USACE / NAVFAC / AFCEC / NASA UFGS-01 33 00 (Sept 2014)
Change 2 - 11/12
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Preparing Activity: USACE LRC Superseding
UFGS-01 33 00 (February 2011)
UNIFIED FACILITIES GUIDE SPECIFICATIONS
SECTION 01 33 00
SUBMITTAL PROCEDURES
09/14
NOTE: This guide specification covers the requirements for general procedures regarding submittals, data normally
submitted for review to establish conformance with the design concept and contract documents, called for in other
sections of the specifications.
Adhere to UFC 1-300-02 Unified Facilities Guide Specifications (UFGS) Format Standard when editing this guide
specification or preparing new project specification sections. Edit this guide specification for project specific
requirements by adding, deleting, or revising text. For bracketed items, choose applicable items(s) or insert
appropriate information.
Remove information and requirements not required in respective project, whether or not brackets are present.
Comments, suggestions and recommended changes for this guide specification are welcome and should be submitted
as a Criteria Change Request (CCR).
This guide specification includes tailoring options for Army, Navy, NASA and for NAVFAC component requirements.
Army tailoring options also include DESIGN-BUILD (DB) and DESIGN-BID-BUILD, and at least one of these options
must be deselected. Do not use this section for Navy DB projects. Use the DB specs in the NAVFAC DB Master posted
within the Whole Building Design Guide. Selection or deselection of a tailoring option will include or exclude
that option in the section, but editing the resulting section to fit the project is still required.
PART 1 GENERAL
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 to 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. Pick
up and dispose of samples not incorporated into the work in accordance with manufacturer's Material Safety Data Sheets (MSDS) and in compliance
with existing laws and regulations.
DEFINITIONS
Submittal Descriptions (SD)
Submittals requirements are specified in the technical sections. Submittals are identified by Submittal Description (SD) numbers and titles as
follows:
NOTE: The SD numbers and names, assigned by the SPECSINTACT Configuration, Control and Coordinating Board, relate
to the terminology of the technical sections and should not be changed. Refer to UFC 1-300-02 UNIFIED FACILITIES
GUIDE SPECIFICATIONS (UFGS) FORMAT STANDARD for additional information.
SD-01 Preconstruction Submittals
Submittals which are required prior to commencing work on site. 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.
Certificates of insurance
Surety bonds
List of proposed Subcontractors
List of proposed products
Construction progress schedule
Network Analysis Schedule (NAS)
Submittal register
Schedule of prices
Health and safety plan
Work plan
Quality Control(QC) plan
Environmental protection plan
SD-02 Shop Drawings
Drawings, diagrams and schedules specifically prepared to illustrate some portion of the work.
Diagrams and instructions from a manufacturer or fabricator for use in producing the product and as aids to the Contractor for integrating
the product or system into the project.
Drawings prepared by or for the Contractor to show how multiple systems and interdisciplinary work will be coordinated.
SD-03 Product Data
Catalog cuts, illustrations, schedules, diagrams, performance charts, instructions and brochures illustrating size, physical appearance
and other characteristics of materials, systems or equipment for some portion of the work.
Samples of warranty language when the contract requires extended product warranties.
SD-04 Samples
Fabricated or unfabricated physical examples of materials, equipment or workmanship that illustrate functional and aesthetic characteristics
of a material or product and establish standards by which the work can be judged.
Color samples from the manufacturer's standard line (or custom color 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 (MSDS)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.
Approving Authority
Office or designated person authorized to approve submittal.
Work
As used in this section, on- and off-site construction required by contract documents, including labor necessary to produce submittals, except
those SD-01 Pre-Construction Submittals noted above, construction, materials, products, equipment, and systems incorporated or to be incorporated
in such construction.
SUBMITTALS
NOTE: Submittals must be limited to those necessary for adequate quality control. The importance of an item
in the project should be one of the primary factors in determining if a submittal for the item should be required.
A “G” following a submittal item indicates that the submittal requires Government approval. Some submittals are
already marked with a “G”. Only delete an existing “G” if the submittal item is not complex and can be reviewed
through the Contractor’s QC system. Only add a “G” if the submittal is sufficiently important or complex in context
of the project.
