FY21 Dredging MATOC - Specs - Certified Final - W911XK17R0012(LRE).pdf

CERTIFIED FINAL - RTA

W911XK17R0012

BUFFALO DISTRICT

DREDGING MATOC

SPECIFICATIONS

08 OCTOBER 2019

FY21 DREDGING MATOC CONTRACT CERTIFIED FINAL - RTA

FY21DREDGEMATOC W911XK17R0012

PROJECT TABLE OF CONTENTS

DIVISION 00 - PROCUREMENT AND CONTRACTING REQUIREMENTS

00 22 13 USACE ACQUISITION REQUIREMENTS

DIVISION 01 - GENERAL REQUIREMENTS

01 11 00 SUMMARY OF WORK

01 22 00 PRICE AND PAYMENT PROCEDURES

01 33 00 SUBMITTAL PROCEDURES

01 35 13 SPECIAL PROJECT PROCEDURES

01 35 26 GOVERNMENTAL SAFETY REQUIREMENTS

01 42 00 SOURCES FOR REFERENCE PUBLICATIONS

01 45 00 QUALITY CONTROL

01 45 00.15 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM)

01 57 19 TEMPORARY ENVIRONMENTAL CONTROLS

01 78 00 CLOSEOUT SUBMITTALS

DIVISION 35 - WATERWAY AND MARINE CONSTRUCTION

35 20 23 MAINTENANCE DREDGING

35 20 23.13 NATIONAL DREDGING QUALITY MANAGEMENT PROGRAM SCOW -

MONITORING PROFILE

35 20 23.23 NATIONAL DREDGING QUALITY MANAGEMENT PROGRAM HOPPER DREDGE

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1000 10/08/19

SECTION TABLE OF CONTENTS

DIVISION 00 - PROCUREMENT AND CONTRACTING REQUIREMENTS

DOCUMENT 00 22 13

USACE ACQUISITION REQUIREMENTS

PART 1 GENERAL

1.1 REFERENCES

1.2 EQUIPMENT OWNERSHIP AND OPERATING EXPENSE SCHEDULE (MAR 1995)

1.3 VETERANS EMPLOYMENT EMPHASIS FOR U.S. ARMY CORPS OF ENGINEERS

CONTRACTS

PART 2 PRODUCTS

PART 3 EXECUTION

-- End of Section Table of Contents --

DOCUMENT 00 22 13 Page 1001

DOCUMENT 00 22 13

USACE ACQUISITION REQUIREMENTS

PART 1 GENERAL

1.1 REFERENCES

The publications listed below form a part of this specification to the extent referenced. The publications are referred to within the text by the basic designation only.

U.S. ARMY CORPS OF ENGINEERS (USACE)

EP 1110 1-8 Construction Equipment Ownership and Operating Expense Schedule

1.2 EQUIPMENT OWNERSHIP AND OPERATING EXPENSE SCHEDULE (MAR 1995)

(a) This special contract requirement does not apply to terminations.

See UAI 5152.249-9000 (5149.505(d)), Basis for Settlement of Proposals, and FAR Part 49.

(b) Allowable cost for construction and marine plant and equipment in sound workable condition owned or controlled and furnished by a contractor or subcontractor at any tier shall be based on actual cost data for each piece of equipment or groups of similar serial and series for which the Government can determine both ownership and operating costs from the contractor's accounting records. When both ownership and operating costs cannot be determined for any piece of equipment or groups of similar serial or series equipment from the contractor's accounting records, costs for that equipment shall be based upon the applicable provisions of EP 1110 1-8, Construction Equipment Ownership and Operating Expense Schedule, Region I or II (as applicable by task order). Working conditions will be considered to be average for determining equipment rates using the schedule unless specified otherwise by the contracting officer. For equipment not included in the schedule, rates for comparable pieces of equipment may be used or a rate may be developed using the formula provided in the schedule. For forward pricing, the schedule in effect at the time of negotiations will apply. For retroactive pricing, the schedule in effect at the time the work was performed will apply.

(c) Equipment rental costs are allowable, subject to the provisions of FAR 31.105(d)(2)(ii) and FAR 31.205-36, Rental Costs. Rates for equipment rented from an organization under common control, lease purchase arrangements, and sale-leaseback arrangements, will be determined using the schedule, except that actual rates will be used for equipment leased from an organization under common control that has an established practice of leasing the same or similar equipment to unaffiliated lessees.

(d) When actual equipment costs are proposed and the total amount of the pricing action exceeds the SAT, the contracting officer will request the contractor to submit either certified cost or pricing data, or partial/limited data, as appropriate. Submit the data on Standard Form 1411, Contract Pricing Proposal Cover Sheet.

