01 Repair Base Pavements_SOW_2026.05.15.pdf

STATEMENT OF WORK

FOR

PROJECT YTPM 14-0023

REPAIR BASE PAVEMENTS

AIR FORCE RESERVE

439th CIVIL ENGINEERING

WESTOVER AIR RESERVE BASE

CHICOPEE, MASSACHUSETTS 01022

15 May 2026

SECTION SECTION TITLE PAGE

STATEMENT OF WORK COVER SHEET 01

DIVISION 1 - GENERAL REQUIREMENTS 03

DIVISION 1 – SCOPE OF WORK 03

DIVISION 1 - WESTOVER GENERAL CONDITIONS 05

SPECIFICATIONS 10

ATTACHMENTS (FORMS)

1. Submittal Register

2. Construction Waste Management Plan

3. Quarterly Solid Waste Disposal Form

4. 439 AW Form 20, Contractor Information Sheet

Division 1 – GENERAL REQUIREMENTS

Project is located at Westover Air Reserve Base, Chicopee, Massachusetts.

A. Purpose: The purpose of this project is to repair multiple pavements at Westover ARB. This project consists of but is not limited to the furnishing of all plant, labor, equipment, devices, tools, materials, transportation, supervision, and all miscellaneous requirements necessary to accomplish the work. Refer to plans and specifications for all work requirements. All work shall be completed in conformance with applicable drawings and attached supplemental specifications. The intent of this project is to award the base bid and all options as described on the Bid Schedule but the Government reserves the right to award the base bid and any combination (including none) of the options.

B. Period of Performance: The performance period for this Statement of Work is one hundred and eighty (180) calendar days from Notice to Proceed with a winter exclusion from December 1st to April 1st. The Contractor shall begin work as described in the Scope of Work within ten (10) calendar days of Notice to Proceed (NTP). No construction shall begin prior to government approval of the Plans & Submittals.

C. Inspection: A final inspection shall be conducted once all work has been completed in accordance with the Statement of Work prior to contract completion date. All punch list of items shall be corrected within ten (10) calendar days of final inspection or as approved by the Contracting Officer.

D. Warranty: The warranty shall be issued in accordance with RFO 52.246-21.

Extended warranties offered by the Contractor and its subcontractors or suppliers may be accepted by the Government at its discretion.

E. Working Hours and Restrictions: The work hours for this project are 7:00am to 4:00pm Monday through Friday excluding all Federal Holidays.

Division 1 - SCOPE OF WORK

NOTE: Any work described in the following Scope of Work, which is associated with B1204 Parking Lot, B1700 Parking Lot, and B5425 Parking Lots is only applicable if that Option is awarded. See Bid Schedule for Optional CLINS.

A. The contractor shall mill and overlay 1-1/2” of asphalt from the parking lots of buildings 1204 and 1700 as indicated. Both Eagle Drive and Walker Avenue are also to receive a 1-1/2” mill and overlay. New pavement is to provide proper pitch to existing drains to prevent ponding. Clean vertical saw cuts are to be made in the existing asphalt adjacent to the milled areas to allow for neat butt joint between the new overlay and the un-milled areas. These joints shall be sealed after the overlay is placed. A tack coat shall be applied between milled surface, and the new asphalt overlay as well as on the vertical faces of any saw cuts. If the milled surface extends down to the aggregate base course, then a prime coat shall be applied prior to the asphalt overlay.

B. There are multiple locations on the roadways in which there are curb openings where there are either sidewalk ramps or driveway entrances which are no longer needed. In these areas there is additional work needed to close off these openings with new granite curbing and sidewalk reconstruction. These areas and the required associated work are shown in the drawings.

C. The asphalt parking and drive access around building 5425 is to be reconstructed as shown in the drawings. The existing asphalt is to be removed down to the gravel course and reconstructed with 2-1/2” binder course and 1-1/2” wearing course as shown in the bituminous concrete pavement section detail.

D. All asphalt pavement used on this project shall be approved MADOT mix designs.

E. The contractor shall repaint all pavement markings in the work areas with the pre-construction layout and based on the attached Specifications.

F. In-pavement utility markers shall be replaced with new and installed as to not penetrate above surrounding pavement grade allowing for snow removal operations.

G. Magnetic flexible bollards are to be removed and reset in the asphalt at building 5425 (as indicated) to facilitate the mill and overlay efforts. Reset the bollards per the manufacturer’s instructions.

H. Existing utility valves, manholes, and storm inlets are to be protected during milling and paving operations.

I. All utility covers and devices are to be level with surrounding asphalt surface as to prevent shearing during snow removal operations.

J. Areas identified as having any unsatisfactory conditions which are discovered after milling operations and those which must be repaired prior to installing the new 1 ½” wearing course shall be repaired using CLIN 0002 – Full Depth Repair. CLIN 0002 is included in the base bid with a Not to Exceed (NTE) amount of 1500 SY. This full depth repair will be used as needed and as approved by the Contracting Officer.

