General Requirements Submittal Log

GENERAL REQUIREMENTS SUBMITTAL LOG

Section 01332

Page 1 of 18

SECTION 01332

SUBMITTAL LOG AND SUBMITTAL DISTRIBUTION

Note to Project Manager: Paragraph 1.08 must be edited. For projects in which we have a CM firm, the cm firm mails copies of the submittals to the various reviewers, so paragraph 1.08 must be edited accordingly

PART 1 - GENERAL

1.01  SUMMARY

.A  This Section includes:

.1  Part 1 – General

.a  1.01 – Summary

.b  1.02 – Related Sections

.c  1.03 - Definitions

.d  1.04 - Contractor Responsibilities

.e  1.05 - Scheduling

.f  1.06 - Submittal Log Information

.g  1.07 - Grouping and Sorting Submittals

.h  1.08 -Submittal Distribution and Number of Copies

.i  1.09 –Submission Procedures

.j  1.10 - Submittal Log Maintenance

.2  Part 2 – Products (Not Used)

.3  Part 3 – Execution (Not Used)

.4  Part 4 – Forms

.a  Table 01332-1, “Partial Submittal Log Information”

1.02  RELATED sections

.A  Section 01320.3.12, “Submittal Log”

.B  Section 01330, “Submittal Procedures”

.C  Section 01450, “Contractor’s Quality Control (QC) System”

1.03  DEFINITIONS

.A  Action Submittals - Submittals requiring Owner’s written response and/or Acceptance.

.B  Informational Submittals - Submittals not requiring Owner’s written response. (Survey notes, QC Manager’s Daily Report, Laboratory test reports, etc.)

.C  Preconstruction Submittals – Are Action submittals requiring Owner’s acceptance before Contractor may proceed with the performance of on-site Work. These submittals include, but are not limited to, the CQC Plan, Fire Protection Plan, Qualifications of Key Personnel, Qualifications of Scheduler (if applicable to this contract), SWPPP (if applicable to this contract), etc. Except for the CQC Plan, which must be certified by the CQC Manager pursuant to Section 01450, all Pre-construction submittals may be signed by the Contractor’s Authorized Representative (Section 01310 1.04; 00700 3.07), Contractor’s Project Manager, or an Officer of the Contractor.

.D  Product Data Submittals – Are Action submittals associated with, and necessary for, the accomplishment of a specific Definable Feature of Work (DFOW) and include information such as shop drawings; samples; product certifications; sub-contractor qualifications; Manufacturer’s instructions and factory test reports; contractor designs, etc. These submittals require Owner’s acceptance before the Contractor may proceed with the DFOW associated with these submittals. Product Data submittals demonstrate to the Owner how the Contractor proposes to conform to the requirements of the Contract Documents. The CQC Manager must certify all Product Data Submittals, pursuant to Section 01450.

.E  Project Management Submittals – are Action submittals and are essential to the effective management of the project. These submittals include, but are not limited to: the construction progress schedule; submittal log; Cost Breakdown/Cost Loaded Schedule; permit applications such as permits from the Fire Marshal; Coordination Drawings; Procurement Status Log (if applicable to this contract); and Commissioning Submittals (Section 01810 – if applicable to this contract). Project Management Submittals are Action Submittals. Except for Coordination Drawings, invoices and Commissioning submittals, which must be certified by the CQC Manager pursuant to Section 01450, all Project Management submittals may be signed by the Contractor’s Authorized Representative (Section 01310 1.04; 00700 3.07), Contractor’s Project Manager, or an Officer of the Contractor.

.F  Management Information Submittals – are Information submittals that provide the owner information about the status of the project. These submittals include Contractor Daily Reports, CQC reports, Daily Force Account reports, Accident reports, and others. Management Information Submittals are Information submittals.

.G  Milestone/Project Completion Submittals – Are Action submittals and include Milestone Certifications; Manufacturer’s field test reports; Operation and Maintenance Manuals; etc.. The CQC Manager must certify all Milestone/Project Completion submittals pursuant to Section 01450.

.H  Project Acceptance Submittals – Are Action submittals and are those submittals required by the Owner to affect a recommendation to the Board of Supervisors to Accept the project as complete. Includes As-Built documents, Warrantees and Guarantees, Samples, etc. The CQC Manager must certify all Project Acceptance submittals pursuant to Section 01450.

1.04  CONTRACTOR RESPONSIBILITIES

.A  The Contractor is responsible for developing and maintaining a Submittal Log for all Contractor Submittals. This effort includes:

.1  Developing a Submittal Log to identify and track all Action Submittals required by the Contract Documents.

.2  Providing copies of the Submittal Log to the Owner in form acceptable to Owner’s Project Manager.

.3  Maintaining an up-to-date Submittal Log and Submitting four (4) copies to Owner’s Project Manager each month.

