01 33 00 Submittals.pdf

Lower Rio Grande Flood Control Project – Interior Floodways Rehabilitation of North Floodway (North and South Levees) and Arroyo Colorado Floodway (North Levee) Hidalgo and Cameron Counties, Texas

SUBMITTALS

USIBWC Contract No.: IBM09B0004 Page 01.33.00 - 1

SPECIFICATION 01 33 00

This specification includes administrative and procedural requirements for Submittals, and includes the following:

1.1 Related Documents, Contract Clauses, & Specifications

1.2 Definition of “Submittals”

1.3 Submittal Package Requirements

1.4 Submittal Review and Procedures

1.5 Schedule for Submittals

1.6 Submittal Address

1.7 Construction Photographs

1.8 Record Drawings

1.9 Additional Submittal Processing Costs

2.0 Materials and Equipment (Not Applicable to this Specification)

3.0 Construction Methods (Not Applicable to this Specification)

4.0 Measurement and Payment

PART 1 - GENERAL

1.1 RELATED DOCUMENTS, CONTRACT CLAUSES, & SPECIFICATIONS

The following may not include all related documents, contract clauses, & technical specifications, and does not relieve the Contractor of the responsibility of performing work associated with this specification in accordance with all terms of the Contract herein.

A. Related documents: As described in paragraph 1.2 of SPECIFICATION 01 01 00.

B. Contract: Section I, 52.236-21“Specifications and Drawings for Construction”

C. Technical Specifications: 01 31 00 Project Management and Coordination 01 32 00 Construction Progress Documentation 01 39 00 Safety 01 46 00 Quality Control / Quality Assurance

01 57 00 Temporary Erosion, Sedimentation, and Environmental Controls

01 77 00 Contract Close-Out Divisions 31, 35, 50 and 60

1.2 DEFINITION OF “SUBMITTALS”

The word "Submittals" shall be interpreted to include shop drawings, data, manuals, certifications, samples, color chips or charts, brochures, schedules, photographs, and other items furnished by the Contractor for review, information, and other purposes. Specific Submittal requirements are identified in each technical specification, if required for that specification.

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1.3 SUBMITTAL PACKAGE REQUIREMENTS

A. The Contractor shall provide all materials and perform all work required for furnishing Submittals to the Government, in accordance with the contract clause Section I entitled "Specifications and Drawings for Construction" and the requirements in these Contract Documents.

B. The Contractor shall submit one (1) electronic copy and five (5) hard-copies of complete sets of each required Submittal together with five (5) copies of the Transmittal Document (IBWC Form

146) to the COR for review. The original set of the Submittal shall be considered as one of the complete sets required to be submitted. The transmittal document shall contain the following:

(1) The date the transmittal was submitted;

(2) The name of the Project;

(3) The number of complete sets;

(4) The Contract number;

(5) The transmittal number;

(6) The specification number and paragraph number;

(7) The name of the Contractor;

(8) A description of items submitted including numbers and titles;

(9) Identification as either a new Submittal or a re-submittal;

(10) A written statement of any variation and requests for compliance-confirmation of any departures from the Contract Documents; and,

(11) The Contractor’s Representative’s name and signature certifying that the Contractor has reviewed the Submittal and coordinated the work of all trades involved and that the item of work is in strict conformance with the Contract Documents. The Contractor’s signature of certification shall constitute a representation that all quantities, dimensions, construction criteria, materials, performance criteria, and similar data have been verified and that the Submittal fully meets the requirements of the Contract Documents.

C. Each Submittal shall be numbered consecutively with a transmittal number, and shall accurately and distinctly present the following:

(1) All working and erection dimensions;

(2) Arrangements and sectional views;

(3) Necessary details, including complete information for making connections between work outside the project or to be performed by others, and work under these Contract Documents;

(4) Kinds of materials and finishes; and,

(5) Parts lists and description thereof.

D. Each drawing or page shall include:

(1) Submittal date, revision dates, and transmittal number;

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(2) Project name and USIBWC contract number and Project title;

(3) Detailed Contract Document section number and paragraph number;

(4) Name of Contractor and Subcontractor;

(5) Name of supplier and manufacturer;

(6) Relation to adjacent structure or material;

(7) Field dimensions, clearly identified;

(8) Standard, code, test, or Contract Document references;

(9) Identification of deviations from the Contract Documents;

(10) Contractor’s stamp, initialed or signed, dated and certifying to review of Submittal, certification of field measurements and compliance with Contract Documents;

(11) Location at which the equipment or material is to be installed; location shall mean both physical location and location relative to other connected or attached material;

(12) Contractor’s or Supplier's title; and,

(13) Drawing Number.

