forward
submittal to Government with certifying statement or return submittal marked "not reviewed"
or "revise and resubmit" as appropriate. The QC organization's review of submittal determines
appropriate action.
e. Ensure that material is clearly legible.
f. Stamp each sheet of each submittal with QC certifying statement or approving statement,
except that data submitted in bound volume or on one sheet printed on two sides may be stamped
on the front of the first sheet only.
(1) When approving authority is Contracting Officer, QC organization will certify submittals
forwarded to Contracting Officer with the following certifying statement:
"I hereby certify that the (equipment) (material) (article) shown and marked in this submittal
is that proposed to be incorporated with contract Number [_____], is in compliance with the
contract drawings and specification, can be installed in the allocated spaces, and is submitted
for Government approval.
Certified by Submittal Reviewer _____________________, Date _______
(Signature when applicable)
Certified by QC Manager _____________________________, Date ______"
(Signature)
(2) When approving authority is QC Manager, QC Manager will use the following approval statement
when returning submittals to Contractor as "Approved" or "Approved as Noted."
"I hereby certify that the (material) (equipment) (article) shown and marked in this submittal
and proposed to be incorporated with contract Number [_____], is in compliance with the contract
drawings and specification, can be installed in the allocated spaces, and is [_____] approved
for use.
Certified by Submittal Reviewer ______________________, Date ______
(Signature when applicable)
Approved by QC Manager _______________________________, Date _____"
(Signature)
g. Sign certifying statement or approval statement. The person signing certifying statements
shall be QC organization member designated in the approved QC plan. The signatures shall be
in original ink. Stamped signatures are not acceptable.
h. Update submittal register [database ]as submittal actions occur and maintain the submittal
register at project site until final acceptance of all work by Contracting Officer.
i. Retain a copy of approved submittals at project site, including Contractor's copy of approved
samples.
1.4.7 Government's Responsibilities
When approving authority is Contracting Officer, the Government will:
a. Note date on which submittal was received from QC manager, on each submittal for which the
Contracting Officer is approving authority.
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 "Actions
Possible" and with markings appropriate for action indicated.
1.4.8 Actions Possible
Submittals will be returned with one of the following notations:
a. Submittals marked "not reviewed" will indicate submittal has been previously reviewed and
approved, is not required , does not have evidence of being reviewed and approved by Contractor,
or is not complete. A submittal marked "not reviewed" will be returned with an explanation
of the reason it is not reviewed. Resubmit submittals returned for lack of review by Contractor
or for being incomplete, with appropriate action, coordination, or change.
b. Submittals marked "approved" "approved as submitted" authorize Contractor to proceed with
work covered.
c. Submittals marked "approved as noted" or "approval except as noted; resubmission not required"
authorize Contractor to proceed with work as noted provided Contractor takes no exception to
the notations.
d. Submittals marked "revise and resubmit" or "disapproved" indicate submittal is incomplete
or does not comply with design concept or requirements of the contract documents and shall be
resubmitted with appropriate changes. No work shall proceed for this item until resubmittal
is approved.
1.5 FORMAT OF SUBMITTALS
1.5.1 Transmittal Form
Transmit each submittal, except sample installations and sample panels, to office of approving authority. Transmit
submittals with transmittal form prescribed by Contracting Officer and standard for project. The transmittal
form shall identify Contractor, indicate date of submittal, and include information prescribed by transmittal
form and required in paragraph entitled "Identifying Submittals." Process transmittal forms to record actions
regarding sample panels and sample installations.
1.5.2 Identifying Submittals
Identify submittals, except sample panel and sample installation, 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. Section number of the specification section by which submittal is required.
d. Submittal description (SD) number of each component of submittal.
e. When a resubmission, add alphabetic suffix on submittal description, for example, SD-10A,
to indicate resubmission.
f. Name, address, and telephone number of subcontractor, supplier, manufacturer and any other
second tier Contractor associated with submittal.
g. Product identification and location in project.
