NAVFAC Design-Build Model Request for Proposal - Test

PART 1 GENERAL

1.1 RELATED REQUIREMENTS

This section covers construction submittals that are not included in the design submittals.  Submit design submittals in accordance with 01 33 10.05 20 DESIGN SUBMITTAL PROCEDURES.  When using Unified Facility Guide Specifications (UFGS) sections that reference Section 01 33 00 SUBMITTAL PROCEDURES, change reference to this section, Section 01 33 00.05 20 CONSTRUCTION SUBMITTAL PROCEDURES.

1.2 SUBMITTAL DESCRIPTIONS (SD)

Submittal requirements are specified in Unified Facilities Guide Specifications (UFGS) in Part 2, GENERAL REQUIREMENTS; in references in Part 4 PERFORMANCE TECHNICAL SPECIFICATIONS; and in UFGSs in Part 5, PRESCRIPTIVE SPECIFICATIONS.  Submittals that are identified by SD numbers use descriptions of items included in submittal packages and titles as follow:

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.

SD-01 Preconstruction Submittals

NOTE:  For projects not within the scope of the LEED Rating System, a Commissioning Authority is not required.  When a Commissioning Authority is not used, delete the bracketed option for a Commissioning Plan.

Certificates of insurance.
Surety bonds.
List of proposed subcontractors.
List of proposed products.
Construction Progress Schedule.
Submittal register.
Schedule of values.
Health and safety plan.
Work plan.
Quality control [and Commissioning ]plan[s].
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 or equipment for some portion of the work.

Samples of warranty language when the contract requires extended product warranties.

SD-04 Samples

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

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 checklists.

Final acceptance test and operational test procedure.

SD-07 Certificates

Statements 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 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.

SD-08 Manufacturer's Instructions

Preprinted material describing installation of a product, system or material, including special notices and Material Safety Data sheets concerning impedances, hazards and safety precautions.

SD-09 Manufacturer's Field Reports

Documentation of the testing and verification actions taken by manufacturer's representative to confirm compliance with manufacturer's standards or instructions.

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. This data is needed by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item.

SD-11 Closeout Submittals

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

OMSI manuals submitted at various stages and progression of construction.

1.3 SUBMITTALS

NOTE:  A "G" following a submittal item indicates approval by the Government in RFP PART 2 specification sections.
 
The Contractor's Designer of Record (DOR) approves submittals with a "G" following the item in RFP PART 4 and RFP PART 5, except those reserved for Government approval.  Specify the Government approved items in this section.

NOTE:  Review submittal description (SD) definitions in this specification section and edit the following list to reflect only the submittals required for the project.  Submittals should be kept to the minimum required for adequate quality control.
 
A "G" following a Part 2 Specification Section 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 Contractors Quality Control system.  Only add a "G" if the submittal is sufficiently important or complex in context of the project.

The use of a "G" following a submittal indicates that an approval action is required, either by the Government or by the Contractor's Designer of Record (DOR) or QC Specialist.

Submit the following in accordance with the requirements of this section.

SD-01 Preconstruction Submittals

Submittal Register Format; G

1.3.1 Submittal Register

The submittal register will be prepared during the initial design stages of the project and indicate each design and construction submittal.  Maintain an electronic version of the submittal register as work progresses.  The DOR must assist the DQC in preparing the submittal register by determining all project submittals that require DOR approval.  The Contractor proposed submittal register format must include all types of information pertinent to the submittal process and be approved by the Contracting Officer prior to the first submission.

1.4 CONSTRUCTION QUALITY CONTROL

1.4.1 Contractor Reviewing, Certifying, Approving Authority

The QC organization is responsible for reviewing and certifying that submittals are in compliance with the contract requirements.

In RFP PART 4 PERFORMANCE TECHNICAL SPECIFICATIONS (PTS), there are UFGS specification sections required to be submitted as part of the design submittal.  Unless specified otherwise in this section, the Contractor's DOR is the approving authority for submittals listed in these UFGS specifications with a "G" designation, unless the DOR delegates to Contractor Quality Control approval. RFP Part 4 PTS sections also include submittals identified for DOR approval that are not denoted with a "G" designation, these submittals cannot be delegated for Contractor Quality Control approval.

If RFP PART 5 PRESCRIPTIVE SPECIFICATIONS are utilized in this RFP, the Contractor's DOR is the approving authority for submittals listed with a "G" designation, unless the DOR delegates to Contractor Quality Control approval.

DOR shall approve construction submittals that are incorporated in the design submittal prior to being submitted to the Government for design submittal approval. Indicate approval of these construction submittals on the accompanying submittal register for that design package.

