SOW and TSpecs_BAR AC3_RTA_08JUL2025.pdf

Barkley Powerhouse Statement of Work Replacement of the Air Conditioning Unit at Barkley Power Plant Page 1 of 11 19 August 2025

Statement of Work to

W9120P5-25-Q-A043 for

Replacement of the Air Conditioning Unit at Barkley Power Plant

INTRODUCTION

This is for the purchase and installation of a replacement of one air conditioning unit and associated accessories in the Barkley Power Plant. The Power Plant HVAC system is unique because the common unit has field mounted condensers that utilizes water drawn from Barkley Lake to provide a source of cooling.

The existing unit is a Carrier (www.Carrier.com) Model 50BRN01261 (10 tons) with the two external Standard Refrigeration (www.stanref.com) SST500A 5-ton water-cooled shell-and-tube condensing units.

TYPE OF CONTRACT: Firm Fixed Price Supply Contract

PLACE OF DELIVERY

The Barkley Power Plant is located adjacent to the Barkley Dam, located at 8439 US Highway 62 West, Kuttawa, KY 42055.

DELIVERY DATE

All requirements shall be complete within 120 calendar days after contract award.

SITE VISIT

Offerors should visit the site and take such other steps as may be reasonably necessary to ascertain the nature and location of the delivery site and the general and local conditions that can affect the delivery and material handling of the materials or the cost thereof.

Failure to do so will not relieve the offeror from responsibility for estimating properly the difficulty or cost of successfully accomplishing delivery. The Government will assume no responsibility for any understanding or representations concerning conditions made by any of its officers or agents prior to the execution of the contract, unless included in the solicitation, the specifications or related documents.

http://www.carrier.com/ http://www.stanref.com/

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The Government is to schedule a Site Visit for this requirement. An organized site visit to the Barkley Power Plant, 8439 US Highway 62 West, Kuttawa, KY 42055 on will be conducted on the date specified in the advertising documents.

PERFORMANCE WORK SCOPE

1.1 The work shall consist of disconnection and removal of the old air conditioning system and accessories, approximately 20 feet of 1.5” raw water lines up to the shut off valve above AC3, and purchase and installation of the new air conditioning systems and accessories and new length of 3” raw water line from the shut off valve above AC3 to air handlers’ accessories and routing of water discharge from external heat exchangers to nearby floor drain. This work is replacing AC3 and related accessories which are located adjacent to each other.

1.2 The contractor shall furnish all tools, equipment, labor, and materials to conduct the work.

1.3 All work shall be accomplished in accordance with denoted specifications, regulations, local code and EM 385-1-1 safety requirements.

2. EXISTING EQUIPMENT

2.1 The existing unit is a Carrier (www.Carrier.com) Model 50BRN01261 (10 tons) with the two external Standard Refrigeration (www.stanref.com) SST500A 5-ton water-cooled shell-and-tube condensing units.

3. REMOVAL OF EXISTING AIR HANDLER & CONDENSERS

3.1 Existing air handler and external heat exchangers are to be disconnected, pipes capped and air openings covered, to protect the internal components, and components certified ready for salvage then handed over to the Government for retention. Transportation of the equipment to a warehouse on the project site may be asked for by the Plant Manager.

3.2 Refrigerant is to be captured and become the property of the Contractor.

4. NEW AIR CONDITIONING SYSTEM

4.1 Air Conditioning System shall be a complete set from the same product line and manufacturer, consisting of an air handler and condensing unit.

4.2 One (1) air handler for the contract (AC3). One (1) condensing unit for the contract.

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4.3 System shall be furnished with a control terminal block connection to thermostats. A new digital room mounted thermostat to control the fan operation, turning unit on and off, with ability to monitor humidity levels shall be install in place of existing thermostat.

4.4 System to have a total of 10 tons of cooling capacity consisting of two 5-ton refrigerant circuits.

4.5 Unit shall have two or more cooling capacity stages.

4.6 Unit shall be capable of starting and operating at up to 115 degrees F outdoor ambient.

4.7 System shall be rated to supply 5000 cubic feet per minute of air. System shall provide constant volume of conditioned air under normal operating range.