E. The Contractor shall submit only complete sets of material/information for review. The Contractor shall check and approve all Submittals prior to transmitting them to the COR to determine if they comply with requirements of the Contract Documents. Submittals that are incomplete or are not in compliance with the Contract Documents will not be accepted for processing by the COR.

F. Manufacturer's data for commercial products or equipment, such as catalog cut sheets, shall be clearly marked to indicate the item(s) to be furnished. The data shall be sufficiently comprehensive to identify the manufacturer's name, type, model, size, and characteristics of the product or equipment, and fully demonstrate that the product or equipment meets the requirements of the Contract Documents.

G. Stock or standard drawings will not be accepted for review unless full identification and supplementary information is shown thereon in ink or typewritten form.

H. Material Certifications. Submittals for each type of material mentioned for each specification shall include test results performed on that material for this Contract, along with a letter certifying compliance with the Contract Documents.

1.4 SUBMITTAL REVIEW AND PROCEDURES

A. The COR will return unchecked any Submittal which does not contain complete data on the work and full information on related matters. The time required for review of Submittals furnished as specified herein will begin after Notice to Proceed and the date after the COR receives complete sets of the Submittal. Submittals that require changes or revisions shall be revised and resubmitted for review, and shall indicate changes and revisions made. All requirements

USIBWC Contract No.: IBM09B0004 Page 01.33.00 - 4 specified for the initial Submittal shall apply to any re-submittals required. Unless otherwise specified, the Contractor shall submit all re-submittals within fourteen (14) calendar days after the Contractor has received the COR’s comments.

B. Except as otherwise provided in these Contract Documents for specific Submittals, the

Government will require fourteen (14) calendar days for review of each Submittal or re- Submittals. This review period will begin the date after the Submittal(s) are received by the COR and will extend through the date of return mailing to the Contractor. This review period will apply to each separate Submittal or re-submittal whether compliance is confirmed or the Submittal or re-submittal is returned for revision.

C. If the COR uses time in excess of the above stated number of calendar days for review of any

Submittal or re-submittal, additional time, not to exceed the excess time, will be added to the time allowed the Contractor for completion of the work affected by such excess time, to the extent it is demonstrated that the excess time caused delay. If the COR’s review of two or more separate Submittals or re-submittals is late and results in concurrent calendar days of excess time, such days will be counted only once in computing an extension of the completion date. Further, if the Contractor fails to make Submittals in the sequence within the time period specified in these Contract Documents, and thus precludes the COR from reviewing such Submittals within the foregoing fourteen (14) calendar day period, then the Contractor shall not be entitled to an extension of time allowed for completion of the work.

D. If the Submittal shows departure from the requirements of the Contract Documents, the

Contractor shall make specific mention on the Transmittal Document (IBWC Form 146), otherwise confirmation of compliance of such Submittals by the COR shall not constitute compliance-confirmation of the departure. Any departure not noted by the Contractor in the Contractor’s Transmittal Document (IBWC Form 146) may cause rejection of the work.

Compliance confirmation of the Submittal shall refer to the subject matter thereof only and not to any structure, material, equipment or apparatus shown or indicated.

E. The review of Submittals will only be for compliance with the information given in the Contract

Documents and shall not extend to means, methods, sequences, techniques or procedures of construction or to safety precautions or programs incident thereto. Compliance confirmation shall not relieve the Contractor of responsibility for the accuracy of such Submittals, nor for the proper fitting and construction of the work. No work called for by the Submittals shall be done until compliance has been confirmed by the COR.

F. The procedure for review of the shop drawings or Submittals shall be as follows:

(1) The Contractor shall submit a Submittal in accordance with Section 1.3 herein;

(2) The COR will stamp drawings or descriptive data "Compliance Confirmed," Compliance Confirmed as Noted," "Examined and Returned for Correction," "Incomplete Submittal," or "Unacceptable" and two (2) copies with a letter of transmittal will be mailed or hand delivered to the Contractor at an address designated by the Contractor;

(3) If a drawing or data is stamped "Examined and Returned for Correction," "Incomplete

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Submittal," or "Unacceptable," the Contractor shall make the necessary corrections and resubmit five (5) copies and one electronic copy of the documents as required in Section 1.3; the letter transmitting corrected documents shall indicate that the documents comprise a re-submittal;

(4) If any corrections, other than those noted by the COR, are made on a shop drawing to be resubmitted, such changes should be pointed out by the Contractor upon re-submittal;

(5) The Contractor shall revise and resubmit the shop drawings as required, until full compliance thereof is obtained;

(6) Costs for processing additional copies of Submittals beyond the five (5) specified above shall be borne by the Contractor;