Submittal items identified in RFP PARTS 2, 4, and 5 that are not identified with a "G" designation or not designated for DOR approval (in RFP Part 4) are for Contractor Quality Control approval.

Construction submittals that are approved by the DOR or certified by the QC are not required to be submitted to the Government for surveillance, except where specified in paragraph SUBMITTALS RESERVED FOR GOVERNMENT SURVEILLANCE.

1.4.2 Submittals Reserved for Government Approval

The Government is the approving authority for submittals with a "G" designation in RFP Part 2 GENERAL REQUIREMENTS specification sections.  Comply with additional Government approval requirements for Environmental submittals, as specified in RFP Part 2, Section 01 57 19.05 20 TEMPORARY ENVIRONMENTAL CONTROLS FOR DESIGN-BUILD and 01 57 19.01 20, SUPPLIMENTARY TEMPORARY ENVIRONMENTAL CONTROLS.

[In addition to the Government approvals required by RFP Part 2, GENERAL REQUIREMENTS, the following submittals shall be certified by the QC Manager and the DOR, and approved by the Contracting Officer.

NOTE:  List items, in the bracketed space below, that require Government review and approval.  Coordinate this paragraph with the requirements of RFP Part 3, PROJECT PROGRAM, ESR G40 and ESR D50, and RFP, Part 4, PERFORMANCE TECHNICAL SPECIFICATIONS.

NOTE:  Coordinate with the Electrical RFP Editor to choose submittal items in electrical construction that may require Government Approval, such as the following:

1. Substations
2. Transformers
3. Medium Voltage Switchgear
4. Medium Voltage Cable
5. 400-Hz Converters
6. Emergency Generators
7. Automatic Transfer Switches
8. Uninterruptible Power Supplies
9. Electronic Security Systems

a.   [_____]
b.   [_____]

] [ 1.4.2.1 Scheduling for Government Approved Submittals

NOTE:  Use this paragraph only if submittals are reserved for Government approval.
 
At bracket, use 30 working days for projects estimated to require 180 or more calendar days for construction and use at least 20 working days for projects requiring less than 180 calendar days for construction.

Except as specified otherwise, allow review period, beginning when Government receives submittal from the QC organization, of [20][_____] working days for return of submittal to the Contractor.  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.

] 1.4.3 Submittals Reserved for Government Surveillance

NOTE: In paragraph below, list and describe DOR or QC Specialist approved construction submittals that the Government requires copies for surveillance.  Keep these items to a minimum and confirm with the Project Manager which items should be submitted.

Surveillance submittals are approved by the Contractor in accordance with paragraph CONTRACTOR REVIEWING, CERTIFYING, AND APPROVING AUTHORITY, but provide the Government the opportunity to oversee critical project issues.

If during the Government surveillance of construction submittals, items are brought to the Contractor's attention as non-compliant, the Contractor shall correct the submittal and construction to comply with the requirements of the RFP.  Stamp surveillance submittals "APPROVED" by the DOR or QC Specialist and "FOR SURVEILLANCE ONLY."  Submit the following Government surveillance submittals, prior to starting work for construction submittal items, and after the completion of the work for reports submittals items.

1. Submit fire protection related submittals pertaining to spray-applied fire proofing and fire stopping, exterior fire alarm reporting systems, interior fire alarm & detection systems, and fire suppression systems including fire pumps and standpipe systems.
2. Submit geotechnical related submittals pertaining to the soils investigations (reports and soils analysis), foundations (shallow and deep), pavements structure design, test pile and production pile testing and installation.
3. Submit conveying related submittals pertaining to elevators, escalators, weight handling equipment, lifts, and conveyors.
4. Submit roofing submittals pertaining to materials and systems used to make up the roof system.
5. Submit HVAC Testing, Adjusting, and Balancing required submittals.
6. Submit telecommunications shop drawings, as described in Part 4, D50 ELECTRICAL, for coordination with the NMCI Contractor.
7. Submit Performance Verification and Acceptance Testing submittals listed in the PTS and referenced UFGS.
8. Submit all Interim Special Inspection Reports on a bi-weekly basis until work requiring special inspections is complete.  Submit all Structural Observation Reports and the Final Report of Special Inspections.
9. Submit Final LEED Certification Documentation for US Green Building Council Certification.

NOTE:  List additional items in the brackets below to require Government Surveillance.  

NOTE:  For electrical requirements, coordinate with Electrical RFP writer, and consider items listed in technical note for paragraph SUBMITTALS RESERVED FOR GOVERNMENT APPROVAL, as requiring Government surveillance rather than Government approval.  This may include field verification and factory witness testing.

