1、*USACE / NAVFAC / AFCESA / NASA UFGS-01 33 00 (February 2011)-Preparing Activity: NASA SupersedingUFGS-01 33 00 (June 2010)UNIFIED FACILITIES GUIDE SPECIFICATIONS*SECTION TABLE OF CONTENTSDIVISION 01 - GENERAL REQUIREMENTSSECTION 01 33 00SUBMITTAL PROCEDURES02/11PART 1 GENERAL1.1 DEFINITIONS1.1.1 Su
2、bmittal Descriptions (SD)1.1.2 Approving Authority1.1.3 Work1.2 SUBMITTALS1.3 SUBMITTAL CLASSIFICATION1.3.1 Designer of Record Approved (DA)1.3.2 Government Approved G1.3.3 Government Conformance Review of Design (CR)1.3.4 Designer of Record Approved/Government Conformance Review (DA/CR)1.3.4.1 Devi
3、ations to the Accepted Design1.3.4.2 Substitutions1.3.5 Designer of Record Approved/Government Approved (DA/GA)1.3.6 Information Only1.4 FORWARDING SUBMITTALS REQUIRING GOVERNMENT APPROVAL1.4.1 Submittals Required from the Contractor1.4.1.1 O descriptive literature including (but not limited to) cat
4、alog 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 thereby. Pick u
5、p 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.1.1 DEFINITIONS1.1.1 Submittal Descriptions (SD)Submittals requirements are specified in the technical sections. Submittals
6、 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 FACILIT
7、IES 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 construction o
8、n 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 SubcontractorsList of
9、proposed productsConstruction Progress ScheduleNetwork Analysis Schedule (NAS)Submittal registerSchedule of pricesSECTION 01 33 00 Page 4Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Health and safety planWork planQuality Control(QC) planEnvironmen
10、tal 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 system into th
11、e 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 other charact
12、eristics 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 aesthetic chara
13、cteristics 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 project site
14、 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 pertaining to
15、 a part of work.Design submittals, design substantiation submittals and extensions of design submittals.SD-06 Test ReportsReport signed by authorized official of testing laboratory that a material, product or system identical to the material, product or SECTION 01 33 00 Page 5Provided by IHSNot for
16、ResaleNo reproduction or networking permitted without license from IHS-,-,-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 perfor
17、med 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
18、 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 requirements. Mu
19、st 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 procedure
20、s, 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, hazards
21、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 installation, to con
22、firm 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.Factory test reports.SD-10 O
23、peration and Maintenance DataData that is furnished by the manufacturer, or the system provider, to the equipment operating and maintenance personnel, including SECTION 01 33 00 Page 6Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-manufacturers help
24、 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
25、 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. Also, submit
26、tal 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.1.1.2 Approving AuthorityOffice or designated person authorized to approve submittal.1.1.3 WorkAs used
27、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 constructio
28、n.1.2 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
29、 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 project.For sub
30、mittals 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“
31、for District Office (Engineering Division or other organization in the SECTION 01 33 00 Page 7Provided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-District Office); “AO“ for Area Office; “RO“ for Resident Office; and “PO“ for Project Office. Codes followi
32、ng 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“ des
33、ignation 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 Register; G; G,
34、 _1.3 SUBMITTAL CLASSIFICATIONSubmittals are classified as follows:1.3.1 Designer of Record Approved (DA)Designer of Record (DOR) approval is required for extensions of design, critical materials, any deviations from the solicitation, the accepted proposal, or the completed design, equipment whose c
35、ompatibility with the entire system must be checked, and other items as designated by the Contracting Officer. Within the terms of the Contract Clause entitled, “Specifications and Drawings for Construction,“ they are considered to be “shop drawings.“ Contractor to provide the Government with the nu
36、mber of copies designated hereinafter of all DOR approved submittals. The Government may review any or all Designer of Record approved submittals for conformance to the Solicitation, Accepted Proposal and the completed design. The Government will review all submittals designated as deviating from th
37、e 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.1.3.2 Government Approved GGovernment approval is required for extensions of desi
38、gn, 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 Contr
39、acting Officer. Within the terms of the Contract Clause entitled, “Specifications and Drawings for Construction,“ they are considered to be “shop drawings.“1.3.3 Government Conformance Review of Design (CR)The Government will review all intermediate and final design submittals for conformance with t
40、he 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 conformance with the applicable codes, standards and contract requirements. Design data includes the design SECTION 01 33 00 Page 8Prov
41、ided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-documents described in Section 01 33 16 DESIGN AFTER AWARD. Generally, design submittals should be identified as SD-05 Design Data submittals.1.3.4 Designer of Record Approved/Government Conformance Review
42、(DA/CR)1.3.4.1 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 installation
43、. 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 Officers Repre
44、sentative prior to officially submitting it to the Government. However, the Government reserves the right to review the submittal before providing an opinion, if deemed necessary. In any case, the Government will not formally agree to or provide a preliminary opinion on any deviation without the DOR
45、s approval or recommended approval. The Government reserves the right to non-concur with any deviation from the design, which may impact furniture, furnishings, equipment selections or operations decisions that were made, based on the reviewed and concurred design.1.3.4.2 SubstitutionsUnless prohibi
46、ted or provided for otherwise elsewhere in the Contract, where the accepted contract proposal named products, systems, materials or equipment by manufacturer, brand name and/or by model number or other specific identification, and the Contractor desires to substitute manufacturer or model after awar
47、d, 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 considered a “v