K. All disturbed areas are to be loamed and seeded. New loam shall be placed to grade with adjacent grassed areas at a minimum depth of 6”. The areas shall then be seeded with an athletic turf mix and then rolled.

L. Phases of work:

- The construction of this project shall be phased to minimize disruptions to the base operations. All pavement milling is to be accomplished as a single continuous effort.

Walker Avenue will be closed to all traffic to allow for mill and overlay operations. Eagle Drive shall be milled one lane at a time while always allowing for one-way traffic flow.

Paving of Eagle Drive shall be accomplished one lane at a time.

- The reconstruction of the asphalt at building 5425 shall be accomplished last and with a concentrated effort to minimize disruptions to the facilities services.

Division 1 – Westover General Conditions

A. Temporary Protection:

- The Contractor shall protect all workmen, civilian and military personnel and the general public from injury. The Contractor shall coordinate and schedule all work with the Contracting Officer.

- The Contractor shall conduct all work so as to cause the least interference possible with the normal activities of the operations of the airfield and surrounding areas.

B. Security:

- All project work and conduct of construction activity must comply with all Base security regulations and policies.

- Arrange for personnel entry request processing with fourteen (14) calendar days or more of advance written notification. Further instructions for base access will be provided by the Contracting Officer. All base visitors requiring a base access pass must present a REAL ID-compliant identification card or approved alternative documents. The REAL ID-compliant identification card or approved alternative documents shall be on the individual at all times while on the Base.

- Vehicle passes will be processed at the visitor center upon arrival.

- The Contractor shall enter the project site only at a location approved by the Contracting Officer. Restrict all activities and movement of workers, supplies, and equipment to the designated project area and haul routes.

C. Underground Utilities, Utility Interruptions and Shutdowns:

- The Contractor shall submit a notification prior to excavation or any ground disturbing activity. The notification shall be AF IMT 103, BCE Work Clearance Request (Dig Permit) and shall be submitted to the Contracting Officer at least 30 calendar days prior to the planned excavation. The Contractor shall obtain approval prior to excavation. The government will mark out known existing underground utilities in the work area. The marked location of the existing utilities is approximate. Excavation by power driven equipment is not permitted within three (3) feet of either side of the marked utility. Hand excavate on each side of the indicated obstruction and continue until uncovered or clearance for the new grade is assured.

- Report damage to underground utilities or subsurface construction immediately to the Contracting Officer. Damage to marked utilities will be satisfactorily repaired or replaced by the Contractor at no additional cost to the government. Damage to unmarked utilities will be repaired or replaced at the government’s expense. Should the government engage the Contractor to perform the repairs or replacement; an equitable adjustment in the contract amount will be negotiated prior to the repair or replacement being made.

Repair is defined as permanent, code compliant measures as approved by the Contracting Officer.

- Interruptions shall be defined as any Contractor operation that interferes with access through, or use of facilities or areas including utilities, parking lots, or roads.

- Request for an interruption shall be submitted in writing at least fifteen (15) calendar days in advance of the date desired and includes at least one alternate date. Include the following information: Location(s) of interruption(s), hours and dates of interruption(s), which services are affected and which facilities are affected. Contractor is cautioned that outages may not be granted on the date(s) requested. Contractor shall notify the Contracting Officer at least seven (7) calendar days in advance of any cancellation of any scheduled interruption. Services shall not be interrupted until receipt of approval of proposed hours and dates are received from the Contracting Officer.

D. Quality Assurance:

- All items of work not addressed in these General Conditions shall be completed in strict accordance with the manufacturers’ specifications.

- The quality assurance procedures of this section are a minimum. Provide additional quality control as required by the Contracting Officer. Any additional quality control, which may be required, shall not constitute a change in the contract.

- The government is not obligated to inspect the Contractor’s work, or to protect the Contractor from the consequences of his work. Government inspection is a general examination of the Contractor’s conduct and workmanship and is solely for the purpose of the government. Government inspectors do not have the authority to accept work, nor is government inspection to be construed as conclusive.

- Government agents including inspectors, engineers and quality assurance evaluators are not authorized to change the contract without the written approval of the Contracting Officer; this lack of authority extends to all situations in which the action of these agents could be construed as constituting a change.

- The quality of workmanship is subject to audit by government or government-designated inspectors at any time during the contract. The Contractor shall cooperate fully and provide all information necessary for this audit.

- The Contractor shall institute immediate action to correct all variances from the contract or General Conditions and employ all procedures necessary to ensure future work shall conform to the requirements of the contract.

- The Contractor shall submit all requests for changes in writing to the Contracting Officer. Do not proceed with changes without possession of written authorization of the Contracting Officer.

E. Concealed Work:

- The Contracting Officer must approve all items of work including those which are to be concealed. The Contractor shall notify the Contracting Officer of his intention to conceal work 24 hours in advance of concealment.