1.5.3 Format for SD-02 Shop Drawings
a. Shop drawings shall not be less than A4 (297 by 210 mm) 8 1/2 by 11 inches nor more than
AO (1189 by 841 mm) 30 by 42 inches.
b. Present A4 (297 by 210 mm) 8 1/2 by 11 inches sized shop drawings as part of the bound volume
for submittals required by section. Present larger drawings in sets.
c. Include on each drawing the drawing title, number, date, and revision numbers and dates,
in addition to information required in paragraph entitled "Identifying Submittals."
d. Dimension drawings, except diagrams and schematic drawings; prepare drawings demonstrating
interface with other trades to scale. Shop drawing dimensions shall be the same unit of measure
as indicated on the contract drawings. Identify materials and products for work shown.
e. Drawings shall include the nameplate data, size and capacity. Also include applicable federal,
military, industry and technical society publication references.
1.5.4 Format of SD-03 Product Data and SD-08 Manufacturer's Instruction
a. Present product data submittals for each section as a complete, bound volume. Include table
of contents, listing page and catalog item numbers for product data.
b. Indicate, by prominent notation, each product which is being submitted; indicate specification
section number and paragraph number to which it pertains.
c. Supplement product data with material prepared for project to satisfy submittal requirements
for which product data does not exist. Identify this material as developed specifically for
project, with information and format as required for submission of SD-07 Certificates.
d. Provide product data in metric dimensions. Where product data are included in preprinted
catalogs with English units only, submit metric dimensions on separate sheet.
e. Product data shall include the manufacturer's name, trade name, place of manufacture, and
catalog model or number. Submittals shall also include applicable federal, military, industry
and technical society publication references. Should manufacturer's data require supplemental
information for clarification, the supplemental information shall be submitted as specified
for SD-07 Certificates.
f. Where equipment or materials are specified to conform to industry and technical society
reference standards of the organizations such as American National Standards Institute (ANSI),
ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters
Laboratories (UL), and Association of Edison Illuminating Companies (AEIC), submit proof of
such compliance. The label or listing by the specified organization will be acceptable evidence
of compliance. In lieu of the label or listing, submit a certificate from an independent testing
organization, competent to perform testing, and approved by the Contracting Officer. The certificate
shall state 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.
g. Submit manufacturer's instruction prior to installation.
1.5.5 Format of SD-04 Samples
a. Furnish samples in sizes below, unless otherwise specified or unless the manufacturer has
prepackaged samples of approximately same size as specified:
(1) Sample of Equipment or Device: Full size.
(2) Sample of Materials Less Than 50 by 75 mm 2 by 3 inches: Built up to A4 (297 by 210 mm)
8 1/2 by 11 inches.
(3) Sample of Materials Exceeding A4 (297 by 210 mm) 8 1/2 by 11 inches: Cut down to A4 (297
by 210 mm) 8 1/2 by 11 inches and adequate to indicate color, texture, and material variations.
(4) Sample of Linear Devices or Materials: 250 mm 10 inch length or length to be supplied,
if less than 250 mm 10 inches. Examples of linear devices or materials are conduit and handrails.
(5) Sample of Non-Solid Materials: 750 ml Pint. Examples of non-solid materials are sand
and paint.
(6) Color Selection Samples: 50 by 100 mm 2 by 4 inches.
(7) Sample Panel: 1200 by 1200 mm 4 by 4 feet.
(8) Sample Installation: 10 square meters 100 square feet.
b. Samples Showing Range of Variation: Where variations are unavoidable due to nature of the
materials, submit sets of samples of not less than three units showing extremes and middle of
range.
c. Reusable Samples: Incorporate returned samples into work only if so specified or indicated.
Incorporated samples shall be in undamaged condition at time of use.
d. Recording of Sample Installation: Note and preserve the notation of area constituting sample
installation but remove notation at final clean up of project.
NOTE: To avoid unnecessary effort by the Contractor, use the following paragraph
only when there is no color board prepared during design.
e. When color, texture or pattern is specified by naming a particular manufacturer and style,
include one sample of that manufacturer and style, for comparison.
1.5.6 Format of SD-05 Design Data and SD-07 Certificates
a. Provide design data and certificates on 297 by 210 mm8 1/2 by 11 inches paper. Provide
a bound volume for submittals containing numerous pages.
1.5.7 Format of SD-06 Test Reports and SD-09 Manufacturer's Field Reports
a. Provide reports on 297 by 210 mm8 1/2 by 11 inches paper in a complete bound volume.
b. Indicate by prominent notation, each report in the submittal. Indicate specification number
and paragraph number to which it pertains.
