Battle Creek USMC Dam - Specifications.pdf

Battle Creek Dam Improvements FY22BATTLECRKDAM

CERTIFIED FINAL - READY TO ADVERTISE

PROJECT TABLE OF CONTENTS

DI VI SI ON 01 - GENERAL REQUI REMENTS

01 10 10 03/01 REAL ESTATE

01 22 00.00 10 08/15 PRICE AND PAYMENT PROCEDURES

01 32 16.00 20 02/15 SMALL PROJECT CONSTRUCTION PROGRESS

SCHEDULES

01 33 00 08/18 SUBMITTAL PROCEDURES

01 35 13 03/01 SPECIAL PROJECT PROCEDURES

01 35 26 11/15 GOVERNMENTAL SAFETY REQUIREMENTS

01 42 00 11/14 SOURCES FOR REFERENCE PUBLICATIONS

01 45 00.00 10 11/16 QUALITY CONTROL

01 45 00.15 10 11/16 RESIDENT MANAGEMENT SYSTEM CONTRACTOR

MODE (RMS CM)

01 57 19 11/15, CHG 5: 08/21 TEMPORARY ENVIRONMENTAL CONTROLS

01 78 00 08/11 CLOSEOUT SUBMITTALS

01 78 23 08/15 OPERATION AND MAINTENANCE DATA

01 99 90 01/07 LISTING OF ENCLOSED DOCUMENTS,

EXHIBITS AND OTHER ATTACHMENTS

DI VI SI ON 22 - PLUMBI NG

22 05 83.63 11/16 CURED-IN-PLACE PIPE (CIPP) LINING

DI VI SI ON 31 - EARTHWORK

31 10 00 02/21 SITE CLEARING

31 23 00.00 20 02/11, CHG 2: 08/15 EXCAVATION AND FILL

DI VI SI ON 32 - EXTERI OR I MPROVEMENTS

32 92 19 08/17 SEEDING

DI VI SI ON 33 - UTI LI TI ES

33 01 30.16 11/21 TV INSPECTION OF PIPELINES

33 51 39 08/17 MONITORING WELLS

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 10 10

REAL ESTATE

03/01

PART 1 GENERAL

1.1 SUBMITTALS

1.2 REGULATORY REQUIREMENTS

1.2.1 Real Estate Rights

1.2.2 Additional Real Estate Rights

1.2.3 Additional Real Estate Rights Obtained by the Government

1.3 PROJECT/SITE CONDITIONS

1.3.1 Location and Verification

1.3.2 Survey Markers

1.3.2.1 Semipermanent Markers

1.3.2.2 Temporary Markers

PART 2 PRODUCTS (NOT APPLICABLE)

PART 3 EXECUTION (NOT APPLICABLE)

-- End of Section Table of Contents --

SECTION 01 10 10 Page 1

SECTION 01 10 10

REAL ESTATE

03/01

PART 1 GENERAL

1.1 SUBMITTALS

Government approval is required for submittals with a "G" designation;

submittals not having a "G" designation are for information only. When used, a designation following the "G" designation identifies the office that will review the submittal for the Government. The following shall be submitted in accordance with Section 01 33 00 SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Additional Property Agreements; G, DO.

Copies of any agreements for Contractor-acquired real estate rights for this project shall be furnished before entering thereon.

1.2 REGULATORY REQUIREMENTS

1.2.1 Real Estate Rights

Rights for the use of the work and storage areas and/or other additional real estate that have been obtained are shown on the drawings. Copies of real estate agreements, if any, obtained prior to advertisement are included in the solicitation package. Contractors are required to comply with requirements and conditions for all agreements in the solicitation package, and any others obtained after, as a condition for use of the real estate. No other real estate agreements have been obtained by the Government for this project and contractors are cautioned of the need to complete the project without dependence on additional real estate being obtained.

1.2.2 Additional Real Estate Rights

If additional property agreements and/or real estate rights are desired by the Contractor, they may obtain and utilize them at their own expense. All additional real estate agreements shall clearly relieve the Government of any potential responsibility for damages or liability resulting from the Contractor's use of such grounds.

Additional agreements obtained by the Contractor must be coordinated and acknowledged sufficient by Real Estate Office, US Army Corps of Engineers, Detroit District, 477 Michigan Avenue, Detroit, Michigan prior to application and execution. This acknowledgment of sufficiency will be dependent upon conformance with Federal Real Estate and Environmental requirements and any other laws and regulations as may be determined applicable by the Government.