4.8 Electrical power wiring shall enter each of the air handler and condensing unit at a single location per manufacturer’s recommendation. Control circuit shall be 24-volt.

4.9 Air Handler shall be ceiling suspended with horizontal ducted discharge and ducted return.

4.10 Replaceable air filters are to be easily accessible from step-stool or small ladder, with no obstructions.

4.11 Electrical wiring, refrigerant piping, and any other connections between the air handler and condensing unit shall be along a single route that does not impede storage or movement within the fan room.

4.12 Upon installation, condensing units shall be fitted with external condensers as specified in the section below titled External Condensers.

4.13 Contractor shall verify full compatibility and proper operation with these external condensers upon completion of installation.

4.14 Air Handler shall be fitted with a sloped drain pan with removable strainer, trapped drain line, and a float‑switch‑activated high‑level alarm. Drain line is to flow to fan room drain gutter.

4.15 Install manufacturer recommended vibration isolation mounts to both air handler and condensing unit.

4.16 Provide operations & maintenance manuals, as‑installed wiring and piping red‑lined drawings, and parts list. Conduct an on‑site operator training session.

4.17 System safeties shall include high- and low-pressure switches, motor and compressor over temperature, current lockout and inherent automatic fan motor overload.

4.18 Cabinet panels shall be fully insulated with 1/2 in. fire-retardant material. Insulation shall be treated with an agent to inhibit the growth of bacteria and fungi on the insulation as proven by tests in accordance with ASTM standards G21 and G22.

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5. EXTERNAL CONDENSERS

5.1 Two (2) external condensers for contract.

5.2 Shall be sized at 5 tons (60000 BTU/hr or 17.4 kw) capacity each and to be plumbed directly into the refrigerant circuits of the condensing unit via brazed copper pipe connections.

5.3 Brazed plate heat exchanger shall be equivalent to DHT P-Type, be in compliance with ISO 9001 (quality) and ISO 14001 (environmental), rated for max working pressure of 650 psi. Each unit is to be pressure and leak tested in the factory. Unit shall resist scaling and fouling by effective self-cleaning due to turbulent flow.

5.4 Tailored for use with refrigerant identified by air conditioning system manufacturer for their equipment, typically R-410A.

5.5 Water connections are to be threaded ISO 228/1-G female.

5.6 Refrigerant connections are to be brazed. Connecting ports are to be on the back side of the heat exchanger.

5.7 Refrigerant relief valve installed on the refrigerant connections to the condensers and set no higher than the specified pressure rating for that condenser.

5.8 Mounted with vibration absorbing pads between the condenser and mounting surface.

5.9 An electrically actuated water control valve shall be located upstream of the water intake for each condenser that will open when the corresponding coil in the condensing unit is activated. Actuators to be wired per AHU manufacturer installation instructions to control board.

6. STRAINERS

6.1 Two (2) strainers for the contract.

6.2 Parallel strainers with 304 stainless steel mesh of minimum screen gage of 20.

6.3 Each strainer is to have shut off valves on inlet and discharge ends to allow for them to be isolated for maintenance without shutting down the system.

6.4 Each strainer is to have capacity to maintain flow to both condensers by itself.

6.5 Strainers to be Y type, threaded, bronze body, conforms to ASTM B 584 C84400 and max working pressure of 200 psi.

6.6 Strainers are to be easy to clean.

7. BALL VALVE

7.1 Six (6) ball valves for the contract.

7.2 Shall be installed on either side of each strainer to facilitate maintenance.

7.3 Shall be installed on water output side of each heat exchanger to facilitate maintenance.

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1.1.1 Shall be bronze B584 FNPT x FNPT ball valve with lever, 316 stainless steel ball and stem, inline body style, seat material to be MPTFE (Modified PolyTetraFluoroEthylene), max pressure of 600 psi, suitable for 3” diameter pipe and conforms to MSS SP-110 (Manufacturers Standardization Society Standard Practice) https://msshq.org.