(7) The Contractor shall furnish with each Submittal one (1) reproducible for each document included with the Submittal that is larger than 17" x 11"; shop drawings and data shall be submitted in a timely manner to sufficiently allow review of same by the COR and to accommodate the rate of progress of the project required under the Contract; the term "shop drawings" as used herein shall include detailed design calculations signed and stamped with the seal of a Texas Professional Engineer as specified in the Specifications or as noted on the Contract Drawings, at the Contractor’s expense; fabrication and installation drawings;

material and parts lists; graphs; test data; operating instructions; and other items as specified or shown which shall include but not necessarily be limited to:

(a) Drawings and/or catalog information and cuts;

(b) Specifications, parts list, suggested spare parts lists, and equipment drawings;

(c) Complete lubrication, maintenance and operation instructions, including initial startup instructions;

(d) Applicable certifications;

(e) Anchor bolt templates, mounting instructions and mounting design calculations as required per the Contract Documents;

(f) Required maintenance operations to allow all installed equipment to remain idle for a period of time not to exceed twenty-four (24) months;

(g) Other technical, installation, and maintenance data as applicable;

(h) Unloading and handling methods, and storage requirements;

(i) Proposed changes to the Contract Documents noted and highlighted;

(j) Paint or coating Submittal showing type of paint or coating and the mils thickness of coating system used;

(k) Drawings showing Contractor field verifications illustrating all field dimensions.

Contractor shall field verify all dimensions and existing materials shown on the drawings. Any modifications required to structures and/or support systems to accommodate Contractor submitted equipment and/or systems that have been reviewed by the COR and marked to indicate "Compliance Confirmed" shall be at the Contractor’s expense.

(8) After a material has been reviewed, no change in brand or manufacture will be permitted unless satisfactory written evidence is presented to, and accepted in writing by, the COR that manufacturer cannot make scheduled delivery of material, or that the material delivered has been rejected and substitution of suitable material is an urgent necessity;

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(9) A separate transmittal form shall be used for each specific item or class of material or equipment for which a Submittal is required. All deviations from the Contract Documents contained in each Contractor Submittal shall be listed and described by the Contractor on a separate cover sheet signed by the Contractor and included with the Submittal. Any and all Submittals so marked on the COR's standard shop drawing transmittal form by the Contractor to indicate the Submittal contains deviations for the Contract Documents and Contract Drawings shall be rejected and returned to the Contractor if the required listing and description of the deviations are not included with the Submittal. Transmittal of shop drawings on various items using a single transmittal form will be permitted only when the items taken together constitute a manufacturer's "package" or are so functionally related that expediency indicates review of the group or package as a whole;

(10) It is expected that the information required for each item shall be complete on the first Submittal. In the event that a second Submittal is required, the Contractor’s Submittal shall be complete and shall have addressed all requirements for acceptability. Costs associated with the review of any third and subsequent Submittals shall be borne by the Contractor based on actual costs incurred by the Government;

(11) If prints of the shop drawings and other Submittals are returned to the Contractor marked by the COR to indicate that a re-submittal is required, the Contractor shall revise said shop drawings and other Submittals and shall resubmit five (5) copies of the revised shop drawings and other Submittals to the COR. All re-submittals shall be identified by the original Submittal number followed by an A for the first re-submittal, a B for the second re-submittal and so on;

(12) Fabrication or delivery of any items shall not commence before the COR has reviewed the pertinent shop drawings and returned copies to the Contractor marked to indicate "Compliance Confirmed" or "Compliance Confirmed as Noted." Revisions indicated on shop drawings shall be considered as changes necessary to meet the requirements of the Contract. It shall be the responsibility of the Contractor to coordinate the timing of the Submittals with the necessary lead time for equipment deliveries and the construction schedule. The review of shop drawings by the COR will be limited to checking for general conformity to the drawings and specifications and shall in no way relieve the Contractor of responsibility for errors or omissions contained therein, nor shall such review operate to waive or modify any provision contained in the Contract Documents;

(13) Fabricating dimensions, quantities of material, applicable code requirements, and other requirements shall be the Contractor’s responsibility;

(14) The term "or equal" shall be understood to indicate that the "equal" product is the same or better than the product(s) named and/or specified in the detailed specification in function, performance, integrity, reliability, quality, and general configuration. Where the Contractor proposes to submit an "equal" item, the installation of which will require any redesign of the structure, partitions, foundations, piping, ductwork, wiring, or of any other part of the project, all such redesign, and all new design drawings and detailing required shall be prepared by and stamped with the seal of a Registered Professional Engineer licensed in the State of California at the Contractor’s expense and shall be submitted to the COR for review in accordance with the Contract Documents. Where the use of an "or equal" item(s) require modifications, involving a change in quantity of material and equipment from that specified

USIBWC Contract No.: IBM09B0004 Page 01.33.00 - 7 or indicated in the Contract Documents, the Contractor shall bear the total expense of such changes;

(15) All shop drawings and data, after review and processing by the COR shall become a part of the Contract Documents and the Work shown or described shall be performed in conformity with these documents.