F. Submittals:

- Contracting Officer approval must be obtained for the material and equipment proposed to be incorporated into the work. Submittals shall be made no later than thirty

(30) calendar days after receipt of the Notice to Proceed or as specified by the Contracting Officer. The Contractor is to complete AF Form 3000, provided by the Contracting Officer, and submit the required materials for review electronically unless otherwise directed by the CO. The Contracting Officer will return the submittals approved or disapproved within ten (10) calendar days after receipt, by AF Form 3000. If submittals cannot be made within thirty (30) calendar days after Notice to Proceed or as specified by the Contracting Officer, the Contracting Officer shall be advised of the difficulty and the Contractor shall request an extension of time for this task. Approval of submittals does not relieve the Contractor from performance in strict accordance with the contract or Statement of Work, nor does such approval constitute “acceptance” under other conditions of this contract.

- All “or equal” items or materials proposed by the Contractor to be used in the project shall be submitted for approval.

- Items required to be submitted for approval are listed in the Statement of Work and are a minimum.

G. Superintendence by the Contractor:

- At all times during the performance of the contract and until the work is completed and accepted, the Contractor shall directly superintend the work or assign a competent Superintendent who is satisfactory to the Contracting Officer and has the authority to act for the Contractor.

- The Superintendent is to oversee and coordinate all project related work being performed. The Superintendent shall be able to read, write, speak and understand the English language.

- Failure to comply with this requirement may be deemed as cause for a non-compensatory stoppage and suspension of work until the deficiency is remedied.

H. Notification Prior to Construction or Demolition:

- Not required for this project.

I. Storage and Handling:

- All new materials shall be transported, stored and handled according to the manufacturers’ written recommendations or as otherwise directed by the Contracting Officer.

J. Scheduling:

- All work shall be carefully scheduled to prevent any excessive shutdown time of utilities or services. The Contractor shall make written request to the Contracting Officer for approval of all work requiring shutdown 48 hours prior to commencement of such work.

K. Damaged Property:

- Work shall proceed in a manner which will minimize disturbance or risk of damage to surrounding structures, interior finishes, room furnishings, personal belongings, equipment or base infrastructure. The Contractor shall repair such items damaged by the Contractor while carrying out the work at no additional cost to the government. All repairs shall match adjacent similar existing items in all aspects. All replacements will be in kind.

L. Cleaning Up:

- The Contractor shall at all times, keep the premises free from accumulation of waste materials or rubbish caused by work under this contract. All parts and equipment removed for replacement become the property of the Contractor and shall be removed from the premises. At the end of each workday and upon the completion of all work, the Contractor shall leave interior and exterior property in the condition in which it was found at the beginning of work.

M. Safety Precautions:

- The Contractor shall take all necessary precautions in observing safety regulations in accordance with all Federal OSHA regulations as well as the most recent edition of USACE EM 381-1-1 and shall assume the responsibility to guard against causing fires and/or explosions and to protect government property. The Contractor shall perform the work in a manner consistent with security and with fire safety regulations especially regarding exits and exit way access. Temporary closures shall not compromise security or fire safety.

N. Environmental Protection:

- There is no known or anticipated asbestos, lead nor any type of regulated hazardous material involved with the work of this project. However, to provide for control of all environmental pollution arising from construction activities, the Contractor and his subcontractors, in the performance of this contract, shall comply with all applicable federal state and local laws and regulations concerning environmental protection pollution control and abatement.

O. Hazardous Material Reporting:

- The Contractor shall maintain hazardous material inventories and safety data sheets (SDS) for all hazardous materials (as defined in CFR 1910.120, 40 CFR’s 355, 370, &

372) to be stored and used on this installation. Hazardous materials must be inventoried when received and at project completion. The amounts used shall be maintained for the project duration, and for the calendar year (ending 31 December).

- Hazardous Materials Inventories, Safety Data Sheets and material quantities used shall be submitted to the Contracting Officer for approval utilizing 439 AW Form 20, Contractor Information Sheet.

- In the event of a spill, Contractor shall immediately notify the Base Fire Department at extension 557-1117 as well as the Contracting Officer. The Contractor shall be solely responsible for the expense of any cleanup of such spill, and the cleanup shall be in accordance with the applicable provisions of 40 CFR Part 761.

P. Haul Routes:

- The established haul access routes shall be the only routes used by the Contractor. The Contractor shall ensure that all vehicle operators associated with the project, or those of suppliers, are properly instructed before entering the Base.

Q. Temporary Staging and Construction Aids:

- The Contractor shall provide, erect, maintain, and remove all necessary construction aids that are required for the performance of the work.

R. Construction/Demolition Waste Management Plan and Reporting:

- Prior to the start of the work, the Contractor shall prepare and submit for approval the Construction Waste Management Plan utilizing the template provided.