1.5.8 Format of SD-10 Operation and Maintenance Data (O&M)
a. O&M Data format shall comply with the requirements specified in Section
01 78 23
01 78 23
01 78 23 OPERATION
AND MAINTENANCE DATA
1.5.9 Format of SD-01 Preconstruction Submittals and SD-11 Closeout
Submittals
a. When submittal includes a document which is to be used in project or become part of project
record, other than as a submittal, do not apply Contractor's approval stamp to document, but
to a separate sheet accompanying document.
b. Provide all dimensions in administrative submittals in metric. Where data are included in
preprinted material with English units only, submit metric dimensions on separate sheet.
1.6 QUANTITY OF SUBMITTALS
NOTE: The quantities suggested below are consistent with the quantities to
be retained by the Government, in paragraphs entitled "QC Organization Responsibilities"
and "Government Responsibilities;" maintain the coordination.
1.6.1 Number of Copies of SD-02 Shop Drawings
NOTE: Verify with the Contracting Officer the number of submittals required;
normally "six" for Quality Control Manager approval and "seven" for Contracting
Officer approval.
a. Submit [six] [_____] copies of submittals of shop drawings requiring review and approval
only by QC organization and [seven] [_____] copies of shop drawings requiring review and approval
by Contracting Officer.
1.6.2 Number of Copies of SD-03 Product Data and SD-08 Manufacturer's Instructions
Submit in compliance with quantity requirements specified for shop drawings.
1.6.3 Number of Samples SD-04 Samples
NOTE: For NAVFAC Atlantic, require one sample in paragraph a and delete the
second sentence of paragraph a.
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. Include components listed in technical section or as directed.
c. Submit one sample installation, where directed.
d. Submit one sample of non-solid materials.
1.6.4 Number of Copies SD-05 Design Data and SD-07 Certificates
a. Submit in compliance with quantity requirements specified for shop drawings.
1.6.5 Number of Copies SD-06 Test Reports and SD-09 Manufacturer's Field
Reports
b. Submit in compliance with quantity with quality requirements specified for shop drawings.
1.6.6 Number of Copies of SD-10 Operation and Maintenance Data
NOTE: For NAVFAC Atlantic, require three copies of O&M Data.
Submit [Five][three][_____] copies of O&M Data to the Contracting Officer for review and approval.
1.6.7 Number of Copies of SD-01 Preconstruction Submittals and SD-11
Closeout Submittals
a. Unless otherwise specified, submit administrative submittals compliance with quantity requirements
specified for shop drawings.
1.8 SUBMITTAL CLASSIFICATION
NOTE: The remaining paragraphs of this specification section are for Army projects
only.
Submittals are classified as follows:
1.8.1 Designer of Record Approved
NOTE: This paragraph applies only to design-build projects. The DESIGN AFTER
AWARD section is project specific and usually carries the number 01012.
Designer of Record 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". The
Contractor shall provide the Government the number of copies designated hereinafter of all Designer of Record
approved submittals. The Government may review any or all Designer of Record approved submittals for conformance
to the Solicitation and Accepted Proposal. The Government will review all submittals designated as deviating
from the Solicitation or Accepted Proposal, as described below. Design submittals shall be in accordance with
Section [_____] DESIGN AFTER AWARD. Generally, design submittals should be identified as SD-05 DESIGN DATA submittals.
1.8.2 Government Approved
NOTE: Selection of construction or design-build construction text required.
Government approval is required for extensions of design, critical materials, deviations, equipment whose compatibility
with the entire system must be checked, and other items as designated by the Contracting Officer.Government approval
is required for any deviations from the Solicitation or Accepted Proposal and other items as designated by the
Contracting Officer.Within the terms of the Contract Clause entitled "Specifications and Drawings for Construction,"
they are considered to be "shop drawings."
1.8.3 Government Reviewed Design or Extension of Design
NOTE: This paragraph applies only to design-build construction projects. The
DESIGN AFTER AWARD section is project specific and usually carries the number
01012.
The Government will review all (_____%) and (_____%) 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 extension of design construction submittals, used to define contract conformity,
and 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.
1.8.4 Information Only
NOTE: Selection of construction or design-build construction text required.
All submittals not requiring Government approval will be for information only.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.
All 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 above.
1.9 APPROVED SUBMITTALS
NOTE: Selection of construction or design-build construction text required.