8. CONTROL VALVES

8.1 Two (2) control valves for the contract.

8.2 Electrically actuated control valve for the supply water for each shell and tube heat exchange shall be controlled by the thermostat and open when the signal for cooling is given. The actuators are to remain close when the signal for heating or just fan are given.

8.3 Actuators are to be spring return, normally closed, type. 24V control voltage.

8.4 Valve and actuator are to be separate components that can be replaced independently of each other.

9. EQUIPMENT RACK

9.1 One (1) equipment rack for the contract.

9.2 External condensers, strainers and valves are to be mounted onto or support by a common support structure to aid in maintenance of the components as well as protect them from accidental damage.

9.3 Support rack is to be comprised of angle iron welded together as indicated.

9.4 Support rack to have surface finish as indicated.

10. RAW WATER LINE REPLACEMENT

10.1 Existing raw water lines are 1.25” diameter PVC pipes and are to be replaced with 3” schedule 80 304 stainless steel, ASTM A312, pipes for the branches to the strainers and condensers. 3” pipes are to continue to floor drain.

10.2 Tee connections are to be provided on either side of the heat exchangers, between the ball valves, with screwed on caps. These connections are to be used for the manufacturers recommended maintenance of the heat exchangers.

10.3 All plumbing is to be done in accordance with International Plumbing Code (IPC) 2018.

10.4 Cooling water piping shall have vinyl covering to protect the insulation from accidental damage during maintenance activities.

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11. DUCTWORK & INSULATION

11.1 All duct and insulation work is to be in accordance with Sheet Metal and Air

Conditioning Contractors National Association (SMACNA) 2006 and American Society of Heating, Refrigeration and Air-Conditioning Engineers (ASHRAE) 2016.

11.2 Ductwork for the installation of the new air handler will be to the arrangement shown in the contract drawings. Any bends shall have turning veins meeting current standards.

12. POWER

12.1 The existing power supply is 460V, 3 Phase, 60 Hz.

12.2 The nearby electrical board contains the breakers for the existing AC unit. The existing breaker is to be reused.

12.3 The electrical board is in the same room as the existing AC unit.

12.4 Existing power wires from the breaker to the unit are to be tested to ensure no issues with the insulation. If the megger test comes back low, then the conductor shall be replaced.

12.5 Provide and install a junction box and any required conductors and conduit on the equipment rack to supply power to the air handler and the condensing unit.

13. SECURITY

13.1 General security requirements and guidance: The security requirements described below apply to all contract personnel (including employees of the prime Contractor (“Contractor”) and all subcontractor employees) supporting the performance requirements of this contract. The Contractor is responsible for compliance with these security requirements. Questions regarding security matters shall be addressed to the designated Government representative (e.g., Contracting Officer Representative (COR), Requiring Activity (RA) representative, or Contracting Officer (if a COR or other RA representative is not appointed)). Contract personnel are critical to the overall security and safety of US Army Corps of Engineers (USACE) installations, facilities and activities, and security awareness training contributes to those efforts. The Department of Defense (DoD) and Army security training requirements specified below, if applicable, are performance requirements; all applicable contract personnel shall complete initial training within 30 days of contract award or the date new contract personnel begin performance on the contract. Within five business days from the completion of training, the Contractor shall provide written documentation (e.g., email or memorandum) to the Government representative. The documentation shall include the names of contract personnel trained and which training they completed; the Contractor shall maintain training

Replacement of the Air Conditioning Unit at Barkley Power Plant Page 7 of 11 19 August 2025 records as part of their contract files and be prepared to provide copies of training certificates to the Government representative. Contractor personnel and vehicles are subject to search when entering federal installations. Additionally, all contract personnel shall comply with Force Protection Condition (FPCON) measures, Random Antiterrorism Measures (commonly referred to as “RAMs”), and Health Protection Condition (HPCON) measures. The Contractor is responsible for meeting performance requirements during elevated FPCON and/or HPCON levels in accordance with applicable RA plans and procedures—this includes identifying mission essential and non-mission essential personnel. In addition to the changes otherwise authorized by the changes clause of this contract, should the FPCON or HPCON levels at any individual facility or installation change, the Government may implement security changes that affect contract personnel. The Contractor shall ensure all contract personnel are aware of their security responsibilities, including any site-specific requirements identified in local policies or procedures.