DOCUMENT 00 22 13 Page 1002

1.3 VETERANS EMPLOYMENT EMPHASIS FOR U.S. ARMY CORPS OF ENGINEERS CONTRACTS

In addition to complying with the requirements outlined in FAR Part 22.13, FAR Clause 52.222-35, FAR Clause 52.222-37, DFARS 222.13 and Department of Labor regulations, U.S. Army Corps of Engineers (USACE) contractors and subcontractors at all tiers are encouraged to promote the training and employment of U.S. veterans while performing under a USACE contract.

While no set-aside, evaluation preference, or incentive applies to the solicitation or performance under the resultant contract, USACE contractors are encouraged to seek out highly qualified veterans to perform services under this contract. The following resources are available to assist USACE contractors in their outreach efforts:

U.S. Department of Labor Veterans employment: www.vets.gov/

Federal veteran employment information: www.fedshirevets.gov/index.aspx

Veterans’ Employment and Training Service (VETS): http://www.dol.gov/vets/

Veterans Opportunity to Work (VOW) Program: http://benefits.va.gov/vow/

U.S. Army Warrior Transition Command Employment Index:

wtc.army.mil/modules/employers/index.html

Hiring Our Heroes initiative: www.uschamberfoundation.org/hiring-our-heroes

Guide to Hiring Veterans:

https://obamawhitehouse.archives.gov/sites/default/files/docs/white_house_business_counc guide_to_hiring_veterans_0.pdf

(Copy and past this link)

PART 2 PRODUCTS

Not used.

PART 3 EXECUTION

Not used.

-- End of Document --

DOCUMENT 00 22 13 Page 1003

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 11 00

SUMMARY OF WORK

PART 1 GENERAL

1.1 GENERAL DESCRIPTION

1.1.1 Task Order Descriptions

PART 2 PRODUCTS

PART 3 EXECUTION

-- End of Section Table of Contents --

SECTION 01 11 00 Page 1004

SECTION 01 11 00

SUMMARY OF WORK

PART 1 GENERAL

1.1 GENERAL DESCRIPTION

a. This section provides a general description of the work that will be required under separate task orders. Each task order will have specifications that will either be in addition to these specifications or supercede portions of these specifications.

(1) Submittals listed in these specifications will not be required until a task order is issued.

(2) Once a task order is issued, all the submittals indicated in these specifications will be required, as classified (see section 01 33 00 SUBMITTAL PROCEDURES), unless stated otherwise in the task order.

1.1.1 Task Order Descriptions

a. Each task order will consist of dredging, transportation, and placement of dredged material, and related work, such as, but not limited to, grading within a confined disposal facility (CDF).

b. The locations of dredging will be within the Buffalo District, U.S. Army Corps of Engineers, on Lake Erie, Niagara River, Lake Ontario, and the St.

Lawrence River, all associated connecting waterways having federal channels, and other navigable waterways.

c. Required forms for all task orders can be found in the "Attachments" panel of the specifications Adobe file. Any additional forms required will be sent with each task order.

PART 2 PRODUCTS

Not used.

PART 3 EXECUTION

Not used.

-- End of Section --

SECTION 01 11 00 Page 1005

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 22 00

PRICE AND PAYMENT PROCEDURES

PART 1 GENERAL

1.1 REFERENCES

1.2 SINGLE JOB PAYMENT ITEMS

1.2.1 Mobilization and Demobilization

1.2.1.1 Payment

1.2.1.2 Unit of Measure

1.3 UNIT PRICE PAYMENT ITEMS

1.3.1 Dredging

1.3.1.1 Payment

1.3.1.2 Quantity Determination

1.3.1.3 Unit of Measure

PART 2 PRODUCTS - NOT USED

PART 3 EXECUTION - NOT USED

-- End of Section Table of Contents --

SECTION 01 22 00 Page 1006

SECTION 01 22 00

PRICE AND PAYMENT PROCEDURES

PART 1 GENERAL

1.1 REFERENCES

The publications listed below form a part of this specification to the extent referenced. The publications are referred to within the text by the basic designation only.

U.S. ARMY CORPS OF ENGINEERS (USACE)

EM 1110-2-1003 (2013) Engineering and Design:

HYDROGRAPHIC SURVEYING

1.2 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.

1.2.1 Mobilization and Demobilization

1.2.1.1 Payment

Payment will be made for costs associated with mobilization and demobilization.

1.2.1.2 Unit of Measure

Unit of measure: job (JA).

1.3 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, safety requirements, tests and reports, and for performing all work required for each of the unit price items.