The Contracting Officer's approval of submittals shall not be construed as a complete check, but will indicate
only that
the general method of construction, materials, detailing and other information are satisfactorydesign,
general method of construction, materials, detailing and other information appear to meet the Solicitation and
Accepted Proposal. Approval will not relieve the Contractor of the responsibility for any error which may exist,
as the Contractor under the Contractor Quality Control (CQC) requirements of this contract is responsible for
[dimensions, the design of adequate connections and details, and the satisfactory construction of all work][design,
dimensions, all design extensions, such as the design of adequate connections and details, etc., and the satisfactory
construction of all work]. After submittals have been approved 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.
1.10 DISAPPROVED SUBMITTALS
NOTE: Selection of construction or design-build construction text required.
The Contractor shall make all corrections required by the Contracting Officer and promptly furnish a corrected
submittal in the form and number of copies specified for the initial submittal.The Contractor shall make all
corrections required by the Contracting Officer, obtain the Designer of Record's approval when applicable, and
promptly furnish a corrected submittal in the form and number of copies specified for the initial
submittal. Any "information only" submittal found to contain errors or unapproved deviations from the Solicitation
or Accepted Proposal shall be resubmitted as one requiring "approval" action, requiring both Designer of Record
and Government approval. If the Contractor considers any correction indicated on the submittals to constitute
a change to the contract, a notice in accordance with the Contract Clause "Changes" shall be given promptly to
the Contracting Officer.
1.11 WITHHOLDING OF PAYMENT
NOTE: Selection of construction or design-build construction text required.
Payment for materials incorporated in the work will not be made if required approvals have not been obtained.
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.
1.12 GENERAL
NOTE: Selection of construction or design-build construction text required.
The Contractor shall make submittals as required by the specifications. 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 shall be the same as those used in
the contract drawings. Each submittal shall be complete and in sufficient detail to allow ready determination
of compliance with contract requirements. Prior to submittal, all items shall be checked and approved by the
Contractor's
Quality Control (CQC) System ManagerQuality Control (CQC) System Manager and the Designer of Record,
if applicable, and each item shall be stamped, signed, and dated by the CQC System Manager indicating action
taken. Proposed deviations from the contract requirements shall be clearly identified. Submittals shall include
items such as: Contractor's, manufacturer's, or fabricator's drawings; descriptive literature including (but
not limited to) catalog cuts, diagrams, operating charts or curves; test reports; test cylinders; samples; O&M
manuals (including parts list); certifications; warranties; and other such required submittals. Submittals requiring
Government approval shall be scheduled and made prior to the acquisition of the material or equipment covered
thereby. Samples remaining upon completion of the work shall be picked up and disposed of in accordance with
manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.
1.13 SUBMITTAL REGISTER
NOTE: Use the first bracketed sentence of the paragraph if the Contractor is
required by the contract to use the Quality Control System (QCS). Use the second
bracketed sentence of the paragraph if the Contractor will not be required by
the contract to use the Quality Control System (QCS). It may not be necessary
or beneficial to use the QCS in small, simple, short duration contracts/delivery
orders for construction, or for other contracts where its use would not be in
the best interest of the Government.
A submittal register or a submittal list is not a part of this guide specification;
a register or listing must be developed locally for each project.
When creating a new section not covered by guide specifications, the following
guidelines must be followed.
1. The submittal paragraph must be in PART 1 and entitled "1.x SUBMITTALS"
("x" represents any main paragraph number).
2. Each submittal category (SD-## Title) used must be identified in the submittal
paragraph and surrounded by a set of submittal tags.
3. Items requiring a submittal are listed below the submittal categories (SD-##
Title) surrounded by a set of submittal tags. If the submittal item is repeated
elsewhere in a paragraph outside the submittal paragraph and that paragraph
establishes the requirements for the item, the item should be tagged in the
paragraph title or the paragraph text so that the paragraph number will appear
on the submittal register. Tagging of the item in the paragraph title should
be the first choice.
4. Submittal Classifications:
a. Government approved is required for submittals with a "G" designation.
All submittals not requiring Government approval will be for information only.
The "G" Submittal Classification can only appear in the submittal paragraph
and must be included within a separate set of submittal tags immediately following
the submittal item.
b. A Reviewer designation should be used anytime the "G" designation is used.