14. PHYSICAL SECURITY AND ACCESS CONTROL REQUIREMENTS:

14.1 All contract personnel requiring physical access to a federal installation or facility shall comply with the access control procedures of that location. Contract personnel requiring unescorted access to meet contract performance requirements on DoD property in the US shall be vetted by the District Security Office using the National Crime database and Terrorist Screening Database. Contract personnel shall comply with all personal identity verification requirements specified in facility policies and procedures. Contract personnel who do not meet requirements for unescorted access to USACE facilities shall coordinate escorted access with the Government representative, as needed. Contract personnel who receive keys, access cards, or lock combinations that provide access to government-owned property shall comply with key and lock control procedures of the RA.

14.2 Since the work is being done within a controlled area but is expected to last less than six months, the investigation requirements fall under Category B1 for US Citizens and Category C for Foreign Nationals. Contract employees will need to be supervised/ escorted by a Corps employee while within the restricted area. In the event it is determined the contract will extend beyond six months, the contractor will need to comply with the requirements in Category B2 for US Citizens. Guidance and forms for the requirements are available on the Nashville District Public Website:

https://www.lrd.usace.army.mil/Submit- ArticleCS/Programs/Article/3667149/contracting/ https://www.lrd.usace.army.mil/Submit-ArticleCS/Programs/Article/3667149/contracting/

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14.3 Contract and sub-contract employees are not authorized to begin work on any contract until investigation requirements have been completed and notification has been made by the COR or the District Security Office.

14.4 Because the work is being performed in a restricted area, there are restrictions on use of persons either imprisoned or previously convicted of a felony. The Contractor shall not employ in the performance of this contract any person undergoing a sentence of imprisonment imposed by any court of a State, the District of Columbia, Puerto Rico, the Northern Mariana Islands, American Samoa, Guam, or the U.S. Virgin Islands, or the US Federal Government. The Contractor shall not employ in the performance of this contract any person who has been convicted of a felony imposed by any court of a State, the District of Columbia, Puerto Rico, the Northern Mariana Islands, American Samoa, Guam, the U.S. Virgin Islands, or the US Federal Government.

14.5 Contractors and/or potential contractors wishing to attend a pre-bid meeting held at or in LRN restricted/controlled areas (such as a Power Plant or Navigation Lock) shall submit a Nashville District (LRN) Security Access Form to the Nashville District Point of Contact (LRN POC) five (5) days prior to the site visit or meeting. If submitting the document in less than five days, the Offeror/Bidder may not receive approval for participation. The LRN POC will notify the Contractor if the request is approval or denied. Any pre-bid meeting which will cover anything other than public domain information shall be limited to US Citizens, except under unique circumstances. The Security Access Form and guidance is available at https://www.lrd.usace.army.mil/Submit- ArticleCS/Programs/Article/3667149/contracting/

14.6 Contractor is expected to prescreen their own job applicants for suitable candidates before submission to the U.S. Government. The U.S. Government will not screen potential candidates for you. Once the contractor has selected suitable employees to work on a government site, the contractor will submit them for processing as outlines above. Submission to the district security office must be accomplished prior to a contract employee’s site access. ACCESS NOT AUTHORIZED for any federal property nor to begin work on any part of the contract until investigation requirements have been met/completed and notification has been made by the COR or the District Security Office. There is no blanket approval, no waivers, no exceptions. Each contractor employee is a case-by-case screening process. Preliminary results may require additional screening requirements before site access approval can be provided.

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15. ESCORTING IN CLASSIFIED AND/OR SENSITIVE AREAS

15.1 In accordance with applicable regulations, all contract personnel who do not possess the appropriate security clearance or access privileges will be escorted in areas where they may be exposed to classified information or operations, sensitive information or activities, or restricted areas. Escorts must be USACE employees and never other contractors. Note Escort Requirement will no longer be required once the Contract Representative has been notified a favorable long-term investigation (Category B3) has been completed. B3 not required for extremely short maintenance or repair contracts in which the contractor will be escorted throughout project completion (under 30 days).