1.3.1 Dredging

1.3.1.1 Payment

(a) Payment will be made for all costs associated with the dredging

SECTION 01 22 00 Page 1007 operations. The Contract Unit Price per Cubic Yard of Dredging includes the cost of removal, conveyance and placement of all materials, including Other Removed Materials, within the areas shown on the drawings, and specified herein.

(b) The contractor is not permitted to leave the project site until the full quantity of estimated material indicated on the Bid form has been dredged from the limits established by the Contracting Officer.

1.3.1.2 Quantity Determination

(a) In-place payment quantities will be measured and computed by the Government using channel limits, or other dredging limits established by the Contracting Officer, and stationing as computed by the Government.

(b) The material to be paid for will be measured by computing the in-place quantity (cubic yards) available within the maximum pay prism (as stated in paragraph "Specific Areas and Periods" of Section 35 20 23 "MAINTENANCE DREDGING", as determined from the "before" soundings, less the quantity remaining within the maximum pay prism as determined from the "after" soundings, less any deductions that may be required for misplaced material, described in paragraph "Misplaced Materials" of Section 35 20 23

"MAINTENANCE DREDGING".

(c) The "before" and "after" dredging surveys and associated quantity computations will be performed to reflect the total quantity of sediment dredged.

(d) No payment will be made for material dredged in excess of the total quantity in each dredging area and contract line item, as specified in the contract and/or as established by the Contracting Officer pursuant to Section 35 20 23, "MAINTENANCE DREDGING" paragraph entitled "Specific Areas and Periods" and "FINAL EXAMINATION AND ACCEPTANCE."

(e) Surveys:

1. Before and After dredge surveys will be performed by the Government for purposes of acceptance and determination of quantities dredged. The Government will conduct surveys in accordance with EM 1110-2-1003, "Engineering and Design:

HYDROGRAPHIC SURVEYING", using one of the following methods: (1) multibeam, (2) single beam, or (3) lead line, whichever is deemed appropriate by the Government for the harbor/channel being dredged.

2. The surveying method utilized will be determined solely by the Government and is entirely at it's discretion. Upon request, the Contractor will be advised of the surveying method to be used prior to the commencement of dredging.

3. The "after" sounding survey will be made within 14 calendar days after each acceptance section has been completed.

(f) The method used to calculate quantities will be software from HYPACK, Inc., The government will utilize "Hypack Dual Tin to Channel" when project conditions allow for collection of a dense enough data set for this method to be properly utilized. When projects conditions are such that sparser data sets are collected such as Single beam or hand soundings then a "Hypack Average End Area" method may be utilized. The method used will be capable of reporting the amount of material removed within the pay prism, SECTION 01 22 00 Page 1008 the amount of infill accumulated within the pay prism and the amount of overdredge that occurred within the horizontal limits of the project.

(g) Acceptance Sections - Length and notifications (as applicable):

1. Unless specifically designated in the Section 01 35 13 "SPECIAL PROJECT PROCEDURES", paragraph "Acceptance Section Lengths", acceptance section lengths for hydraulic dredges with a cutterhead and mechanical dredges will be a minimum of 2,500 feet. Acceptance lengths for hopper dredges will be a minimum of 5,000 feet.

2. Acceptance section lengths will be determined by the Contracting Officer prior to the commencement of dredging.

3. Examination for acceptance will not be performed until all dredging required under this contract, within 500 feet of the acceptance section, has been completed, or to a point where, in the judgment of the Contracting Officer, further dredging in the contract area will not cause shoaling or damage to the acceptance section.

4. Notify the Contracting Officer 7 business days prior to completion of each specified acceptance section to allow adequate time for the scheduling of a survey crew to perform examination soundings. Written notification may be required at the discretion of the Contracting Officer. If completion of the acceptance section is not proceeding as anticipated, notify the Contracting Officer at least 2 business days prior to the anticipated completion date so that the Government survey crew is not dispatched to perform the examination soundings and so that a revised date can be established. Costs incurred by the Government resulting from failure of the Contractor to appropriately notify the Contracting Officer will be borne by the Contractor, similar to the "before" dredging survey provisions described in Section 35 20 23, "MAINTENANCE DREDGING", paragraph "Quantity Survey Scheduling."

(h). It is the responsibility of the Contractor to compute and verify dredge limits and quantities before the commencement of dredging. The Contractor will be furnished drawings depicting both the "before" and "after" dredging soundings along with computer printouts of the soundings, if done by an electronic measuring system, or copies of the original field notes if done by conventional methods.

(i) Nothing in this paragraph will be construed as prohibiting the removal of excepted material by special means at the prices agreed and approved in accordance with applicable provisions of the contract.