The Reviewer is designated by inserting an identifier of three characters or
less (e.g. "AE") immediately following the "G" designation. The identifier
must be separated from the "G" designation by a space, comma, pipe symbol or
dash (a comma and a space are used in the guide specifications). The "G" and
the reviewer designation should be included within the same set of submittal
tags.
When the submittal register is generated, SPECSINTACT software searches by section
for the submittal paragraph within Part 1. Next it will search for submittal
tags within the paragraph and within the section and place the information on
the submittal register. Submittal registers generated through the QCS software
utilize the submittal file generated by the SPECSINTACT software.
Selection of construction or design-build construction text required.
At the end of this section is a submittal [register] [list] 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. [The Contractor shall maintain a submittal register for the project in accordance with Section
01 45 02.00 10
01 45 02.00 10
01 45 02.00 10 QUALITY CONTROL SYSTEM (QCS).][The Government will provide the initial submittal register in electronic
format. Thereafter, the Contractor shall maintain a complete list of all submittals, including completion of
all data columns. Dates on which submittals are received and returned by the Government will be included in
its export file to the Contractor. The Contractor shall track all submittals.]
The Designer of Record shall develop a complete list of submittals during design. The Designer of Record shall
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. The Contractor
is required to 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. The submit dates and
need dates used in the submittal register shall be coordinated with dates in the Contractor prepared progress
schedule. Updates to the submittal register showing the Contractor action codes and actual dates with Government
action codes and actual dates shall be submitted monthly or until all submittals have been satisfactorily completed.
When the progress schedule is revised, the submittal register shall also be revised and both submitted for approval.
1.14 SCHEDULING
Submittals covering component items forming a system or items that are interrelated shall be scheduled to be
coordinated and submitted concurrently. Certifications to be submitted with the pertinent drawings shall be
so scheduled. Adequate time (a minimum of [_____] calendar days exclusive of mailing time) shall be allowed
and shown on the register for review and approval. No delay damages or time extensions will be allowed for time
lost in late submittals. An additional [_____] calendar days shall be allowed and shown on the register for
review and approval of submittals for [food service equipment] [and] [refrigeration and HVAC control systems].
1.15 TRANSMITTAL FORM (ENG FORM 4025)
NOTE: ENG Form 4025 is not a part of this guide specification; the sample ENG
Form 4025 must be added to this section locally. If the Contractor is required
to use the QCS software for the contract, that system includes an electronic
version of ENG Form 4025.
The sample transmittal form (ENG Form 4025) attached to this section shall be used for submitting both Government
approved and information only submittals in accordance with the instructions on the reverse side of the form.
These forms [will be furnished to the Contractor][are included in the QCS software that the Contractor is required
to use for this contract]. This form shall be properly completed by filling out all the heading blank spaces
and identifying each item submitted. Special care shall be exercised to ensure proper listing of the specification
paragraph and/or sheet number of the contract drawings pertinent to the data submitted for each item.
1.16 SUBMITTAL PROCEDURES
Submittals shall be made as follows:
1.16.1 Procedures
NOTE: Add applicable procedures, including where to be submitted and number
of copies required.
[_____][_____][The Government will further discuss detailed submittal procedures with the Contractor at the
[Preconstruction Conference][Post-Award Conference]].
1.16.2 Deviations
For submittals which include proposed deviations requested by the Contractor, the column "variation" of ENG Form
4025 shall be checked. The Contractor shall 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.
1.17 CONTROL OF SUBMITTALS
The Contractor shall carefully control his procurement operations to ensure that each individual submittal is
made on or before the Contractor scheduled submittal date shown on the approved "Submittal Register."
1.18 GOVERNMENT APPROVED SUBMITTALS
NOTE: Selection of construction or design-build construction text required.
Upon completion of review of submittals requiring Government approval, the submittals will be identified as having
received approval by being so stamped and dated. [_____] 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 so identified and
returned, as described above.
1.19 INFORMATION ONLY SUBMITTALS
NOTE: Selection of construction or design-build construction text required.
Normally submittals for information only will not be returned. Approval of the Contracting Officer is not required
on information only submittals. The Government reserves the right to require the Contractor to resubmit any
item found not to comply with the contract. This does not relieve the Contractor from the obligation to furnish
material conforming to the plans and specifications; will not prevent the Contracting Officer from requiring
removal and replacement of nonconforming material incorporated in the work; and does not relieve the Contractor
of the requirement to furnish samples for testing by the Government laboratory or for check testing by the Government
in those instances where the technical specifications so prescribe.