16. PRE-SCREEN CANDIDATES USING E-VERIFY PROGRAM

16.1 Contractors shall comply with the requirements set forth in FAR clause 52.222-54

Employment Eligibility Verification and FAR Subpart 22.18 in using the E-Verify Program at (https://www.e-verify.gov/) (website subject to change) to meet the contract employment eligibility requirements. Contractors are encouraged to cooperate with Federal and State agencies responsible for enforcing labor requirements to include eligibility for employment under United States immigration laws in accordance with FAR 22.102-1(i). An initial list of verified/eligible candidates shall be provided to the COR no later than three business days after the initial contract award. When contracts are with individuals, the individuals will be required to complete a Form I-9, Employment Eligibility Verification, and submit it to the Contracting Officer to become part of the official contract file.

16.2 All contract employees and subcontractors shall always conduct themselves in a proper manner. No alcoholic or intoxicating beverages or substances or illegal drugs or controlled substances not prescribed by a physician shall be possessed, consumed, or be under the influence of any such substance while on Government property.

16.3 The Contractor shall remove from the site any individual whose continued employment is deemed by the appointed receiving agent to be contrary to the public interest or inconsistent with the best interests of the U.S. Army Corps of Engineers.

16.4 The Contracting Officer or the appointed receiving agent will require the Contractor to immediately remove from the work site anyone who is incompetent or who endangers persons or property or whose physical or mental condition is such that it would impair the employee’s ability to satisfactorily perform the work. Notification to the Contractor will be made in writing if time and circumstances permit.

Otherwise, notification will be verbal and will be confirmed in writing as soon as possible. No such removal, however, will reduce the Contractor's obligation to

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16.5 The Contractor is responsible for taking the action necessary to protect Contractor supplies, materials and equipment, and the personal property of Contractor employees from loss, damage, or theft. The Government assumes no responsibility for theft, damage, etc., of the above. All incidents of theft (or suspected theft) of contractor materials, supplies, or equipment from project lands shall be reported to the COR.

17. SUSPICIOUS ACTIVITY REPORTING TRAINING (E.G. IWATCH, CORPSWATCH, OR

SEE SOMETHING, SAY SOMETHING)

17.1 All contract personnel shall receive initial and annual refresher training from the RA representative on the local suspicious activity reporting program. This locally developed training provides contract personnel with general information on suspicious behavior, and guidance on reporting suspicious activity to the project manager, security representative or law enforcement entity.

18. COORDINATION:

Contractor shall contact the Barkley Power Plant Superintendent to coordinate installation of the units no less than 30 calendar days before being on site.

POC: Jamie Holt

(270) 362-8159 Office

(270) 508-1605 Cell Jamie.T.Holt@usace.army.mil

18.1 Contract Authority and Contracting Officer’s Representative (COR):

The awarded firm shall only accept instruction from the USACE Contracting Officer (KO) or the duly appointed representative, and only commence work that has been negotiated and authorized. Only the USACE Contracting Officer can modify this Contract. Coordination of technical matters with USACE personnel shall be accomplished through the Contracting Officer’s Representative (COR), Chris Marshall.

Contracting Officer’s Representative (COR):

mailto:Jamie.T.Holt@usace.army.mil

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Chris Marshall

(290) 363-4236 Office Christopher.J.Marshall@usace.army.mil

18.2 Invoice Instructions

Original invoices shall be submitted to:

US Army Corps of Engineers ATTN: Ms. Onika Webb Email: Onika.Z.Webb@usace.army.mil Tele: (270) 362-4236

A duplicate copy of all invoices shall be submitted to the following Contracting Points-Of-Contact:

Samantha Bedard, Contract Specialist Email: Samantha.J.Bedard@usace.army.mil Tele: (615) 736-7868