SECTION 01 10 10 Page 2

1.2.3 Additional Real Estate Rights Obtained by the Government

Additional real estate agreements may also be obtained by the Government after the solicitation. If utilized, the Contractor is required to abide by all terms and conditions as set forth in the agreements.

1.3 PROJECT/SITE CONDITIONS

1.3.1 Location and Verification

It shall be the Contractor's responsibility to accurately locate the limits of all lands utilized under the contract. The corner and angle points of each area for which rights have been obtained shall be marked with semipermanent markers except where there is an approved existing property marker. Temporary markers shall be placed at points on alignment. The points on alignment shall be marked at stations so that intervals between points do not exceed 50 feet.

1.3.2 Survey Markers

All markers shall be installed in an area prior to its use and they shall be available for reference during and upon completion of use of the area.

Where approved existing property markers are found, a witness stake, as specified in Subparagraph, "Semipermanent Markers" below, shall be provided. If the types of markers specified hereinafter cannot be used, other types, as approved by the Contracting Officer, shall be provided.

1.3.2.1 Semipermanent Markers

The markers shall be a steel rod one-half inch in diameter and four (4) feet long. The steel rod shall be driven vertically into the ground so that the top is flush with the finished ground surface. Each marker shall be witnessed by a 2" x 2" yellow stake extending two (2) feet above the ground surface and driven into the ground until stable, with not less than one (1) foot penetration.

1.3.2.2 Temporary Markers

Markers shall be 2" x 2", red-colored, wood hub stakes driven into the ground until stable (not less than one (1) foot penetration) with two (2) feet projecting above the ground surface. If the period in which temporary markers are to be in place exceeds one (1) construction season, a more permanent type of marker, as approved, shall be provided.

PART 2 PRODUCTS (NOT APPLICABLE)

PART 3 EXECUTION (NOT APPLICABLE)

-- End of Section --

SECTION 01 10 10 Page 3

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 22 00.00 10

PRICE AND PAYMENT PROCEDURES

08/15

PART 1 GENERAL

1.1 SINGLE JOB PAYMENT ITEMS

1.2 UNIT PRICE PAYMENT ITEMS

1.3 BIDDING SCHEDULE

1.3.1 Tree and Brush Clearing (Item No. 0001)

1.3.1.1 Payment

1.3.1.2 Unit of Measure

1.3.2 Earthwork (Item No. 0002)

1.3.2.1 Payment

1.3.2.2 Unit of Measure

1.3.3 Fill on North Crest and Intake Pipe Repairs (Item No. 0003)

1.3.3.1 Payment

1.3.3.2 Unit of Measure

1.3.4 Televise and Inspect Intake and Outlet Pipes (Item No. 0004)

1.3.4.1 Payment

1.3.4.2 Unit of Measure

1.3.5 Site Restoration (Item No. 0005)

1.3.5.1 Payment

1.3.5.2 Unit of Measure

1.3.6 Pump Decommissioning (Item No. 0006)

1.3.6.1 Payment

1.3.6.2 Unit of Measure

1.3.7 Well Decommissioning - Sand (Item No. 0007)

1.3.7.1 Payment

1.3.7.2 Unit of Measure

1.3.8 Well Decommissioning - Bentonite (Item No. 0008)

1.3.8.1 Payment

1.3.8.2 Unit of Measure

1.3.9 Utility Removal (Item No. 0009)

1.3.9.1 Payment

1.3.9.2 Unit of Measure

1.3.10 Option 1: Line Intake Pipe (Item No. 0010)

1.3.10.1 Payment

1.3.10.2 Unit of Measure

1.3.11 Option 2: Line Outlet Pipe (Item No. 0011)

1.3.11.1 Payment

1.3.11.2 Unit of Measure

PART 2 PRODUCTS

PART 3 EXECUTION

3.1 CONTRACT COST BREAKDOWN

SECTION 01 22 00.00 10 Page 1

SECTION 01 22 00.00 10 Page 2

SECTION 01 22 00.00 10

PRICE AND PAYMENT PROCEDURES

08/15

PART 1 GENERAL

1.1 SINGLE JOB PAYMENT ITEMS

Payment items for the work of this contract for which contract job payments will be made are listed in the BIDDING SCHEDULE and described below. All costs for items of work, which are not specifically mentioned to be included in a particular job or unit price payment item, are included in the listed job item most closely associated with the work involved. The job price and payment made for each item listed constitutes full compensation for furnishing all plant, labor, materials, and equipment, and performing any associated Contractor quality control, environmental protection, meeting safety requirements, tests and reports, and for performing all work required for which separate payment is not otherwise provided.