.4  Reviewing the Submittal Log at weekly Progress Meetings.

.B  Additionally, at each scheduled Progress meeting, the Contractor shall provide look-ahead listing of all submittals planned to be provided to the Owner during the forthcoming three week period.

1.05  SCHEDULING

.A  Prepare and Submit four (4) copies of the Submittal Log to Owner no later than twenty-one (21) Days after the Official Start Date stated in the Notice to Proceed.

.B  Allow at least fourteen (14) Days for Owner’s review and return of Submittal Log.

.C  At each scheduled Progress meeting provide a look-ahead listing of all submittals planned to be provided to the Owner during the forthcoming three week period.

1.06  SUBMITTAL LOG INFORMATION

.A  The Submittal Log, at a minimum, must contain the following information for each required Action Submittal:

.1  All submittals shall be grouped by Definable Feature of Work;

.2  A unique Submittal tracking number (Ref. Section 01330). Any re-submittals must be so identified;

.3  Description of the Submittal;

.4  Date Owner-acceptance required so as not to impact the project’s critical path schedule;

.5  Actual Date Transmitted to Owner

.6  Date due from Owner per Review Time allowed by Contract Documents (No less than 21 Days)

.7  Project Manual section(s) requiring submission of Submittal

.8  Actual date when Contractor received Submittal(s) back from Owner

.9  Owner’s action on Submittal (No Exceptions Taken, Make Corrections Noted, Revise and Resubmit, Rejected, or Returned Without Action)

.10  Comments/Remarks

.B  Table 01332-1 contains a partial listing of the Submittal requirements. After verifying the accuracy and completeness of the information contained in Table 01331-1, Contractor may incorporate the information into Contractor’s Submittal Log.

1.07  SUBMITTAL DESCRIPTIONS/DESIGNATION

.A  Submittals are designated as follows:

.1  Submittal Designation (SD)

.a  Pre-Construction Submittals

.1  SD-00 Preconstruction Submittals

.a  Preconstruction Submittals include but are not limited to:

.b  All Submittals requiring Owner’s acceptance before Contractor may proceed with on-site work. (00700.1.01 .B)

.c  Except as otherwise specifically stated in the Contract Documents or specifically Approved by Owner’s Project Manager, all required Preconstruction Submittals must be submitted within forty-five (45) Days after the start date for the Work as stated in the Notice to Proceed. (00700.3.26.)

.b  SD -01 Project Management Submittals

.1  These submittals are due to the Owner within 90 days of the Notice to Proceed.

.c  SD-02 Shop Drawings (Product Data Submittals)

.1  Shop Drawings fall under the definition of Product Data Submittals and include but are not limited to:

.a  Drawings, diagrams and schedules specifically prepared to illustrate some portion of the Work.

.b  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.

.c  Drawings prepared by or for the Contractor to show how multiple systems and interdisciplinary Work will be coordinated.

.d  Coordination Drawings

.d  SD-03 Product Data (Product Data Submittals)

.1  Product Data includes but is not limited to:

.a  Catalog cuts, illustrations, diagrams, performance charts, product certifications, manufacturer’s instructions and factory test reports

.b  Instructions and brochures illustrating size, physical appearance and other characteristics of materials or equipment for a Work item.

.e  SD-04 Samples (Product Data Submittals)

.1  Samples fall under the definition of Product Data submittals and include but are not limited to:

.a  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.

.b  Color samples from the manufacturer's standard line (or custom colors if specified) to be used in selecting or approving colors for the Work.

.c  Field samples and mock-ups constructed on the Project Site establishing standards by which the Work can be judged. Includes assemblies or portions of assemblies that are to be incorporated into the Work and those that will be removed at conclusion of the Work.

.f  SD-05 Contractor Design Data (Product Data Submittals)

.1  Contractor Design Data falls under the definition of Product Data submittals and includes but is not limited to:

.a  Calculations

.b  Mix designs

.c  Analyses or other data pertaining to a part of the Work.

.g  SD-06 Certificates, Certifications, and Qualifications

.1  Certificates may include (from the Definitions paragraph above) Product Data submittals, Project Management submittals, and Milestone Completion submittals. These include but are not limited to:

.a  Material attesting that product, system or material meets the requirements of the Contract Documents.

.b  Documents required of Contractor, Supplier, or Subcontractor, related to the acceptability of methods, procedures, or personnel qualifications.