- The Contractor shall record, document and report the total amount of construction/demolition debris and other solid waste that is generated and disposed of under this contract. The Contractor shall also record the total amount of debris and waste that has been diverted through sale, reuse, or recycling and the quantity of waste disposed by landfill or incineration. The waste shall be recorded by weight, but volume in cubic yards will also be acceptable. Use the Quarterly Solid Waste C&D Disposal Form provided for this reporting.

- The Contractor shall salvage and reuse the construction/demolition debris to the greatest extent possible. Waste materials that cannot be salvaged and/or reused and have value as being recyclable, shall be recycled. Only materials unable to be economically salvaged or recycled shall be transported to a landfill or incinerator. Revenues or other savings obtained for recycling or returns shall accrue to the Contractor, except revenues generated from Base recycling activities.

- The records shall be made available to the Contracting Officer during construction and shall be submitted to the Contracting Officer prior to project closeout.

SPECIFICATIONS

- For all Specification sections below, "Day" means, unless otherwise specified, a calendar day.

YTPM140023 Repair Base Pavements Feb 03, 2022

PROJECT TABLE OF CONTENTS

DI VI SI ON 01 - GENERAL REQUI REMENTS

01 32 16.00 20 SMALL PROJECT CONSTRUCTION PROGRESS SCHEDULES

01 33 00 SUBMITTAL PROCEDURES

01 35 26 GOVERNMENTAL SAFETY REQUIREMENTS

01 42 00 SOURCES FOR REFERENCE PUBLICATIONS

01 45 00.00 10 QUALITY CONTROL

01 57 19 TEMPORARY ENVIRONMENTAL CONTROLS

01 74 19 CONSTRUCTION WASTE MANAGEMENT AND DISPOSAL

DI VI SI ON 02 - EXI STI NG CONDI TI ONS

02 41 00 DEMOLITION

DI VI SI ON 32 - EXTERI OR I MPROVEMENTS

32 01 16.71 COLD MILLING ASPHALT PAVING

32 11 23 AGGREGATE BASE COURSES

32 12 13 BITUMINOUS TACK AND PRIME COATS

32 12 16.16 ROAD-MIX ASPHALT PAVING

32 16 19 CONCRETE CURBS, GUTTERS AND SIDEWALKS

32 17 23 PAVEMENT MARKINGS

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SMALL PROJECT CONSTRUCTION PROGRESS SCHEDULES

08/ 18, CHG 1: 08/ 20

PART 1 GENERAL

1.1 SUBMITTALS

1.2 PRE-CONSTRUCTION SCHEDULE REQUIREMENT

1.3 SCHEDULE FORMAT

1.3.1 Bar Chart Schedule

1.3.2 Schedule Submittals and Procedures

1.4 SCHEDULE MONTHLY UPDATES

1.5 3-WEEK LOOK AHEAD SCHEDULE

1.6 CORRESPONDENCE AND TEST REPORTS:

1.7 ADDITIONAL SCHEDULING REQUIREMENTS

PART 2 PRODUCTS

PART 3 EXECUTION

-- End of Section Table of Contents --

SECTION 01 32 16.00 20 Page 1

SECTION 01 32 16.00 20

SMALL PROJECT CONSTRUCTION PROGRESS SCHEDULES

08/18, CHG 1: 08/20

PART 1 GENERAL

1.1 SUBMITTALS

Government approval is required for submittals with a "G" classification.

Submittals not having a "G" classification are for Contractor Quality Control approval and shall be maintained by the Contractor and made available to the Government upon request . Submit the following in accordance with Section 01 33 00 SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Baseline Construction Schedule ; G

SD-07 Certificates

Monthly Updates

1.2 PRE-CONSTRUCTION SCHEDULE REQUIREMENT

Within 30 calendar days after contract award and Prior to the start of work, prepare and submit to the Contracting Officer a Baseline Construction Schedule in the form of a Bar Chart Schedule in accordance with the terms in Contract Clause RFO 52.236-15 Schedules for Construction Contracts, except as modified in this contract. The approval of a Baseline Construction Schedule is a condition precedent to:

a. The Contractor starting demolition work or construction stage(s) of the contract.

b. Processing Contractor's invoice(s) for construction activities/items of work.

c. Review of any schedule updates.

Submittal of the Baseline Construction Schedule, and subsequent schedule updates, is understood to be the Contractor's certification that the submitted schedule meets the requirements of the Contract Documents, represents the Contractor's plan on how the work will be accomplished, and accurately reflects the work that has been accomplished and how it was sequenced (as-built logic).

1.3 SCHEDULE FORMAT

1.3.1 Bar Chart Schedule

The Bar Chart must, as a minimum, show work activities, submittals, Government review periods, material/equipment delivery, utility outages, on-site construction, inspection, testing, and closeout activities. The Bar Chart must be time scaled and generated using an electronic spreadsheet program.