For design-build construction the Government
will retain [_____] copies of information only submittals.
1.20 STAMPS
NOTE: Selection of construction or design-build construction text required.
Stamps used by the Contractor on the submittal data to certify that the submittal meets contract requirements
shall be similar to the following:
________________________________________________________________________
| CONTRACTOR |
| |
| (Firm Name) |
| |
| |
| |
| _____ Approved |
| |
| |
| _____ Approved with corrections as noted on submittal data and/or |
| attached sheets(s). |
| |
| |
| |
| SIGNATURE: __________________________________________________________ |
| |
| TITLE: ______________________________________________________________ |
| |
| DATE: _______________________________________________________________ |
| |
|________________________________________________________________________|
For design-build construction, both the Contractor Quality Control System Manager and the Designer of Record
shall stamp and sign to certify that the submittal meets contract requirements.
1.21 PREPARATION
1.21.1 Marking
Prepare, review and stamp with Contractor's approval all specified submittals.
Permanently mark each submittal to identify it by contract number; transmittal date; Contractor's, Subcontractor's,
and supplier's name, address(es) and telephone number(s); submittal name; specification or drawing reference;
and similar information to distinguish it from other submittals. Submittal identification shall include space
to receive the review action by the Contracting Officer.
1.21.2 Drawing Format
Drawing submittals shall be prepared on translucent, reproducible sheets, not less than 210 by 279 millimeter
8-1/2 by 11 inches nor larger than 841 by 1189 millimeter 30 by 42 inches in size, except for full size patterns
or templates. Drawings shall be prepared to accurate size, with scale indicated, unless other form is required.
Drawing reproducibles shall be suitable for microfilming and reproduction on the Diazo or Ozalid machines and
shall be of a quality to produce clear, distinct lines and letters. Drawings shall have dark lines on a white
background.
Copies of each drawing shall have the following information clearly marked thereon:
a. Job name, which shall be the general title of the contract drawings.
b. Date of the drawings and revisions.
c. Name of Contractor.
d. Name of Subcontractor.
e. Name of the item, material, or equipment detailed thereon.
f. Submittal number (e.g., first submittal to last submittal) in a uniform location adjacent
to the title block.
g. Specification section to which submittal applies.
h. Government contract number shall appear in the margin, immediately below the title block.
Drawings shall be numbered in logical sequence. Contractor may use his own number system. Each drawing shall
bear the number of the submittal in a uniform location adjacent to the title block. Government contract number
shall appear in the margin, immediately below the title block, for each drawing.
A blank space, no smaller than [_____] millimeter inches shall be reserved on the right hand side of each sheet
for the Government disposition stamp.
1.21.3 Data Format
Required data submittals for each specific material, product, unit of work, or system shall be collected into
a single submittal and marked for choices, options, and portions applicable to the submittal. Marking of each
copy of product data submitted shall be identical. Partial submittals will [not] be accepted for expedition
of construction effort.
1.21.4 Samples
Samples shall be physically identical with the proposed material or product to be incorporated in the work, fully
fabricated and finished in the specified manner, and full scale. Where variations in color, finish, pattern,
or texture are inherent in the material or product represented by the sample, multiple units of the sample, showing
the near-limits of the variations and the "average" of the whole range (not less than 3 units), shall be submitted.
Each unit shall be marked to describe its relation to the range of the variation. Where samples are specified
for selection of color, finish, pattern, or texture, the full set of available choices shall be submitted for
the material or product specified. Sizes and quantities of samples shall represent their respective standard
unit.
1.22 SUBMISSION REQUIREMENTS
NOTE: Quantities and procedures should be modified to suit project requirements
and the applicable user's procedures.
1.22.1 Schedules
NOTE: Delete this part if submittal schedule is specified elsewhere or is not
required due to size or nature of the project.
