REG UFGS-01 33 00-2011 SUBMITAL PROCEDURES.pdf

1、*USACE / NAVFAC / AFCESA / NASA UFGS-01 33 00 (May 2011)-Preparing Activity: NASA SupersedingUFGS-01 33 00 (February 2011)UNIFIED FACILITIES GUIDE SPECIFICATIONS*SECTION TABLE OF CONTENTSDIVISION 01 - GENERAL REQUIREMENTSSECTION 01 33 00SUBMITTAL PROCEDURES05/11PART 1 GENERAL1.1 SUMMARY1.2 DEFINITIO

2、NS1.2.1 Submittal Descriptions (SD)1.2.2 Approving Authority1.2.3 Work1.3 SUBMITTALS1.4 SUBMITTAL CLASSIFICATION1.4.1 Designer of Record Approved (DA)1.4.2 Government Approved G1.4.3 Government Conformance Review of Design (CR)1.4.4 Designer of Record Approved/Government Conformance Review (DA/CR)1.

3、4.4.1 Deviations to the Accepted Design1.4.4.2 Substitutions1.4.5 Designer of Record Approved/Government Approved (DA/GA)1.4.6 Information Only1.5 FORWARDING SUBMITTALS REQUIRING GOVERNMENT APPROVAL1.5.1 Submittals Required from the Contractor1.5.1.1 O descriptive literature including (but not limit

4、ed to) catalog cuts, diagrams, operating charts or curves; test reports; test cylinders; samples; O 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 there

5、by. Pick up and dispose of samples not incorporated into the work in accordance with manufacturers Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.1.2 DEFINITIONS1.2.1 Submittal Descriptions (SD)Submittals requirements are specified in the technical sections.

6、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 UNIFI

7、ED FACILITIES GUIDE SPECIFICATIONS (UFGS) FORMAT STANDARD for additional information.*SD-01 Preconstruction SubmittalsSubmittals which are required prior to start of construction (work) issuance of contract notice to proceed.or commencing work on site.or the start of the next major phase of the cons

8、truction on a multi-phase contract, includes schedules, tabular list of data, or tabular list including location, features, or other pertinent information regarding products, materials, equipment, or components to be used in the work.Certificates of insuranceSurety bondsList of proposed Subcontracto

9、rsList of proposed productsConstruction Progress ScheduleSECTION 01 33 00 Page 4Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Network Analysis Schedule (NAS)Submittal registerSchedule of pricesHealth and safety planWork planQuality Control(QC) plan

10、Environmental protection planSD-02 Shop DrawingsDrawings, 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 syst

11、em into the project.Drawings prepared by or for the Contractor to show how multiple systems and interdisciplinary work will be coordinated.SD-03 Product DataCatalog cuts, illustrations, schedules, diagrams, performance charts, instructions and brochures illustrating size, physical appearance and oth

12、er 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 SamplesFabricated or unfabricated physical examples of materials, equipment or workmanship that illustrate functional and aesth

13、etic characteristics of a material or product and establish standards by which the work can be judged.Color samples from the manufacturers 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 pr

14、oject 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 DataDesign calculations, mix designs, analyses or other data per

15、taining to a part of work.Design submittals, design substantiation submittals and extensions of SECTION 01 33 00 Page 5Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-design submittals.SD-06 Test ReportsReport signed by authorized official of testing

16、 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

17、 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.

18、Daily logs and checklists.Final acceptance test and operational test procedure.SD-07 CertificatesStatements printed on the manufacturers letterhead and signed by responsible officials of manufacturer of product, system or material attesting that product, system or material meets specification requir

19、ements. 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

20、 procedures, acceptability of methods or personnel qualifications.Confined space entry permits.Text of posted operating instructions.SD-08 Manufacturers InstructionsPreprinted material describing installation of a product, system or material, including special notices and (MSDS)concerning impedances

21、, hazards and safety precautions.SD-09 Manufacturers Field ReportsDocumentation of the testing and verification actions taken by manufacturers 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 installati

22、on, to confirm compliance with manufacturers 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.SECTION 01 33 00 P

23、age 6Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Factory test reports.SD-10 Operation and Maintenance DataData that is furnished by the manufacturer, or the system provider, to the equipment operating and maintenance personnel, including manufact