SECTION 01 32 16.00 20 Page 2

1.3.2 Schedule Submittals and Procedures

Submit Schedules and updates on electronic media that is acceptable to the Contracting Officer. Submit an electronic back-up of the project schedule in an import format compatible with the Government's scheduling program.

1.4 SCHEDULE MONTHLY UPDATES

Update the Construction Schedule at monthly intervals or when the schedule has been revised. Keep the updated schedule current, reflecting actual activity progress and plan for completing the remaining work. Submit copies of purchase orders and confirmation of delivery dates as directed by the Contracting Officer.

a. Narrative Report: Identify and justify the following:

(1) Progress made in each area of the project;

(2) Longest Path: Include printed copy on 11 by 17 inch paper, landscape setting;

(3) Date/time constraint(s), other than those required by the contract;

(4) Listing of changes made between the previous schedule and current updated schedule including: added or removed activities, original and remaining durations for activities that have not started, logic (sequence, constraint, lag/lead), milestones, planned sequence of operations, longest path, calendars or calendar assignments, and cost loading.

(5) Any decrease in previously reported activity Earned Amount;

(6) Pending items and status thereof, including permits, changes orders, and time extensions;

(7) Status of Contract Completion Date and interim milestones;

(8) Current and anticipated delays (describe cause of delay and corrective actions(s) and mitigation measures to minimize);

(9) Description of current and future schedule problem areas.

For each entry in the narrative report, cite the respective Activity ID and Activity Name, the date and reason for the change, and description of the change.

1.5 3-WEEK LOOK AHEAD SCHEDULE

Prepare and issue a 3-Week Look Ahead schedule to provide a more detailed day-to-day plan of upcoming work identified on the Construction Schedule.

Key the work plans to activity numbers when a NAS is required and update each week to show the planned work for the current and following two-week period. Additionally, include upcoming outages, closures, preparatory meetings, and initial meetings. Identify critical path activities on the Three-Week Look Ahead Schedule. The detail work plans are to be bar chart type schedules, maintained separately from the Construction Schedule on an electronic spreadsheet program and printed on 8-1/2 by 11 inch sheets as directed by the Contracting Officer. Activities must not exceed 5 working

SECTION 01 32 16.00 20 Page 3 days in duration and have sufficient level of detail to assign crews, tools and equipment required to complete the work. Deliver one electronic file of the 3-Week Look Ahead Schedule to the Contracting Officer no later than 8 a.m. each Monday, and review during the weekly CQC Coordination or Production Meeting.

1.6 CORRESPONDENCE AND TEST REPORTS:

Correspondence (e.g., letters, Requests for Information (RFIs), e-mails, meeting minute items, Production and QC Daily Reports, material delivery tickets, photographs) must reference Schedule Activities that are being addressed. Test reports (e.g., concrete, soil compaction, weld, pressure) must reference Schedule Activities that are being addressed.

1.7 ADDITIONAL SCHEDULING REQUIREMENTS

Any references to additional scheduling requirements, including systems to be inspected, tested and commissioned, that are located throughout the remainder of the Contract Documents, are subject to all requirements of this section.

PART 2 PRODUCTS

Not used.

PART 3 EXECUTION

Not used.