For submittals requiring Government approval on Army projects, a code of up to three characters within the submittal
tags may be used following the "G" designation to indicate the approving authority. Codes for Army projects using
the Resident Management System (RMS) are: "AE" for Architect-Engineer; "DO" for District Office (Engineering
Division or other organization in the District Office); "AO" for Area Office; "RO" for Resident Office; and "PO"
for Project Office. Codes following the "G" typically are not used for Navy, Air Force and NASA projects.
Choose the first bracketed item for Navy, Air Force and NASA projects, or choose the second bracketed item for
Army projects.
Government approval is required for submittals with a "G" designation; submittals not having a "G" designation are for information only. When
used, a designation following the "G" designation identifies the office that will review the submittal for the Government. Submit the following
in accordance with this section.
SD-01 Preconstruction Submittals
Submittal Register; G, C[]
SUBMITTAL CLASSIFICATION
Submittals are classified as follows:
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 entitled, "Specifications and
Drawings for Construction," they are considered to be "shop drawings."
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 above.
PREPARATION
Transmittal Form
NOTE: Use the following paragraph for Army projects only. 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.
Use the attached sample transmittal form (ENG Form 4025) for submitting both Government approved and information only submittals in accordance
with the instructions on the reverse side of the form. These forms are included in the QCS software that the Contractor is required to use for
this contract. Properly complete this form by filling out all the heading blank spaces and identifying each item submitted. Exercise special
care to ensure proper listing of the specification paragraph and sheet number of the contract drawings pertinent to the data submitted for each
item.
Identifying Submittals
When submittals are provided by a Subcontractor, the Prime Contractor is to prepare, review and stamp with Contractor's approval all specified
submittals prior to submitting for Government approval.
Identify submittals, except sample installations and sample panels, with the following information permanently adhered to or noted on each separate
component of each submittal and noted on transmittal form. Mark each copy of each submittal identically, with the following:
a. Project title and location.
b. Construction contract number.
c. Date of the drawings and revisions.
d. Name, address, and telephone number of subcontractor, supplier, manufacturer and any other subcontractor associated with the submittal.
e. Section number of the specification section by which submittal is required.
f. Submittal description (SD) number of each component of submittal.
g. When a resubmission, add alphabetic suffix on submittal description, for example, submittal 18 would become 18A, to indicate resubmission.
h. Product identification and location in project.
WITHHOLDING OF PAYMENT
Payment for materials incorporated in the work will not be made if required approvals have not been obtained.
DELIVERABLES
Format
NOTE: ConOps revise electronic submittals quantity of hard copies
Provide submittals in both paper and electronic formats. Email electronic submittals under 10MB. Electronic submittals over 10MB provide on CD/DVD,
or provide USACE access to the Contractor's electronic file sharing system. The preferred method for delivery of electronic submittal files over
10MB and access to the electronic file sharing system will be discussed during the preconstruction meeting.
Electronic formats must be in Adobe.PDF format, unless otherwise specified or directed by the Contracting Officer. The electronic version of the
document must be complied as a single, complete document. The electronic file must be named according to the transmittal number, revision number
and name of the submittal, beginning with the submittal number. (i.e. 01 45 00.00-1.2_Quality Control Plan.pdf). Provide two (2) hard copies of
each submittal in addition to the electronic copy. Up to eight (8) additional hard copy submittals may be requested from the Contractor at the
discretion of the COR, at no additional cost to the Government.
Quantity
In addition to the required two (2) hard copies, two (2) additional hard copy submittals (4 total), are required for the following submittals:
Accident Prevention Plan (APP), Operation and Maintenance Data/Manuals, Quality Control Plan (QCP), Shop Drawings and As-Built Drawings. Upon
Government approval, submit an electronic copy (PDF format) and an additional eight (8) hard copies of the approved Operation & Maintenance
Data/Manuals and an additional four (4) hard copies of the approved Shop Drawings."
Address
Submittals designated for hard-copy submission must be sent to the following address in the number of copies specified:
[US Army Corps of Engineers,
Calumet Area Office, 906 Griffith Boulevard, Griffith, IN 46319.]