1.2 UNIT PRICE PAYMENT ITEMS

Payment items for the work of this contract on which the contract unit price payments will be made are listed in the BIDDING SCHEDULE and described below. The unit price and payment made for each item listed constitutes full compensation for furnishing all plant, labor, materials, and equipment, and performing any associated Contractor quality control, environmental protection, meeting safety requirements, tests and reports, and for performing all work required for each of the unit price items.

1.3 BIDDING SCHEDULE

1.3.1 Tree and Brush Clearing (Item No. 0001)

1.3.1.1 Payment

Payment will be made for costs associated with tree and brush clearing and disposal as required in the plans and specifications section 31 10 00 SITE

CLEARING.

1.3.1.2 Unit of Measure

Unit of measure: Job.

1.3.2 Earthwork (Item No. 0002)

1.3.2.1 Payment

Payment will be made for costs associated with tree stump grinding and embankment grading, excavation, and fill as required in the plans and specifications section 31 23 00.00 20 EXCAVATION AND FILL.

Contractor-furnished disposal area(s) and disposition of excess excavated material and unsuitable and frozen materials must be accounted for in this bid item.

SECTION 01 22 00.00 10 Page 3

1.3.2.2 Unit of Measure

Unit of measure: Job.

1.3.3 Fill on North Crest and Intake Pipe Repairs (Item No. 0003)

1.3.3.1 Payment

Payment will be made for costs associated with operations necessary to build up the north dam embankment crest to the design elevation, to regrade around the intake pipe inlet, and to replace the intake pipe rodent screen as defined by the plans and specifications.

1.3.3.2 Unit of Measure

Unit of measure: Job.

1.3.4 Televise and Inspect Intake and Outlet Pipes (Item No. 0004)

1.3.4.1 Payment

Payment will be made for costs associated with televising and inspecting the intake and outlet pipes to determine if repairs are necessary as required by the plans and specification section 33 01 30.16 TV INSPECTION OF PIPELINES. This bid item shall be completed within 45 days after the Contractor recieves the Notice to Proceed.

1.3.4.2 Unit of Measure

Unit of measure: Job.

1.3.5 Site Restoration (Item No. 0005)

1.3.5.1 Payment

Payment will be made for costs associated with operations necessary for the required planting and site restoration to include seeding, turf establishment, and restoration of all disturbed areas a result of construction activities as required specifications section 32 92 19 SEEDING. Payment constitutes full compensation for all plant, labor, materials, and other components appropriate to complete the work as described in the plans and specifications. Placement of erosion control measures will be incidental to this bid item.

1.3.5.2 Unit of Measure

Unit of measure: Job.

1.3.6 Pump Decommissioning (Item No. 0006)

1.3.6.1 Payment

Payment will be made for the demolition, removal, and disposal of the groundwater pump and associated electrical service components. Payment constitutes full compensation for all plant, labor, materials, equipement, tools, and incidentals necessary to complete the work as described by the plans.

SECTION 01 22 00.00 10 Page 4

1.3.6.2 Unit of Measure

Unit of measure: Job.

1.3.7 Well Decommissioning - Sand (Item No. 0007)

1.3.7.1 Payment

Payment will be made for costs associated with filling the two monitoring wells and the groundwater well with sand as required by the plans and specification section 33 51 39 MONITORING WELLS. Payment constitutes full compensation for all plant, labor, materials, equipement, tools, and incidentals necessary to complete the work as described by the plans and specifications.

1.3.7.2 Unit of Measure

Unit of measure: Cubic feet.

1.3.8 Well Decommissioning - Bentonite (Item No. 0008)

1.3.8.1 Payment

Payment will be made for costs associated with filling the two monitoring wells and the groundwater well with bentonite as required by the plans and specification section 33 51 39 MONITORING WELLS. Payment constitutes full compensation for all plant, labor, materials, equipement, tools, and incidentals necessary to complete the work as described by the plans and specifications.

1.3.8.2 Unit of Measure

Unit of measure: Cubic feet.