-- End of Section --

SECTION 01 32 16.00 20 Page 4

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

08/ 18, CHG 4: 02/ 21

PART 1 GENERAL

1.1 DEFINITIONS

1.1.1 Submittal Descriptions (SD)

1.1.2 Approving Authority

1.1.3 Work

1.2 SUBMITTALS

1.3 SUBMITTAL CLASSIFICATION

1.3.1 Government Approved (G)

1.3.2 Submittals For Contractor Quality Control Approval

1.4 PREPARATION

1.4.1 Transmittal Form

1.4.2 Submittal Format

1.4.2.1 Format of SD-01 Preconstruction Submittals

1.4.2.2 Format for SD-02 Shop Drawings

1.4.2.2.1 Drawing Identification

1.4.2.3 Format of SD-03 Product Data

1.4.2.3.1 Product Information

1.4.2.3.2 Standards

1.4.2.3.3 Data Submission

1.4.2.4 Format of SD-05 Design Data

1.4.2.5 Format of SD-06 Test Reports

1.4.2.6 Format of SD-07 Certificates

1.4.2.7 Format of SD-08 Manufacturer's Instructions

1.4.2.7.1 Standards

1.4.2.8 Format of SD-09 Manufacturer's Field Reports

1.4.2.9 Format of SD-10 Operation and Maintenance Data (O&M)

1.4.2.10 Format of SD-11 Closeout Submittals

1.4.3 Source Drawings for Shop Drawings

1.4.3.1 Source Drawings

1.4.3.2 Terms and Conditions

1.4.4 Electronic File Format

1.5 QUANTITY OF SUBMITTALS

1.5.1 Number of SD-01 Preconstruction Submittal Copies

1.5.2 Number of SD-04 Samples

1.6 PROJECT SUBMITTAL REGISTER

1.6.1 Submittal Management

1.6.2 Preconstruction Use of Submittal Register

1.6.3 Contractor Use of Submittal Register

1.6.4 Approving Authority Use of Submittal Register

1.6.5 Action Codes

1.6.6 Delivery of Copies

1.7 VARIATIONS

1.7.1 Considering Variations

1.7.2 Proposing Variations

1.7.3 Warranting that Variations are Compatible

SECTION 01 33 00 Page 1

1.7.4 Review Schedule Extension

1.8 SCHEDULING

1.9 GOVERNMENT APPROVING AUTHORITY

1.9.1 Review Notations

1.10 DISAPPROVED SUBMITTALS

1.11 APPROVED SUBMITTALS

1.12 APPROVED SAMPLES

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

Attachment D - Submittal Register

SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES

08/ 18, CHG 4: 02/ 21

PART 1 GENERAL

1.1 DEFINITIONS

1.1.1 Submittal Descriptions (SD)

Submittal requirements are specified in the technical sections. Examples and descriptions of submittals identified by the Submittal Description (SD) numbers and titles follow:

SD-01 Preconstruction Submittals

For Government approved division 01 preconstruction submittals that are required prior to or commencing with the start of work shall be submitted within 30 calendar days of contract award unless specified elsewhere in the specifications.

Preconstruction Submittals include schedules and a tabular list of locations, features, and 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

Submittal Register

Work Plan

Quality Control (QC) plan

Environmental Protection Plan

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-06 Test Reports

Report signed by authorized official of testing laboratory that a material, product or system identical to the material, product or

SECTION 01 33 00 Page 3 system to be provided has been tested in accord with specified requirements. Unless specified in another section, testing must have been within three years of date of contract award for the project.

Report that includes findings of a test required to be performed on an actual portion of the work or prototype prepared for the project before shipment to job site.

Report that 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 the 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 document purpose is to further promote the 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 (SDS)concerning impedances, hazards and safety precautions.

SD-11 Closeout Submittals

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

Submittals required for Guiding Principle Validation (GPV) or Third Party Certification (TPC).

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.

1.1.2 Approving Authority

Office or designated person authorized to approve the submittal.

SECTION 01 33 00 Page 4

1.1.3 Work

As used in this section, on-site and off-site construction required by contract documents, including labor necessary to produce submittals, construction, materials, products, equipment, and systems incorporated or to be incorporated in such construction. In exception, excludes work to produce SD-01 submittals.

1.2 SUBMITTALS

Government approval is required for submittals with a "G" classification.

Submittals not having a "G" classification are for Contractor Quality Control approval and shall be maintained by the Contractor and made available to the Government upon request . Submit the following in accordance with Section 01 33 00 SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Submittal Register ; G

1.3 SUBMITTAL CLASSIFICATION

1.3.1 Government Approved (G)

Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, submittals are considered to be "shop drawings."

1.3.2 Submittals For Contractor Quality Control Approval

Submittals not requiring Government approval will be for Contractor Quality Control approval and shall be maintained by the Contractor and made availble to the Government upon request . Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are not considered to be "shop drawings."

1.4 PREPARATION

1.4.1 Transmittal Form

1.4.2 Submittal Format

1.4.2.1 Format of SD-01 Preconstruction Submittals

When the submittal includes a document that is to be used in the project, or is to become part of the project record, other than as a submittal, do not apply the Contractor's approval stamp to the document itself, but to a separate sheet accompanying the document.

Provide data in the unit of measure used in the contract documents.

1.4.2.2 Format for SD-02 Shop Drawings

Provide shop drawings not less than 8 1/2 by 11 inches nor more than 24 BY 36 inches , except for full-size patterns or templates. Prepare drawings to accurate size, with scale indicated, unless another form is required.

Ensure drawings are suitable for reproduction and of a quality to produce clear, distinct lines and letters, with dark lines on a white background.

a. Include the nameplate data, size, and capacity on drawings. Also

SECTION 01 33 00 Page 5 include applicable federal, military, industry, and technical society publication references.

b. Dimension drawings, except diagrams and schematic drawings. Prepare drawings demonstrating interface with other trades to scale. Use the same unit of measure for shop drawings as indicated on the contract drawings. Identify materials and products for work shown.

Submit an electronic copy of drawings in PDF format.

1.4.2.2.1 Drawing Identification

Include on each drawing the drawing title, number, date, and revision numbers and dates, in addition to information required in paragraph

IDENTIFYING SUBMITTALS.

Number drawings in a logical sequence. Each drawing is to bear the number of the submittal in a uniform location next to the title block. Place the Government contract number in the margin, immediately below the title block, for each drawing.

Reserve a blank space, no smaller than 2 inches on the right-hand side of each sheet for the Government disposition stamp.