[U.S. Army Corps of Engineers,
Northern Area Office, 620 Barry Road, Bldg. No. 158
Great Lakes, IL 60088]
[US Army Corps of Engineers,
McCook Resident Area Office, 7601 S. LaGrange Road, Willow Springs, IL 60480.]
SUBMITTAL REGISTER
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.
LRC (USACE Chicago District) uses the following Submittal Register Review Nomenclature for Government approved submittals:
G, (and one of the following) CC, CT, CM, CN, CS, SO, etc... Whereas:
CONSTRUCTION OPNS BR (TS-C)
CONSTRUCTION SECTION (TS-C-C) CC
OPERATIONS TECH SPT SECTION (TS-C-T) CT
GROUP #(NAVIGATION INFO)
CALUMET AREA OFFICE (TS-C-S) CS
MCCOOK AREA OFFICE (TS-C-M) CM
GREAT LAKES AREA OFFICE (TS-C-N) CN
DESIGN BRANCH (TS-D)
CIVIL DESIGN SECTION (TS-DC) DC
COST ENG & SPECS SECTION
GEOTECHNICAL SECTION (TS-DG) DG
HYD & ENVIRONMENTAL ENG SECTION (TS-DH)
ENVIRONMENTAL ENGINEERING HE
HYDRAULIC ENGINEERING HH
TECHNICAL DESIGN SECTION (TS-DT)
ELECTRICAL ENGINEERING DE
MECHANICAL ENGINEERING DM
STRUCTURAL ENGINEERING DS
SAFETY OFFICE (SO) SO
PLANNING BRANCH (PM-PL)
ENVIRONMENTAL FORMULATION PE
& ANALYSIS
ECONOMICAL FORMULATION PF
& ANALYSIS
REAL ESTATE (LRE-RE) RE
At the end of this section is a submittal register showing items of equipment and materials for which submittals are required by the specifications;
this list may not be all inclusive and additional submittals may be required. Maintain a submittal register for the project in accordance with
Section 01 45 00.10 QUALITY CONTROL SYSTEM (QCS).
SCHEDULING
Submittals covering component items forming a system or items that are interrelated must be scheduled to be coordinated and submitted concurrently.
Certifications to be submitted with the pertinent drawings must be so scheduled. Adequate time (a minimum of 30 calendar days exclusive of mailing
time) must 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.
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) and instructions are attached to this section must 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 are included in the QCS software
that the Contractor is required to use for this contract. This form must be properly completed by filling out all the heading blank spaces and
identifying each item submitted. Special care must 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.
DEVIATIONS
Submittals which include proposed deviations requested by the Contractor, the column "variation" of ENG Form 4025 must be checked. 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.
CONTROL OF SUBMITTALS
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."
GOVERNMENT APPROVED SUBMITTALS
Upon completion of review of submittals requiring Government approval, the
submittals will be identified as having received approval by being so
stamped and dated. All hard copy submittals will be retained by the Contracting Officer. For electronic submittals, the Government will return
only an electronic copy (PDF) or hard copy of the ENG 4025 transmittal form and the associated comment sheet.
INFORMATION ONLY SUBMITTALS
NOTE: Use the following paragraph for Army projects.
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.
VARIATIONS
Variations from contract requirements require Government approval pursuant to contract Clause FAR 52.236-21 and will be considered where advantageous
to Government.
Considering Variations
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 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.
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.
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 establish
that the variation, if incorporated, will be compatible with other elements of work.
Review Schedule Is Modified
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.
SUBMITTAL REGISTER
Prepare and maintain submittal register, as the work progresses. 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. A submittal register showing items of equipment and
materials for which submittals are required by the specifications is provided as an attachment. This list may not be all inclusive and additional
submittals may be required. Maintain a submittal register for the project in accordance with Section 01 45 00.10 QUALITY CONTROL SYSTEM (QCS).
The Government will provide the initial submittal register in electronic format with 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-02 Shop 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.
Thereafter, the Contractor is to track all submittals by maintaining a complete list, including completion of all data columns, including dates
on which submittals are received and returned by the Government.
Use of Submittal Register
Submit submittal register. Submit with QC plan and project schedule. Verify that all submittals required for project are listed and add missing
submittals. Coordinate and complete the following fields on the register submitted with the QC plan and the project schedule:
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.