1.3.9 Utility Removal (Item No. 0009)

1.3.9.1 Payment

Payment will be made for costs associated with the removal of the electric lines and utility poles present on the property by Consumers Energy as described by the plans and specifications section 01 35 13 SPECIAL PROJECT PROCEDURES. Coordination efforts will be considered anxillary to this item.

1.3.9.2 Unit of Measure

Unit of measure: Job.

1.3.10 Option 1: Line Intake Pipe (Item No. 0010)

1.3.10.1 Payment

Payment will be made for costs associated with lining the approximately 15-foot ductile iron intake pipe as required by the plans and specification section 22 05 83.63 CURED-IN-PLACE PIPE (CIPP) LINING. The post-TV and warranty inspections described by specifications section 33 01

30.16 must be accounted for in this bid item.

SECTION 01 22 00.00 10 Page 5

1.3.10.2 Unit of Measure

Unit of measure: Job.

1.3.11 Option 2: Line Outlet Pipe (Item No. 0011)

1.3.11.1 Payment

Payment will be made for costs associated with lining the approximately 60-foot ductile iron outlet pipe as required by the plans and specification section 22 05 83.63 CURED-IN-PLACE PIPE (CIPP) LINING. The post-TV and warranty inspections described by specifications section 33 01

30.16 must be accounted for in this bid item.

1.3.11.2 Unit of Measure

Unit of measure: Job.

PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

3.1 CONTRACT COST BREAKDOWN

The Contractor must furnish within 30 calendar days after the date of Notice to Proceed, and prior to the submission of its first partial payment estimate, a breakdown of its single job pay item or items which will be reviewed by the Contracting Officer as to propriety of distribution of the total cost to the various accounts. Any unbalanced items as between early and late payment items or other discrepancies will be revised by the Contracting Officer to agree with a reasonable cost of the work included in the various items. This contract cost breakdown will then be utilized as the basis for progress payments to the Contractor.

SECTION 01 22 00.00 10 Page 6

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SMALL PROJECT CONSTRUCTION PROGRESS SCHEDULES

02/15

PART 1 GENERAL

1.1 SUBMITTALS

1.2 ACCEPTANCE

1.3 SCHEDULE FORMAT

1.3.1 Bar Chart Schedule

1.3.2 Schedule Submittals and Procedures

1.4 SCHEDULE MONTHLY UPDATES

1.5 CONTRACT MODIFICATION

1.6 4-WEEK LOOK AHEAD SCHEDULE

1.7 CORRESPONDENCE AND TEST REPORTS:

1.8 ADDITIONAL SCHEDULING REQUIREMENTS

PART 2 PRODUCTS

PART 3 EXECUTION

SECTION 01 32 16.00 20 Page 1

SECTION 01 32 16.00 20

SMALL PROJECT CONSTRUCTION PROGRESS SCHEDULES

02/15

PART 1 GENERAL

1.1 SUBMITTALS

Government approval is required for submittals with a "G" designation;

submittals not having a "G" designation are for information only. Submit the following in accordance with Section 01 33 00 SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Construction Schedule; G, PO

SD-07 Certificates

Monthly Updates

1.2 ACCEPTANCE

Prior to the start of work, prepare and submit to the Contracting Officer for acceptance a construction schedule in the form of a Bar Chart Schedule in accordance with the terms in Contract Clause "FAR 52.236-15, Schedules for Construction Contracts," except as modified in this contract.

The acceptance of a Baseline Construction Schedule is a condition precedent to:

a. The Contractor starting work on the demolition 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 Schedule, and subsequent schedule updates, is understood to be the Contractor's certification that the submitted schedule meets all of 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 Bar Chart Schedules and updates in hard copy and 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. The updated schedule must be kept 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: Provide with schedule updates. Identify and justify;

(1) Progress made in each area of the project

(2) Critical Path

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

(4) Changes in the following; added or deleted activities, original and remaining durations for activities that have not started, logic, milestones, planned sequence of operations, and critical path

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

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

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

Each entry in the narrative report must cite the respective Activity ID and Activity Description, the date and reason for the change, and description of the change.