[Within 30 calendar days of notice to proceed] [Within 15 calendar days of notice to proceed] [At the Preconstruction
conference], provide, for approval by the Contracting Officer, the following schedule of submittals:
a. A schedule of shop drawings and technical submittals required by the specifications and
drawings. Indicate the specification or drawing reference requiring the submittal; the material,
item, or process for which the submittal is required; the "SD" number and identifying title
of the submittal; the Contractor's anticipated submission date and the approval need date.
b. A separate schedule of other submittals required under the contract but not listed in the
specifications or drawings. Schedule will indicate the contract requirement reference; the
type or title of the submittal; the Contractor's anticipated submission date and the approved
need date (if approval is required).
c. Submittals called for by the contract documents will be listed on one of the above schedules.
If a submittal is called for but does not pertain to the contract work, the Contractor shall
include the submittal in the applicable schedule and annotate it "N/A" with a brief explanation.
Approval of the schedules by the Contracting Officer does not relieve the Contractor of supplying
submittals required by the contract documents but which have been omitted from the schedules
or marked "N/A".
d. Re-submit copies of both schedules and annotate monthly by the Contractor with actual submission
and approval dates. When all items on a schedule have been fully approved, no further re-submittal
of the schedule is required.
1.22.2 Drawings Submittals
Submit [[_____] translucent reproducible copy(s)] [and] [[_____] blackline or blueline opaque print(s)] of each
drawing. [_____] prints, marked with review notations by the Contracting Officer, will be returned to the Contractor.
All required installation, fabrication and connection drawings shall be submitted and approved prior to the start
of work detailed on these drawings.
1.22.3 Data Submittals
Submit [Five] [_____] complete sets of indexed and bound product data. [One] [_____] set, marked with review
notations by the Contracting Officer, will be returned to the Contractor.
1.22.4 Samples
Submit one set of identified samples. A copy of the transmittal form, marked with review notations including
selections by the Contracting Officer, will be returned to the Contractor.
Samples that are intended or permitted to be returned and actually incorporated in the work are so indicated
in the individual technical sections. These samples will be returned to the Contractor, at his expense, to be
clearly labeled, with installation location recorded. Samples shall be in undamaged condition at the time of
installation.
Where mockups and similar large samples are required by individual technical sections, it is recognized that
these are a special type of sample which cannot be readily "transmitted" as specified for submittal of samples.
Otherwise, and except as indicated in the individual technical sections, the requirements for samples shall be
complied with and a transmittal form shall be processed for each mockup, to provide a record of the activity.
1.23 GOVERNMENT'S REVIEW
1.23.1 Review Notations
Contracting Officer will review submittals and provide pertinent notation within [_____] calendar days after
date of submission. Submittals will be returned to the Contractor with the following notations:
a. Submittals marked "approved" authorize the Contractor to proceed with the work covered.
b. Submittals marked "approved as noted" authorize the Contractor to proceed with the work
covered provided he takes no exception to the corrections. Notes shall be incorporated prior
to submission of the final submittal.
c. Submittals marked "return for correction" require the Contractor to make the necessary corrections
and revisions and to re-submit them for approval in the same routine as before, prior to proceeding
with any of the work depicted by the submittal.
d. Submittals marked "not approved" or "disapproved" indicate noncompliance with the contract
requirements and shall be re-submitted with appropriate changes. No item of requiring a submittal
shall be accomplished until the submittals are approved or approved as noted.
e. 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"
shall be given to the Contracting Officer. Approval of the submittals by the Contracting Officer
shall not be construed as a complete check, but will indicate only that the general method of
construction and detailing is satisfactory. Contractor shall be 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.
f. If changes are necessary to approved 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 shall be accomplished until the changed submittals are approved.
1.23.2 Sample Approval
Furnish, for the approval of the Contracting Officer, samples required by the specifications or by the Contracting
Officer. Shipping charges shall be paid by the Contractor. Materials or equipment requiring sample approval
shall not be delivered to the site or used in the work until approved in writing by the Contracting Officer.
Each sample shall have a label indicating:
a. Name of project
b. Name of Contractor
c. Material or equipment
d. Place of origin
e. Name of producer and brand
f. Specification section to which samples applies
g. Samples of furnished material shall have additional markings that will identify them under
the finished schedules.
Contractor shall submit to the Contracting Officer two samples of materials where samples are requested. Transmit
to the Contracting Officer with each sample a letter, original and two copies, containing the above information.
Approval of a sample shall be only for the characteristics or use named in such approval and shall 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.
Materials and equipment incorporated in the work shall match the approved samples. 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.
Variations from contract requirements shall be specifically pointed out 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.
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
shall replace such materials or equipment to meet contract requirements.