1.3.1.3 Unit of Measure

Unit of measure: cubic yard (CY).

PART 2 PRODUCTS - NOT USED

PART 3 EXECUTION - NOT USED

-- End of Section --

SECTION 01 22 00 Page 1009

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

1.1.2 Project Type

1.1.3 Submision 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 Source Drawings for Shop Drawings

1.5.3.1 Source Drawings

1.5.3.2 Terms and Conditions

1.5.4 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

SECTION 01 33 00 Page 1010

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

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 Use of Submittal Register

1.8.3 Contractor Use of Submittal Register

1.8.4 Approving Authority Use of Submittal Register

1.8.5 Action Codes

1.8.5.1 Government Review Action Codes

1.8.5.2 Government Review Action Codes

1.8.5.3 Contractor Action Codes

1.8.6 Delivery of Copies

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

1.14 APPROVED SAMPLES

1.15 WITHHOLDING OF PAYMENT

1.16 STAMPS

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

Submittal Register

-- End of Section Table of Contents --

SECTION 01 33 00 Page 1011

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

a. 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.

b. 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

The Contractor's Quality Control (CQC) System Manager are to check and approve all items before submittal and stamp, sign, and date indicating action taken. Proposed deviations from the contract requirements are to be clearly identified. Include within submittals items such as:

Contractor's, manufacturer's, or fabricator's drawings; descriptive literature including (but not limited to) catalog cuts, diagrams, operating charts or curves; test reports; test cylinders; samples; O&M manuals (including parts list); certifications; warranties; and other such required submittals.

1.1.3 Submision 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

a. Submittals that are required prior to or commencing with the start of work on site.

b. Submittals that are required prior to or at the start of construction (work) or the next major phase of the construction on a multiphase contract.

SECTION 01 33 00 Page 1012

c. 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

Baseline Network Analysis Schedule (NAS)

Submittal Register

Schedule Of Prices Or Earned Value Report

Accident Prevention PlanHealth And Safety Plan

Work Plan

Quality Control (QC) plan

Environmental Protection Plan

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

SECTION 01 33 00 Page 1013 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-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 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.

1.3 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

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

a. Government approval is required for any variations from the Solicitation or the Accepted Proposal and for other items as designated by the Government.

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

1.4.2 For Information Only

Submittals not requiring Government approval will be for information only.

Within the terms of FAR 52.236-21 SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are not considered to be "shop drawings."

SECTION 01 33 00 Page 1014

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

1.5.2.1 Format of SD-01 Preconstruction Submittals

a. 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.

b. 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 8 1/2 by 11 inches nor more than 30 by 42 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.

1.5.2.2.1 Drawing Identification

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

IDENTIFYING SUBMITTALS.

b. 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.

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

1.5.2.3 Format of SD-03 Product Data

a. Present product data submittals for each section as a complete, bound

SECTION 01 33 00 Page 1015 volume. Include a table of contents, listing the page and catalog item numbers for product data.

b. 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

a. 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.

b. 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. 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.

1.5.2.3.3 Data Submission

a. 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.

b. Submit the manufacturer's instructions before installation.

1.5.2.4 Format of SD-04 Samples

1.5.2.4.1 Sample Characteristics

Furnish samples in the following sizes, unless otherwise specified or unless the manufacturer has prepackaged samples of approximately the same size as specified:

a. Sample of Equipment or Device: Full size.

b. Sample of Materials Less Than 2 by 3 inches: Built up to 8 1/2 by 11 inches.

c. Sample of Materials Exceeding 8 1/2 by 11 inches: Cut down to 8 1/2 by 11 inches and adequate to indicate color, texture, and material variations.

SECTION 01 33 00 Page 1016

d. Sample of Linear Devices or Materials: 10 inch length or length to be supplied, if less than 10 inches. Examples of linear devices or materials are conduit and handrails.

e. Sample Volume of Nonsolid Materials: Pint. Examples of nonsolid materials are sand and paint.

f. Color Selection Samples: 2 by 4 inches. Where samples are specified for selection of color, finish, pattern, or texture, submit the full set of available choices for the material or product specified. Sizes and quantities of samples are to represent their respective standard unit.

g. Sample Panel: 4 by 4 feet.

h. Sample Installation: 100 square feet.

1.5.2.4.2 Sample Incorporation

a. 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.

b. Recording of Sample Installation: Note and preserve the notation of any area constituting a sample installation, but remove the notation at the final clean-up of the project.

1.5.2.4.3 Comparison Sample

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

b. When color, texture, or pattern is specified by naming a particular manufacturer and style, include one sample of that manufacturer and style, for comparison.

1.5.2.5 Format of SD-05 Design Data

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

1.5.2.6 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.