1.5 CONTRACT MODIFICATION

Submit a Time Impact Analysis (TIA) with each cost and time proposal for a proposed change. TIA must illustrate the influence of each change or delay on the Contract Completion Date or milestones. No time extensions will be granted nor delay damages paid unless a delay occurs which consumes all available Project Float, and extends the Projected Finish beyond the Contract Completion Date.

a. Each TIA must be in both narrative and schedule form. The narrative must define the scope and conditions of the change; provide start and finish dates of impact, successor and predecessor activity to impact period, responsible party, describe how it originated, and how it impacts the schedule. The schedule submission must consist of three native files:

(1) Fragnet used to define the scope of the changed condition

(2) Most recent accepted schedule update as of the time of the proposal or claim submission that has been updated to show all

SECTION 01 32 16.00 20 Page 3 activity progress as of the time of the impact start date.

(3) The impacted schedule that has the fragnet inserted in the updated schedule and the schedule "run" so that the new completion date is determined.

b. For claimed as-built project delay, the inserted fragnet TIA method must be modified to account for as-built events known to occur after the data date of schedule update used.

c. All TIAs must include any mitigation, and must determine the apportionment of the overall delay assignable to each individual delay. The associated narrative must clearly describe the findings in a chronological listing beginning with the earliest delay event.

(1) Identify types of delays as follows:

(a) Excusable Delay: Force-Majeure (e.g. weather) - Contractor may receive time extension, but time will not be compensable.

(b) Inexcusable Delay: Contractor Responsibility - Contractor will not receive time extension.

(c) Compensable Delay: Government Responsibility - Contractor may receive compensable time extension.

(2) If a combination of any of the delay types outlined above occurs, it is considered a Concurrent Delay, which will require an analysis of the facts to determine compensability and entitlement to any time extension under the applicable contract clauses.

d. Submit Data disks containing the narrative and native schedule files.

1.6 4-WEEK LOOK AHEAD SCHEDULE

Prepare and issue a 4-Week Look Ahead schedule to provide a more detailed day-to-day plan of upcoming work identified on the Construction Schedule.

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 4-Week Look Ahead Schedule. Activities must not exceed 7 calendar days in duration and have sufficient level of detail to assign crews, tools and equipment required to complete the work. Deliver three hard copies and one electronic file of the 4-Week Look Ahead Schedule to the Contracting Officer for review during the weekly CQC Coordination or Production Meeting.

1.7 CORRESPONDENCE AND TEST REPORTS:

All 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. All test reports (e.g., concrete, soil compaction, weld, pressure) must reference Schedule Activities that are being addressed.

1.8 ADDITIONAL SCHEDULING REQUIREMENTS

Any references to additional scheduling requirements, including systems to be inspected, tested and commissioned, that are located throughout the

SECTION 01 32 16.00 20 Page 4 remainder of the Contract Documents, are subject to all requirements of this section.

PART 2 PRODUCTS

Not used.

PART 3 EXECUTION

Not used.