Contractor Use of Submittal Register
Update the following fields with each submittal throughout contract.
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.
Approving Authority Use of Submittal Register
Update the following fields.
Column (b) Transmittal Number: Contractor assigned list of consecutive numbers.
Column (l) List date of submittal receipt.
Column (m) through (p) List Date related to review actions.
Column (q) List date returned to Contractor.
Action Codes
Entries for columns (j) and (o) are as follows (others may be prescribed by Transmittal Form):
Government Review Action Codes
"A" - "Approved as submitted"; "Completed"
"B" - "Approved, except as noted on drawings"; "Completed"
"C" - "Approved, resubmission required"; "Resubmit"
"D" - "Returned by correspondence"; "Completed"
"E" - "Disapproved (See attached)"; "Resubmit"
"F" - "Receipt acknowledged"; "Completed"
"G" - "Other (Specify)"; "Resubmit"
"X" - "Receipt acknowledged, does not comply"; "Resubmit"
Copies Delivered to the Government
NOTE: For NASA projects only. Include 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.
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. Submittals called for by the contract documents will be listed on the register. If a submittal is called for but does not pertain
to the contract work, the Contractor is to include the submittal in the register and annotate it "N/A" with a brief explanation. Approval
by the Contracting Officer does not relieve the Contractor of supplying submittals required by the contract documents but which have been
omitted from the register or marked "N/A."
c. Re-submit register and annotate monthly by the Contractor with actual submission and approval dates. When all items on the register
have been fully approved, no further re-submittal is required.
d. 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."
e. Except as specified otherwise, allow review period, beginning with receipt by approving authority, that includes 30 calendar days for
submittals for Contracting Officer approval. Period of review for submittals with Contracting Officer approval begins when Government
receives submittal from QC organization.
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.
f. For submittals requiring review by fire protection engineer, allow review period, beginning when Government receives submittal from
QC organization, of 45 working days for return of submittal to the Contractor.
g. Period of review for each resubmittal is the same as for initial submittal.
Within 30 calendar days of notice to proceed 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).
Reviewing, Certifying, Approving Authority
NOTE: Use this subpart for NAVFAC projects only.
The QC organization is 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.
Constraints
NOTE: Use this subpart for NAVFAC projects only.
Conform to provisions of this section, unless explicitly stated otherwise for submittals listed or specified in this contract.
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.
QC Organization Responsibilities
NOTE: Use this subpart for NAVFAC projects only.
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, "Approved Submittals," of the section."
(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 W912P6-14-C-xxxx, 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 W912P6-14-C-xxxx, 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 QC organization member designated in the approved QC plan is the person signing
certifying statements. The use of original ink for signatures is required. 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.
GOVERNMENT APPROVING AUTHORITY
When approving authority is Contracting Officer, the Government will:
a. Note date on which submittal was received from QC Manager.
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," of this section 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 approved submittal
will be retained by the Contracting Officer and zero copies of the submittal will be returned to the Contractor.
Review Notations
Contracting Officer review will be completed within 30 calendar days after date of submission. 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.
b. Submittals marked "approved as noted" "or approved except as noted, resubmittal not required," authorize the Contractor to proceed
with the work covered provided he takes no exception to the corrections.
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. Resubmit with appropriate changes. No work shall proceed for this item until resubmittal
is approved.
d. 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.
DISAPPROVED SUBMITTALS
Make corrections required by the Contracting Officer. If the Contractor considers any correction or notation on the returned submittals to constitute
a change to the contract drawings or specifications; 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, 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.
APPROVED SUBMITTALS
NOTE: For Navy or NASA projects choose construction text. On Army projects choose either construction or design-build
text.
The Contracting Officer's approval or acceptance of submittals is not to be construed as a complete check
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.
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.
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.
WITHHOLDING OF PAYMENT
NOTE: Choose either construction or design-build construction text.
Payment for materials incorporated in the work will not be made if required approvals have not been obtained.
STAMPS
NOTE: Use the following paragraph and stamps for Army projects only.
Stamps used by the Contractor on the submittal data to certify that the submittal meets contract requirements is to 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: _______________________________________________________________ |
| |
|________________________________________________________________________|
PART 2 PRODUCTS
Not Used
PART 3 EXECUTION
Not Used