1.5.2.7 Format of SD-07 Certificates

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

1.5.2.8 Format of SD-08 Manufacturer's Instructions

a. 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

SECTION 01 33 00 Page 1017 supplemental information is needed to clarify the manufacturer's data, submit it as specified for SD-07 Certificates.

b. 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. 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.

1.5.2.9 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.

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, if applicable.

1.5.2.11 Format of SD-11 Closeout Submittals

a. 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.

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

1.5.3 Source Drawings for Shop Drawings

1.5.3.1 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.

1.5.3.2 Terms and Conditions

a. 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

SECTION 01 33 00 Page 1018 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.

b. 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).

1.5.4 Electronic File Format

a. Provide submittals in electronic format, with the exception of material samples required for SD-04 Samples items. In addition to the electronic submittal, provide two hard copies of the submittals. 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 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.

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 or through an electronic file sharing system such as the DoD SAFE Web Application. Instructions are located at the following website: https://safe.apps.mil/about.php.

1.6 QUANTITY OF SUBMITTALS

1.6.1 Number of SD-01 Preconstruction Submittal Copies

Unless otherwise specified, submit two sets of administrative submittals.

1.6.2 Number of SD-02 Shop Drawing Copies

Submit two copies of shop drawings requiring review and approval by the Contracting Officer.

SECTION 01 33 00 Page 1019

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 two samples, 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.

1.6.5 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 three copies 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 sets of administrative submittals.

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

SECTION 01 33 00 Page 1020

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.

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 provided as an attachment.

1.8.1 Submittal Management

a. 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. 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 with the following fields completed, to the extent that will be required by the Government during subsequent usage.

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 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.

b. 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 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.

SECTION 01 33 00 Page 1021

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.

1.8.3 Contractor Use of Submittal Register

Update the following fieldswith 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.

1.8.4 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.

1.8.5 Action Codes

Entries for columns (j) and (o) are to be used as follows (others may be prescribed by the Transmittal Form):

1.8.5.1 Government Review Action Codes

"A" - "Approved as submitted"; "Completed"

"B" - "Approved, except as noted on drawings"; "Completed"

"C" - "Approved, except as noted on drawings; resubmission required"; "Resubmit"

"D" - "Returned by separate correspondence"; "Completed"

"E" - "Disapproved (See attached)"; "Resubmit"

"F" - "Receipt acknowledged"; "Completed"

"G" - "Other (Specify)"; "Resubmit"

"K" - "Government concurs with Interim Design"; "Completed"

SECTION 01 33 00 Page 1022

"R" - "Acceptable for Release for Construction"; "Completed"

"X" - "Receipt acknowledged, does not comply with contract requirements"; "Resubmit"

1.8.5.2 Government Review Action Codes

"A" - "Approved as submitted"

"AN" - "Approved as noted"

"RR" - "Disapproved as submitted"; "Completed"

"NR" - "Not Reviewed"

"RA" - "Receipt Acknowledged"

1.8.5.3 Contractor Action Codes

Submittal Classifications

Submittal Classification

Corresponding SpecsIntact

Submittal Register Code which is populated in the SI Submittal Register.

Software

Limitations: (The software shows one character delineation in the

SpecsIntact Submittal Register)

RMS – The following Submittal

Classifications are populated in RMS when the SpecsIntact

Submittal Data File is pulled into RMS)

G Submittal requires Government Approval

G GA

BLANK Submittal is For Information Only

(FIO)

BLANK FIO

1.8.6 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.

1.9 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.

SECTION 01 33 00 Page 1023

1.9.1 Considering Variations

a. 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).

b. 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

a. When proposing variation, deliver 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. Include the DOR's written analysis and approval. If lower 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.

b. 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 calendar days will be allowed for the Government to consider submittals with variations.

1.10 SCHEDULING

a. 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.

(1) 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.

(2) 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

SECTION 01 33 00 Page 1024 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."

(3) 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.

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

1.11 GOVERNMENT APPROVING AUTHORITY

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

(1) Note the date on which the submittal was received.

(2) Review submittals for approval within the scheduling period specified and only for conformance with project design concepts and compliance with contract documents.

(3) Identify returned submittals with one of the actions defined in paragraph REVIEW NOTATIONS and with comments and markings appropriate for the action indicated.

b. Upon completion of review of submittals requiring Government approval, stamp and date submittals. 2 copies of the submittal will be retained by the Contracting Officer and one copy of the submittal will be returned to the Contractor.

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.

SECTION 01 33 00 Page 1025

1.12 DISAPPROVED SUBMITTALS

a. Make corrections required by the Contracting Officer.