1.5 SCHEDULE FOR SUBMITTALS (SFS)

A. The Contractor shall provide five (5) copies of a proposed SFS to the COR within seven (7) calendar days after the date of receipt of the Notice to Proceed. Additionally, the SFS shall reflect the following information for each Submittal:

(1) Transmittal Numbers;

(2) Reference to the applicable Specification in the Contract Documents in chronological order that requires the Submittal;

(3) Description of items submitted;

(4) Type of Submittal;

(5) If Submittal is for Government review or information only;

(6) The dates the Contractor proposes to furnish the Submittals;

(7) The dates the materials, equipment, etc., are needed at the job site;

(8) The date Submittals are prepared by the Contractor; and,

(9) The date the Submittal is to be provided to the COR.

B. The Contractor shall coordinate the preparation of the SFS with the approved “compliance confirmed” Schedule of Work and shall allow fourteen (14) calendar days for Government review. The SFS shall not be interpreted as relieving the Contractor of its obligation to comply with the Contract Documents for the items listed on the SFS. The Contractor shall, every thirty

(30) calendar days, update the SFS, maintain a copy of the SFS at the job site; and submit five (5) copies of the revised and/or updated SFS to the COR. This date shall coincide with the Monthly Pay Estimate date. The Contractor shall indicate on the SFS those Submittals/re-submittals that were added or updated.

1.6 SUBMITTAL ADDRESS

The Contractor shall transmit all Submittals to the following address:

International Boundary & Water Commission – US Section Mercedes Field Office, Attn: COR 325 Golf Course Road, Mercedes, Texas 78570

1.7 CONSTRUCTION PHOTOGRAPHS

A. The Contractor shall submit a set of ten (10) hard-copy photographs, slides, and negatives to the Government indicating the relative progress of the work. Taking of photographs shall proceed at issuance of Notice to Proceed before the commencement of construction operations and submitted

USIBWC Contract No.: IBM09B0004 Page 01.33.00 - 8 to the Government with each Monthly Pay Estimate.

B. Each photograph shall be identified by a photo number, name of photographer, project name, date and time of photograph, location of photographer orientation and description of photograph. The above captioned information shall be typed on labels and placed on the back of and below each photograph.

C. Additionally, the Contractor shall submit an electronic copy of all photographs on a compact disk

(CD). The CD will contain a text file to identify each photograph as described in paragraph B above.

1.8 RECORD DRAWINGS

A. The Contractor shall keep one current and updated record copy of all specifications, plans, addenda, supplementary drawings, shop drawings, change orders and clarifications at the Contractor’s field office. Specifications, plans, supplementary drawings, and shop drawings shall be annotated to show all changes made during the construction process. These shall be available to the Government on a monthly basis to inspect for accuracy and completeness. Failure by the Contractor to maintain a current and satisfactory record copy of the aforementioned documents shall result in retainage of an appropriate amount of the monthly pay estimate, as determined by the Government.

B. The Contractor shall submit to the Government, fourteen (14) calendar days prior to the final acceptance inspection of the project, a record copy of the Record Drawings for review and compliance-confirmation. If upon review, the Record Drawings are found to contain errors and/or omissions, they will be returned to the Contractor for correction at the Contractor’s expense.

1.9 ADDITIONAL SUBMITTAL PROCESSING COSTS

A. Costs associated with the review of submittals where review is performed on any third and subsequent submittals shall be borne by the Contractor. The Contractor will be billed for these costs by the Government. Costs due may be deducted from any progress payments due the Contractor by the Government. .

B. Costs shall be determined as follows:

C = (DLC) + (ODC)

Where:

C = Cost for additional reviews;

LLR =Loaded Direct Labor Cost (hours spent on review x hourly rate of reviewer) LODC =Other Direct Costs (Travel, subsistence, etc.)

C. The additional submittal processing costs shall apply and will be assessed against the Contractor for Contractor submittals made by the Contractor to replace and/or substitute products, materials

USIBWC Contract No.: IBM09B0004 Page 01.33.00 - 9 and/or equipment previously submitted by the Contractor and approved by the Government.

PART 2 – MATERIALS & EQUIPMENT (Not Applicable To This Specification)

PART 3 – CONSTRUCTION METHODS (Not Applicable To This Specification)

PART 4 – MEASUREMENT AND PAYMENT

The Work performed by the Contractor under this specification shall not be paid for directly, but shall be considered subsidiary to the various Bid Items under this Contract.

- END OF SPECIFICATION -

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