24、urers 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

25、or control system.SD-11 Closeout SubmittalsDocumentation 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. Al

26、so, submittal requirements necessary to properly close out a major phase of construction on a multi-phase contract.Interim “DD Form 1354“ with cost breakout for all assets 30 days prior to facility turnover.1.2.2 Approving AuthorityOffice or designated person authorized to approve submittal.1.2.3 Wo

27、rkAs 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 c

28、onstruction.1.3 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

29、 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 Contractors QC system. Only add a “G” if the submittal is sufficiently important or complex in context of the proje

30、ct.For submittals requiring Government approval on Army projects, a code of up to three characters within SECTION 01 33 00 Page 7Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-the submittal tags may be used following the “G“ designation to indicate

31、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. Cod

32、es 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

33、 a “G“ designation are for Contractor QC approval.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 SubmittalsSubmittal Regis

34、ter; G; G, _1.4 SUBMITTAL CLASSIFICATIONSubmittals are classified as follows:1.4.1 Designer of Record Approved (DA)Designer of Record (DOR) approval is required for extensions of design, critical materials, any deviations from the solicitation, the accepted proposal, or the completed design, equipme

35、nt whose compatibility with the entire system must be checked, and other items as designated by the Contracting Officer. Within the terms of the Contract Clause entitled, “Specifications and Drawings for Construction,“ they are considered to be “shop drawings.“ Contractor to provide the Government w

36、ith the number of copies designated hereinafter of all DOR approved submittals. The Government may review any or all Designer of Record approved submittals for conformance to the Solicitation, Accepted Proposal and the completed design. The Government will review all submittals designated as deviati

37、ng from the Solicitation or Accepted Proposal, as described below. Design submittals to be in accordance with Section 01 33 16 DESIGN AFTER AWARD. Generally, design submittals should be identified as SD-05 Design Data submittals.1.4.2 Government Approved GGovernment approval is required for extensio

38、ns 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

39、 the Contracting Officer. Within the terms of the Contract Clause entitled, “Specifications and Drawings for Construction,“ they are considered to be “shop drawings.“SECTION 01 33 00 Page 8Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-1.4.3 Governm

40、ent Conformance Review of Design (CR)The Government will review all intermediate and final design submittals for conformance with the technical requirements of the solicitation. Section 01 33 16 DESIGN AFTER AWARD covers the design submittal and review process in detail. Review will be only for conf

41、ormance with the applicable codes, standards and contract requirements. Design data includes the design documents described in Section 01 33 16 DESIGN AFTER AWARD. Generally, design submittals should be identified as SD-05 Design Data submittals.1.4.4 Designer of Record Approved/Government Conforman

42、ce Review (DA/CR)1.4.4.1 Deviations to the Accepted DesignDesigner of Record approval and the Governments concurrence are required for any proposed deviation from the accepted design which still complies with the contract before the Contractor is authorized to proceed with material acquisition or in

43、stallation. Within the terms of the Contract Clause entitled, “Specifications and Drawings for Construction“, they are considered to be “shop drawings.“ If necessary to facilitate the project schedule, the Contractor and the DOR may discuss a submittal proposing a deviation with the Contracting Offi

44、cers Representative prior to officially submitting it to the Government. However, the Government reserves the right to review the submittal before providing an opinion, if deemed necessary. In any case, the Government will not formally agree to or provide a preliminary opinion on any deviation witho

45、ut the DORs approval or recommended approval. The Government reserves the right to non-concur with any deviation from the design, which may impact furniture, furnishings, equipment selections or operations decisions that were made, based on the reviewed and concurred design.1.4.4.2 SubstitutionsUnle

46、ss prohibited or provided for otherwise elsewhere in the Contract, where the accepted contract proposal named products, systems, materials or equipment by manufacturer, brand name and/or by model number or other specific identification, and the Contractor desires to substitute manufacturer or model

47、after award, submit a requested substitution for Government concurrence. Include substantiation, identifying information and the DORs approval, as meeting the contract requirements and that it is equal in function, performance, quality and salient features to that in the accepted contract proposal. If the Contract otherwise prohibits substitutions of equal named products, systems, materials or equipment by manufacturer, brand name and/or by model number or other specific identification, the request is cons