.c  Milestone Completion Certifications

.d  Waste Disposal Certificates

.2  Qualifications include but are not limited to:

.a  QC Manager qualifications

.b  Assistant QC Manager Qualifications

.c  CPM Scheduler Qualifications

.h  SD-07 Manufacturer's Instructions (Product Data Submittals)

.1  Manufacturer's Instructions fall under the definition of Product Data submittals and include but are not limited to:

.a  Preprinted material describing installation of a product, system or material, including special notices

.b  Material Safety Data Sheets

.i  SD-08 Manufacturer's Field Reports

.1  Manufacturer's Field Reports include factory test reports (Product Data submittals) and field test reports (Milestone completion submittal) and include, but are not limited to:

.a  Information documenting factory-authorized service representative's tests and inspections

.j  SD-9 Operation and Maintenance Data (Milestone/Project Completion Submittals)

.1  Operation and Maintenance Data falls under the definition of Milestone/Project Completion submittals and include but are not limited to:

.a  Data that is provided by the manufacturer, or the system provider, to explain or demonstrate the operation and maintenance of equipment and/or systems.

.b  All Contractor provided training materials

.k  SD-10 Spare Parts and Keys (Project Acceptance Submittals)

.1  Spare Parts and Keys falls under the definition of Project Acceptance submittals and include but are not limited to:

.a  Keys

.b  All items designated a spare parts

.l  SD-11 Project Acceptance/Closeout Submittals

.1  Closeout Submittals falls under the definition of Project Acceptance submittals and include but are not limited to:

.a  Documentation to record compliance with technical or administrative requirements of the Contract Documents required before the Owner’s Authorized Representative will recommend Acceptance of the Work to the Board of Supervisors.

.b  Record Documents

.c  Executed Warranties and Guarantees

.m  SD-12 Milestone/Project Completion Submittals

.1  Milestone/Project Completion Submittals include but are not limited to:

.a  Contractor’s Milestone Completion Certification

.b  Contractor’s Project Completion Certification

.n  SD-13 Statutory/Regulatory Submittals

.1  Statutory/Regulatory Submittals fall under the definition of Project Management submittals. They include but are not limited to:

.a  Excavation Plans

.b  Air Quality District Permits and Approvals

.c  Encroachment Permits

.d  Confined space entry permits

.o  SD-14 Project Management Submittals

.1  Include but are not limited to:

.a  Basic Contract Schedule

.b  Monthly Earnings Forecast

.c  Cost Breakdown

.d  Monthly Billings

.e  Submittal Log

.f  Procurement Status Log

.g  Solid Waste Management Plan

.p  SD-15 Permit Submittals (e.g. Fire Marshal)

.q  Other

.1  Any Submittal not reasonably included in the SD designations identified above.

1.08  SUBMITTAL NUMBER OF COPIES

.A  Contractor must provide the designated number of copies unless a greater number is specifically required elsewhere in the Contract Documents. In addition to hard copies Owner may require electronic submissions.

1.09  SUBMISSION PROCEDURES

.A  Submit in accordance with Section 01330, “Submittal Procedures”, and Section 01450, “Contractor Quality Control” and Section 01320, “Construction Progress Documentation.”

.B  Contractor must verify the accuracy and completeness of the Submittal Log before Submitting to Owner.

.C  Before providing the initial Submittal Log to Owner, Contractor must certify the Submittal Log for compliance with the requirements of the Contract Documents including coordination of the Submittal Log with the Contractor’s Preliminary Contract Schedule.

.D  Submit four (4) copies of the initial Submittal Log to Owner’s Project Manager no later than twenty-one (21) Days after the Work Start Date stated in the Notice to Proceed.

.E  Submit four (4) copies of the updated Submittal Log to Owner’s Project Manager each month prior to submission of Contractor’s monthly pay request. Before providing each monthly update of the Submittal Log to Owner, Contractor must certify the Submittal Log for compliance with the requirements of the Contract Documents including coordination of the Submittal Log with the Official Progress Schedule.

1.10  SUBMITTAL LOG MAINTENANCE

.A  Contractor must update the Submittal Log electronic file as Submittal actions occur.

.B  Contractor must maintain the Submittal Log at Project Site until Owner’s Authorized Representative recommends Acceptance of the Work to the Board of Supervisors.

PART 2 - PRODUCTS (Not used)

PART 3 - EXECUTION (Not Used)

PART 4 - FORMS

Table 01332-1.

Note to Contractor: this table, while a comprehensive listing of submittals

required by the Project Manual Divisions 0 & 1, is not all-inclusive. Contractor must verify the individual Project Manual Sections as to the exact submittals required. Those submittals that are shaded may not apply to this specific contract. Contractor to verify actual requirements.

/ Description / Paragraph / Deadline / Copies / SD Number / (I) Info or
(A) Action /
Pre-Construction Submittals / QC Manager - Qualifications / 01450 / 7 Days after Notice of Award, and before starting any Work / 2 / SD-00 SD-06 / A
Land Surveyor Qualifications / 01725.1.10.A / Before starting any survey Work / 2 / SD-01 SD-06 / A
Key Personnel Qualifications / 01310.1.04 / 7 Days after Start Date in NTP, and before starting any Work / 2 / SD-00 / A