1.4.2.3 Format of SD-03 Product Data

Present product data submittals for each section. Include a table of contents, listing the page and catalog item numbers for product data.

Indicate, by prominent notation, each product that is being submitted;

indicate the specification section number and paragraph number to which it pertains.

1.4.2.3.1 Product Information

Supplement product data with material prepared for the project to satisfy the submittal requirements where product data does not exist. Identify this material as developed specifically for the project, with information and format as required for submission of SD-07 Certificates.

Provide product data in units used in the Contract documents. Where product data are included in preprinted catalogs with another unit, submit the dimensions in contract document units, on a separate sheet.

1.4.2.3.2 Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

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1.4.2.3.3 Data Submission

Collect required data submittals for each specific material, product, unit of work, or system into a single submittal that is marked for choices, options, and portions applicable to the submittal. Mark each copy of the product data identically. Partial submittals will not be accepted for expedition of the construction effort.

Submit the manufacturer's instructions before installation.

1.4.2.4 Format of SD-05 Design Data

Provide design data and certificates on 8 1/2 by 11 inch paper.

1.4.2.5 Format of SD-06 Test Reports

By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

1.4.2.6 Format of SD-07 Certificates

Provide design data and certificates on 8 1/2 by 11 inch paper.

1.4.2.7 Format of SD-08 Manufacturer's Instructions

Present manufacturer's instructions submittals for each section. Include the manufacturer's name, trade name, place of manufacture, and catalog model or number on product data. Also include applicable federal, military, industry, and technical-society publication references. If supplemental information is needed to clarify the manufacturer's data, submit it as specified for SD-07 Certificates.

Submit the manufacturer's instructions before installation.

1.4.2.7.1 Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

1.4.2.8 Format of SD-09 Manufacturer's Field Reports

By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

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1.4.2.9 Format of SD-10 Operation and Maintenance Data (O&M)

Comply with the requirements for O&M Data format ting if applicable .

1.4.2.10 Format of SD-11 Closeout Submittals

When the submittal includes a document that is to be used in the project or is to become part of the project record, other than as a submittal, do not apply the Contractor's approval stamp to the document itself, but to a separate sheet accompanying the document.

Provide data in the unit of measure used in the contract documents.

1.4.3 Source Drawings for Shop Drawings

1.4.3.1 Source Drawings

The entire set of source drawing files (DWG) will not be provided to the Contractor. Request the specific Drawing Number for the preparation of shop drawings. Only those drawings requested to prepare shop drawings will be provided. These drawings are provided only after award.

1.4.3.2 Terms and Conditions

Data contained on these electronic files must not be used for any purpose other than as a convenience in the preparation of construction data for the referenced project. Any other use or reuse is at the sole risk of the Contractor and without liability or legal exposure to the Government. The Contractor must make no claim, and waives to the fullest extent permitted by law any claim or cause of action of any nature against the Government, its agents, or its subconsultants that may arise out of or in connection with the use of these electronic files. The Contractor must, to the fullest extent permitted by law, indemnify and hold the Government harmless against all damages, liabilities, or costs, including reasonable attorney's fees and defense costs, arising out of or resulting from the use of these electronic files.

These electronic source drawing files are not construction documents.

Differences may exist between the source drawing files and the corresponding construction documents. The Government makes no representation regarding the accuracy or completeness of the electronic source drawing files, nor does it make representation to the compatibility of these files with the Contractor hardware or software. The Contractor is responsible for determining if any conflict exists. In the event that a conflict arises between the signed and sealed construction documents prepared by the Government and the furnished source drawing files, the signed and sealed construction documents govern. Use of these source drawing files does not relieve the Contractor of the duty to fully comply with the contract documents, including and without limitation the need to check, confirm and coordinate the work of all contractors for the project. If the Contractor uses, duplicates or modifies these electronic source drawing files for use in producing construction data related to this contract, remove all previous indication of ownership (seals, logos, signatures, initials and dates).

1.4.4 Electronic File Format

Provide submittals in electronic format, with the exception of material samples required for SD-04 Samples items. Compile the submittal file as

SECTION 01 33 00 Page 8 a single, complete document, to include the Transmittal Form described within. Name the electronic submittal file specifically according to its contents, and coordinate the file naming convention with the Contracting Officer. Electronic files must be of sufficient quality that all information is legible. Use PDF as the electronic format, unless otherwise specified or directed by the Contracting Officer. Generate PDF files from original documents with bookmarks so that the text included in the PDF file is searchable and can be copied. If documents are scanned, optical character resolution (OCR) routines are required. Index and bookmark files exceeding 30 pages to allow efficient navigation of the file. When required, the electronic file must include a valid electronic signature or a scan of a signature.

1.5 QUANTITY OF SUBMITTALS

1.5.1 Number of SD-01 Preconstruction Submittal Copies

Unless otherwise specified, submit three sets of administrative submittals.