SECTION 01 32 16.00 20 Page 5

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

08/18

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

1.1.2 Project Type

1.1.3 Submission of Submittals

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

1.2.2 Approving Authority

1.2.3 Work

1.3 SUBMITTALS

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

1.4.2 For Information Only

1.5 PREPARATION

1.5.1 Transmittal Form

1.5.2 Submittal Format

1.5.2.1 Format of SD-01 Preconstruction Submittals

1.5.2.2 Format for SD-02 Shop Drawings

1.5.2.2.1 Drawing Identification

1.5.2.3 Format of SD-03 Product Data

1.5.2.3.1 Product Information

1.5.2.3.2 Standards

1.5.2.3.3 Data Submission

1.5.2.4 Format of SD-04 Samples

1.5.2.4.1 Sample Characteristics

1.5.2.4.2 Sample Incorporation

1.5.2.4.3 Comparison Sample

1.5.2.5 Format of SD-05 Design Data

1.5.2.6 Format of SD-06 Test Reports

1.5.2.7 Format of SD-07 Certificates

1.5.2.8 Format of SD-08 Manufacturer's Instructions

1.5.2.8.1 Standards

1.5.2.9 Format of SD-09 Manufacturer's Field Reports

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

1.5.2.11 Format of SD-11 Closeout Submittals

1.5.3 Electronic File Format

1.6 QUANTITY OF SUBMITTALS

1.6.1 Number of SD-01 Preconstruction Submittal Copies

1.6.2 Number of SD-02 Shop Drawing Copies

1.6.3 Number of SD-03 Product Data Copies

1.6.4 Number of SD-04 Samples

1.6.5 Number of SD-05 Design Data Copies

1.6.6 Number of SD-06 Test Report Copies

1.6.7 Number of SD-07 Certificate Copies

1.6.8 Number of SD-08 Manufacturer's Instructions Copies

SECTION 01 33 00 Page 1

1.6.9 Number of SD-09 Manufacturer's Field Report Copies

1.6.10 Number of SD-10 Operation and Maintenance Data Copies

1.6.11 Number of SD-11 Closeout Submittals Copies

1.7 INFORMATION ONLY SUBMITTALS

1.8 PROJECT SUBMITTAL REGISTER

1.8.1 Submittal Management

1.8.2 Preconstruction

1.9 VARIATIONS

1.9.1 Considering Variations

1.9.2 Proposing Variations

1.9.3 Warranting that Variations are Compatible

1.9.4 Review Schedule Extension

1.10 SCHEDULING

1.11 GOVERNMENT APPROVING AUTHORITY

1.11.1 Review Notations

1.12 DISAPPROVED SUBMITTALS

1.13 APPROVED SUBMITTALS

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

ENG Form 4025-R

Appendix A - Submittal Register

SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES

08/18

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

The Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections. Each submittal is to be complete and in sufficient detail to allow ready determination of compliance with contract requirements.

Units of weights and measures used on all submittals are to be the same as those used in the contract drawings.

1.1.2 Project Type

1.1.3 Submission of Submittals

Schedule and provide submittals requiring Government approval before acquiring the material or equipment covered thereby. Pick up and dispose of samples not incorporated into the work in accordance with manufacturer's Safety Data Sheets (SDS) and in compliance with existing laws and regulations.

1.2 DEFINITIONS

1.2.1 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

Examples of Preconstruction Submittals include:

Construction Progress Schedule

List Of Proposed Products

Baseline Network Analysis Schedule (NAS)

Submittal Register

Schedule Of Prices Or Earned Value Report

Accident Prevention Plan

Work Plan

Quality Control (QC) plan

SECTION 01 33 00 Page 3

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 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.

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-10 Operation and Maintenance Data

Data provided by the manufacturer, or the system provider, including

SECTION 01 33 00 Page 4 manufacturer's help and product line documentation, necessary to maintain and install equipment, for operating and maintenance use by facility personnel.

Data required by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item.

Data incorporated in an operations and maintenance manual or control system.

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.

1.2.2 Approving Authority

Office or designated person authorized to approve the submittal.

1.2.3 Work

As used in this section, on-site and off-site construction required by contract documents, including construction, materials, products, equipment, and systems incorporated or to be incorporated in such construction.

1.3 SUBMITTALS

Government approval is required for submittals with a "G" designation;

submittals not having a "G" designation are for information only. Submit the following in accordance with this section.

SD-01 Preconstruction Submittals

Submittal Register; G, PO

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

Government approval is required for extensions of design, critical materials, variations, equipment whose compatibility with the entire system must be checked, and other items as designated by the Government.

1.4.2 For Information Only

Submittals not requiring Government approval will be for contractor QC approval. Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are not considered to be "shop drawings."

SECTION 01 33 00 Page 5

1.5 PREPARATION

1.5.1 Transmittal Form

Use the ENG Form 4025-R transmittal form for submitting both Government-approved and information-only submittals. Submit in accordance with the instructions on the reverse side of the form. These forms are included in the RMS CM software that the Contractor is required to use for this contract. Properly complete this form by filling out all the heading blank spaces and identifying each item submitted. Exercise special care to ensure proper listing of the specification paragraph and sheet number of the contract drawings pertinent to the data submitted for each item.

1.5.2 Submittal Format

All electronic documents shall be dated within the body of the document.

The date in the document will govern over the file date. All requirements for .pdf format shall be submitted in searchable .pdf format whether or not the word "searchable" is used in each instance.

1.5.2.1 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.

1.5.2.2 Format for SD-02 Shop Drawings

Provide shop drawings not less than 11x17 inches nor more than 30x42 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 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 two (2) electronic copies of drawings in PDF format on two (2) separate discs.

1.5.2.2.1 Drawing Identification

Include on each drawing the drawing title, number, date, and revision numbers and dates.

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.

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1.5.2.3 Format of SD-03 Product Data

Present product data submittals for each section as a complete .pdf electronic file. 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.

1.5.2.3.1 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.