Approval of the Contractor's samples by the Contracting Officer shall not relieve the Contractor of his responsibilities
under the contract.
NOTE: Selection between the use of progress schedule must be coordinated with
project management.
1.24 PROGRESS SCHEDULE
1.24.1 Bar Chart
[a. Submit the progress chart, for approval by the Contracting Officer, at the Preconstruction
Conference in one reproducible and 4 copies.
b. Prepare the progress chart in the form of a bar chart utilizing form "Construction Progress
Chart" or comparable format acceptable to the Contracting Officer.
c. Include no less than the following information on the progress chart:
(1) Break out by major headings for primary work activity.
(2) A line item break out under each major heading sufficient to track the progress of the
work.
(3) A line item showing contract finalization task which includes punch list, clean-up and
demolition, and final construction drawings.
(4) A materials bar and a separate labor bar for each line item. Both bars will show the scheduled
percentage complete for any given date within the contract performance period. Labor bar will
also show the number of men (man-load) expected to be working on any given date within the contract
performance period.
(5) The estimated cost and percentage weight of total contract cost for each materials and
labor bar on the chart.
(6) Separate line items for mobilization and drawing submittal and approval. (These items
are to show no associated costs.)
d. Update the progress schedule in one reproduction and 4 copies every 30 calendar days throughout
the contract performance period.]
1.24.2 Project Network Analysis
[Submit the initial progress schedule within 21 calendar days of notice to proceed. Schedule shall be updated
and resubmitted monthly beginning 7 calendar days after return of the approved initial schedule. Updating shall
entail complete revision of the graphic and data displays incorporating changes in scheduled dates and performance
periods. Redlined updates will only be acceptable for use as weekly status reviews.
Contractor shall provide a single point contact from his on-site organization as his Schedule Specialist. Schedule
Specialist shall have the responsibility of updating and coordinating the schedule with actual job conditions.
Schedule Specialist shall participate in weekly status meetings and present current information on the status
of purchase orders, shop drawings, off-site fabrication, materials deliveries, Subcontractor activities, anticipated
needs for Government furnished equipment, and any problem which may impact the contract performance period.
Include the following in the project network analysis:
a. Graphic display shall be a standard network or arrow diagram capable of illustrating the
required data. Drafting shall be computer generated on standard 609 by 914 millimeter 24 by
36 inch (nominal size) drafting sheets or on small ( 279 by 432 millimeter11 by 17 inch minimum)
sheets with separate overview and detail breakouts. Provide a project network analysis that
is legible with a clear, consistent method for continuations and detail referencing. Clearly
delineate the critical path on the display. Clearly indicate the contract milestone date on
the project network analysis graphic display.
b. Data shall be presented as a separate printout on paper or, where feasible, may be printed
on the same sheet as the graphic display. Data shall be organized in a logical coherent display
capable of periodic updating.
c. Data shall include verbal activity descriptions with a numerical ordering system cross referenced
to the graphic display. 7Additionally, costs (broken down into separate materials and labor
costs), duration, early start date, early finish date, late start date, late finish date, and
float shall be detailed for each activity. A running total of the percent completion based
on completed activity costs versus total contract cost shall be indicated. A system for indicating
scheduled versus actual activity dates and durations shall be provided.
d. Schedule shall be of sufficient detail to facilitate the Contractor's control of the job
and to allow the Contracting Officer to readily follow progress for portions of the work.]
1.25 STATUS REPORT ON MATERIALS ORDERS
Within [_____] calendar days after notice to proceed, submit, for approval by the Contracting Officer, an initial
material status report on all materials orders. This report will be updated and re-submitted every [_____] calendar
days as the status on material orders changes.
Report shall list, in chronological order by need date, materials orders necessary for completion of the contract.
The following information will be required for each material order listed:
a. Material name, supplier, and invoice number.
b. Bar chart line item or CPM activity number affected by the order.
c. Delivery date needed to allow directly and indirectly related work to be completed within
the contract performance period.
d. Current delivery date agreed on by supplier.
e. When item d exceeds item c, the effect that delayed delivery date will have on contract
completion date.
f. When item d exceeds item c, a summary of efforts made by the Contractor to expedite the
delayed delivery date to bring it in line with the needed delivery date, including efforts made
to place the order (or subcontract) with other suppliers.