  [j.   [_____]]

1.4.4 Constraints

1. Submittals shall be complete for each definable feature of work; submit components of definable feature interrelated as a system at the same time.
2. Approval of a separate material, product, or component does not imply approval of assembly in which item functions.

1.4.5 Variations

Variations from contract requirements require Government approval and will be considered where advantageous to the Government.

1.4.5.1 Considering Variations

Variations from contract requirements including the solicitation, the accepted proposal, and the final design, require Government approval and will be considered where advantageous to the Government.  Variations to the contract requirements must be approved by the Designer of Record prior to submittal to the Government for approval of the Variation.

1.4.6 Contractor's Responsibilities

Ensure no work has begun until submittals for that work have been "approved" or "approved as noted."

1.4.7 QC Organization Responsibilities

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, assure proper signatures, and forward 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 (insert contract number here), is in compliance with the contract documents, can be installed in the allocated spaces, and is submitted for Government approval.
   
   RFP Part Two Submittals:
   
   Certified by QC Manager _________________________, Date _______
                           (QC Manager)
   
   RFP Part Four and Part Five Submittals:
   
   Certified by DOR         _______________________, Date ______
   
   Certified by QC Manager ________________________, Date ______"
   
   (1)  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.
   
   (2)  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.
   
   (3)  Retain a copy of approved submittals at project site, including Contractor's copy of approved samples.
2. When the Approving Authority is the Designer of Record, the DOR shall approve, professionally stamp, sign, and date submittals.  DOR stamp on construction submittals or submission of design documents that include construction submittals indicates DOR approval for construction.  QC organization will certify submittals, assure proper signatures, and forward 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 (insert contract number here), is in compliance with the contract requirements, can be installed in the allocated spaces, and is submitted for DOR approval.
   
   RFP Part Four and Part Five Submittals:
   
   Approved by DOR         _______________________, Date ______
   
   Certified by QC Manager ________________________, Date ______"
   
   (1)  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.
   
   (2)  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.
   
   (3)  Send copies of final DOR or QC Specialist approved and signed submittals that are identified in this section for Government surveillance to the Contracting Officer.  Stamp copies "For Surveillance Only."

1.4.8 Government's Responsibilities

When approving authority is the Contracting Officer, the Government will:

1. Note date on which submittal was received from QC Manager, on each submittal.
2. Review submittals for compliance with contract documents.

1.4.8.1 Government Actions

Submittals will be returned with one of the following notations:

1. Submittals marked "approved" or "approved as submitted" authorize Contractor to proceed with work covered.
2. A submittal marked "not reviewed" will be returned with an explanation of the reason it was not reviewed.
3. 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.
4. 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.
5. Submittals required for surveillance will be returned only if corrective actions are required.

1.5 FORMAT OF SUBMITTALS

1.5.1 Transmittal Form

Transmit submittals with transmittal form prescribed by Contracting Officer and standard for the project.

1.5.1.1 Combined Design and Construction Submittal Notification

Indicate on the design submissions transmittal form, which construction submittals have been combined with the design documents.  Coordinate transmittal form list of combined design and construction submittals with submittal register to indicate DOR approval of all combined submittals.

1.6 QUANTITY OF SUBMITTALS

NOTE:  Ensure the quantities suggested below are consistent with the quantities to be retained by the Government, in paragraphs QC ORGANIZATION RESPONSIBILITIES and GOVERNMENT'S RESPONSIBILITIES and maintain the coordination.

NOTE:  Confirm with Project Manager the number of submittals required.

1.6.1 Quantity of Submittals Reserved for Government Approval

Submit [four] [_____] copies of submittals of shop drawings requiring review and approval by Contracting Officer.

1.6.2 Quantity of Submittals Reserved for Government Surveillance

NOTE:  Confirm with Project Manager the number of submittals required.

Submit [three] [_____] copies of submittals specified for surveillance to the Contracting Officer if not electronically submitted in WebCM.  Submit two additional copies of elevator submittals directly to the NAVFAC Elevator Specialist responsible for the NAVFAC elevator certification of the project.

[ 1.7 FORWARDING SUBMITTALS

NOTE:  Choose the following bracketed paragraph for use on overseas jobs only.

1.7.1 Overseas Shop Drawing Submittals

All submittals shall be sent via overnight express mail service.  All costs associated with the overnight express mail service shall be borne by the Contractor.  Costs associated with the overnight express mail of submittals related to proposed submittal variances of resubmittals necessary as a result of noncompliant or incomplete contractor submittals shall be the responsibility of the Contractor.

]   -- End of Section --