1.5.2 Number of SD-04 Samples

a. Submit one sample, or two sets of samples showing the range of variation, of each required item. One approved sample or set of samples will be retained by the approving authority and one will be returned to the Contractor.

b. Submit one sample panel or provide one sample installation where directed. Include components listed in the technical section or as directed.

c. Submit one sample installation, where directed.

d. Submit one sample of nonsolid materials.

1.6 PROJECT SUBMITTAL REGISTER

A Project Submittal Register showing items of equipment and materials for when submittals are required by the specifications is provided as "A ttachment D - Submittal Register."

1.6.1 Submittal Management

Prepare and maintain a submittal register, as the work progresses. Do not change data that is output in columns (c), (d), (e), and (f) as delivered by Government; retain data that is output in columns (a), (g), (h), and

(i) as approved. As an attachment, provide 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.

Column (c): Lists specification section in which submittal is required.

Column (d): Lists each submittal description (SD Number. and type, e.g., SD-02 Shop Drawings) required in each specification section.

Column (e): Lists one principal paragraph in each specification

SECTION 01 33 00 Page 9 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 the project requirements.

Thereafter, the Contractor is to track all submittals by maintaining a complete list, including completion of all data columns and all dates on which submittals are received by and returned by the Government.

1.6.2 Preconstruction Use of Submittal Register

Submit the submittal register. Include the QC plan and the project schedule. Verify that all submittals required for the 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 the approving authority to receive submittals.

Column (h) Contractor Approval Date: Date that Contractor needs approval of submittal.

Column (i) Contractor Material: Date that Contractor needs material delivered to Contractor control.

1.6.3 Contractor Use of Submittal Register

Update the following fields with each submittal throughout the contract.

Column (b) Transmittal Number: List of consecutive, Contractor-assigned numbers.

Column (j) Action Code (k): Date of action used to record Contractor's review when forwarding submittals to QC.

Column (l) Date submittal transmitted.

Column (q) Date approval was received.

1.6.4 Approving Authority Use of Submittal Register

Update the following fields:

Column (b) Transmittal Number: List of consecutive, Contractor-assigned numbers.

Column (l) Date submittal was received.

Column (m) through (p) Dates of review actions.

Column (q) Date of return to Contractor.

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1.6.5 Action Codes

1.6.6 Delivery of Copies

Submit an updated electronic copy of the submittal register to the Contracting Officer with each invoice request. Provide an updated Submittal Register monthly regardless of whether an invoice is submitted.

1.7 VARIATIONS

Variations from contract requirements require Contracting Officer approval pursuant to contract Clause RFO 52.236-21 Specifications and Drawings for Construction, and will be considered where advantageous to the Government.

1.7.1 Considering Variations

Discussion of variations with the Contracting Officer before submission will help ensure that functional and quality requirements are met and minimize rejections and resubmittals. For variations that include design changes or some material or product substitutions, the Government may require an evaluation and analysis by a licensed professional engineer hired by the contractor.

Specifically point out variations from contract requirements in a transmittal letter. Failure to point out variations may cause the Government to require rejection and removal of such work at no additional cost to the Government.

1.7.2 Proposing Variations

Specifically point out variations from contract requirements in a transmittal letter. Failure to point out variations may cause the Government to require rejection and removal of such work at no additional cost to the Government.

1.7.3 Warranting that Variations are Compatible

When delivering a variation for approval, the Contractor warrants that this contract has been reviewed to establish that the variation, if incorporated, will be compatible with other elements of work.

1.7.4 Review Schedule Extension

In addition to the normal submittal review period, a period of 14 days will be allowed for the Government to consider submittals with variations.

1.8 SCHEDULING

Schedule and submit concurrently product data and shop drawings covering component items forming a system or items that are interrelated. Submit pertinent certifications 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. The Contractor is responsible for additional

SECTION 01 33 00 Page 11 time required for Government reviews resulting from required resubmittals. The review period for each resubmittal is the same as for the initial submittal.

b. Submittals required by the contract documents are listed on the submittal register. If a submittal is listed in the submittal register 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 that have been omitted from the register or marked "N/A."

c. Resubmit the submittal register and annotate it monthly with actual submission and approval dates. When all items on the register have been fully approved, no further resubmittal is required.

Contracting Officer review will be completed within 30 days after the date of submission.

1.9 GOVERNMENT APPROVING AUTHORITY

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

a. Note the date on which the submittal was received.

b. Review submittals for approval within the 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 REVIEW NOTATIONS and with comments and markings appropriate for the action indicated.

Upon completion of review of submittals requiring Government approval, stamp and date submittals. PDF copies of the submittal will be retained by the Contracting Officer and one cop y of the submittal will be returned to the Contractor.

1.9.1 Review Notations

Submittals will be returned to the Contractor with the following notations:

a. Submittals marked "approved" or "accepted" authorize proceeding with the work covered.

b. Submittals…