1.5.2.3.2 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.

1.5.2.3.3 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.

1.5.2.4 Format of SD-04 Samples

1.5.2.4.1 Sample Characteristics

Furnish full sized samples unless otherwise specified or unless the manufacturer has prepackaged samples of approximately the same size as specified:

1.5.2.4.2 Sample Incorporation

Reusable Samples: Incorporate returned samples into work only if so specified or indicated. Incorporated samples are to be in undamaged condition at the time of use.

1.5.2.4.3 Comparison Sample

Samples Showing Range of Variation: Where variations in color, finish, pattern, or texture are unavoidable due to nature of the materials, submit

SECTION 01 33 00 Page 7 sets of samples of not less than three units showing extremes and middle of range. Mark each unit to describe its relation to the range of the variation.

1.5.2.5 Format of SD-05 Design Data

Provide design data and certificates on 8 1/2 by 11 inch .pdf's.

Submittals containing numerous pages shall be grouped in one .pdf document.

1.5.2.6 Format of SD-06 Test Reports

Provide electronic reports in 8 1/2 by 11 inch .pdf's as a complete document.

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

1.5.2.7 Format of SD-07 Certificates

Provide design data and certificates on 8 1/2 by 11 inch .pdf's.

Submittals containing numerous pages shall be grouped in one searchable .pdf document.

1.5.2.8 Format of SD-08 Manufacturer's Instructions

Provide manufacturer's instructions submittals for each section as a complete pdf document. 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.

1.5.2.8.1 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.

1.5.2.9 Format of SD-09 Manufacturer's Field Reports

Provide electronic reports in 8 1/2 by 11 inch complete document.

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

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

Comply with the requirements specified in Section 01 78 23 OPERATION AND MAINTENANCE DATA for O&M Data format.

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1.5.2.11 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.

1.5.3 Electronic File Format

Provide submittals in electronic .pdf format, with the exception of material samples required for SD-04 Samples items. Compile the submittal file as 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 searchable PDF files from original documents with bookmarks so that the text included in the PDF file is searchable and can be copied. 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.

E-mail electronic submittal documents smaller than 10MB to an e-mail address as directed by the Contracting Officer. Provide electronic documents over 10 MB on an optical disc.

1.6 QUANTITY OF SUBMITTALS

1.6.1 Number of SD-01 Preconstruction Submittal Copies

Unless otherwise specified, submit one searchable electronic submittal.

1.6.2 Number of SD-02 Shop Drawing Copies

Submit searchable electronic copies of submittals of shop drawings requiring review and approval by a QC organization or requiring review and approval by the Contracting Officer.

1.6.3 Number of SD-03 Product Data Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.6.4 Number of SD-04 Samples

a. Submit one sample, or set 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.

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.

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1.6.5 Number of SD-05 Design Data Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.6.6 Number of SD-06 Test Report Copies

Submit in compliance with quantity and quality requirements specified for shop drawings, other than field test results that will be submitted with QC reports.

1.6.7 Number of SD-07 Certificate Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.6.8 Number of SD-08 Manufacturer's Instructions Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.6.9 Number of SD-09 Manufacturer's Field Report Copies

Submit in compliance with quantity and quality requirements specified for shop drawings other than field test results that will be submitted with QC reports.

1.6.10 Number of SD-10 Operation and Maintenance Data Copies

Submit a searchable electronic copy of O&M data to the Contracting Officer for review and approval.

1.6.11 Number of SD-11 Closeout Submittals Copies

Unless otherwise specified, submit two searchable electronic sets of administrative submittals each on their own disc.

1.7 INFORMATION ONLY SUBMITTALS

Submittals without a "G" designation must be certified by the QC manager and submitted to the Contracting Officer for information-only. Approval of the Contracting Officer is not required on information only submittals. The Contracting Officer will mark "receipt acknowledged" on submittals for information and will return only the transmittal cover sheet to the Contractor. Normally, submittals for information only will not be returned. However, the Government reserves the right to return unsatisfactory submittals and require the Contractor to resubmit any item found not to comply with the contract. This does not relieve the Contractor from the obligation to furnish material conforming to the plans and specifications; will not prevent the Contracting Officer from requiring removal and replacement of nonconforming material incorporated in the work; and does not relieve the Contractor of the requirement to furnish samples for testing by the Government laboratory or for check testing by the Government in those instances where the technical specifications so prescribe.

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1.8 PROJECT SUBMITTAL REGISTER

A sample Project Submittal Register showing items of equipment and materials for when submittals are required by the specifications is provide as "Appendix A - Submittal Register".

1.8.1 Submittal Management

Maintain a submittal register for the project in accordance with Section 01 45 00.15 10 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE(RMS CM). The Government will provide the initial submittal register in electronic format.

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.

1.8.2 Preconstruction

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 following approval of 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.

1.9 VARIATIONS

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

1.9.1 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. When contemplating a variation that results in lower cost, consider submission of the variation as a Value Engineering Change Proposal (VECP).

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

1.9.2 Proposing Variations

When proposing variation, provide a written request to the Contracting Officer, with documentation of the nature and features of the variation and why the variation is desirable and beneficial to Government. If lower

SECTION 01 33 00 Page 11 cost is a benefit, also include an estimate of the cost savings. In addition to documentation required for variation, include the submittals required for the item. Clearly mark the proposed variation in all documentation.

Check the column "variation" of ENG Form 4025 for submittals that include variations proposed by the Contractor. Set forth in writing the reason for any variations and note such variations on the submittal. The Government reserves the right to rescind inadvertent approval of submittals containing unnoted variations.

1.9.3 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.

1.9.4 Review Schedule Extension

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

1.10 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 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. If the Contracting Officer's Representative agrees that the submittal is N/A the submittal will be returned to contractor with a "D" code (no further action required).

Contracting Officer review will be completed within 14 calendar days after the date of submission unless specified differently elsewhere. The Contracting Officer review of the Accident Prevention Plan (APP) will be completed within 30 days of submission.

1.11 GOVERNMENT APPROVING AUTHORITY

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

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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.

1.11.1 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 marked "approved as noted" or "approved, except as noted, resubmittal not required," authorize proceeding with the work covered provided that the Contractor takes no exception to the corrections.

c. Submittals marked "not approved," "disapproved," or "revise and resubmit" indicate incomplete submittal or noncompliance with the contract requirements or design concept. Resubmit with appropriate changes. Do not proceed with work for this item until the resubmittal is approved.

d. Submittals marked "not reviewed" indicate that the submittal has been previously reviewed and approved, is not required, does not have evidence of being reviewed and approved by Contractor, or is not complete. A submittal marked "not reviewed" will be returned with an explanation of the reason it is not reviewed. Resubmit submittals returned for lack of review by Contractor or for being incomplete, with appropriate action, coordination, or change.

e. Submittals marked "receipt acknowledged" indicate that submittals have been received by the Government. This applies only to "information-only submittals" as previously defined.

1.12 DISAPPROVED SUBMITTALS

Make corrections required by the Contracting Officer. If the Contractor considers any correction or notation on the returned submittals to constitute a change to the contract drawings or specifications, give notice to the Contracting Officer as required under the FAR clause titled CHANGES. The Contractor is responsible for the dimensions and design of connection details and the construction of work. Failure to point out variations may cause the Government to require rejection and removal of such work at the Contractor's expense.

If changes are necessary to submittals, make such revisions and resubmit in accordance with the procedures above. No item of work requiring a submittal change is to be accomplished until the changed submittals are approved.

1.13 APPROVED SUBMITTALS

The Contracting Officer's approval of submittals is not to be construed as

SECTION 01 33 00 Page 13 a complete check, and indicates only that the general method of construction, materials, detailing, and other information are satisfactory.

Approval or acceptance by the Government for a submittal does not relieve the Contractor of the responsibility for meeting the contract requirements or for any error that may exist, because under the Quality Control (QC) requirements of this contract, the Contractor is responsible for ensuring information contained with in each submittal accurately conforms with the requirements of the contract documents.

After submittals have been approved or accepted by the Contracting Officer, no resubmittal for the purpose of substituting materials or equipment will be considered unless accompanied by an explanation of why a substitution is necessary.

PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

Not Used

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TRANSMITTAL OF SHOP DRAWINGS, EQUIPMENT DATA, MATERIAL SAMPLES, OR

MANUFACTURER'S CERTIFICATES OF COMPLIANCE

For use of this form, see ER 415-1-10; the proponent agency is CECW-CE.

DATE TRANSMITTAL NO.

SECTION I - REQUEST FOR APPROVAL OF THE FOLLOWING ITEMS…