Cierra Vega, Contracting Officer Email: Cierra.R.Vega@usace.army.mil Tele: (615) 736-7976 mailto:Christopher.J.Marshall@usace.army.mil mailto:Onika.Z.Webb@usace.army.mil mailto:Samantha.J.Bedard@usace.army.mil mailto:Cierra.R.Vega@usace.army.mil

Solicitation No. W912P5-25-Q-A035

US Army Corps Of Engineers Nashville District

AC Unit #3 Replacement

Barkley Dam Powerhouse Cumberland River Lyons County, Kentucky

Technical Specifications - Ready to Advertise (RTA) Certified Final

July 2025

THIS PAGE INTENTIONALLY LEFT BLANK

FOR DUPLEX PRINTING

AC #3 Replacement Barkley Dam Powerhouse W912P5-25-Q-A035 RTA Kuttawa, KY

PROJECT TABLE OF CONTENTS

DI VI SI ON 01 - GENERAL REQUI REMENTS

01 20 00 PRICE AND PAYMENT PROCEDURES

01 33 00 SUBMITTAL PROCEDURES

01 42 00 SOURCES FOR REFERENCE PUBLICATIONS

01 95 00 FORMS AND ATTACHMENTS

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

02 41 00 DEMOLITION

DI VI SI ON 05 - METALS

05 50 13 MISCELLANEOUS METAL FABRICATIONS

DI VI SI ON 23 - HEATI NG, VENTI LATI NG, AND AI R CONDI TI ONI NG ( HVAC)

23 81 00 UNITARY AIR CONDITIONING EQUIPMENT

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1

PROJECT TABLE OF CONTENTS Page 2

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 20 00

PRICE AND PAYMENT PROCEDURES

PART 1 GENERAL

1.1 SUBMITTALS

1.2 SINGLE JOB PAYMENT ITEMS

1.2.1 Air Conditioning (AC) Unit No. 3

1.2.1.1 Payment

1.2.1.2 Unit of Measure

1.2.2 Ductwork

1.2.2.1 Payment

1.2.2.2 Unit of Measure

PART 2 PRODUCTS

PART 3 EXECUTION

-- End of Section Table of Contents --

SECTION 01 20 00 Page 1

SECTION 01 20 00 Page 2

SECTION 01 20 00

PRICE AND PAYMENT PROCEDURES

PART 1 GENERAL

1.1 SUBMITTALS

Government approval is required for submittals with a "G" or "S" classification. Submit the following in accordance with Section 01 33 00

SUBMITTAL PROCEDURES:

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 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 Air Conditioning (AC) Unit No. 3

1.2.1.1 Payment

Payment will be made for costs associated with the procurement and installation of the Air Conditioning System.

1.2.1.2 Unit of Measure

Unit of measure: JOB.

1.2.2 Ductwork

1.2.2.1 Payment

Payment will be made for costs associated with the materials and labor for altering the existing ductwork for the installation of the Air Conditioning System.

1.2.2.2 Unit of Measure

Unit of measure: JOB.

PART 2 PRODUCTS

Not used.

PART 3 EXECUTION

Not used.

SECTION 01 20 00 Page 3

-- End of Section --

SECTION 01 20 00 Page 4

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 DEFINITIONS

1.1.1 Submittal Descriptions (SD)

1.1.2 Approving Authority

1.1.3 Work

1.2 SUBMITTALS

1.3 SUBMITTAL CLASSIFICATION

1.3.1 Government Approved (G)

1.3.2 For Information Only

1.4 PREPARATION

1.4.1 Transmittal Form

1.4.2 Submittal Format

1.4.2.1 Format of SD-01 Preconstruction Submittals

1.4.2.2 Format for SD-02 Shop Drawings

1.4.2.2.1 Drawing Identification

1.4.2.3 Format of SD-03 Product Data

1.4.2.3.1 Product Information

1.4.2.3.2 Standards

1.4.2.3.3 Data Submission

1.4.2.4 Format of SD-04 Samples

1.4.2.4.1 Sample Characteristics

1.4.2.4.2 Sample Incorporation

1.4.2.4.3 Comparison Sample

1.4.2.5 Format of SD-05 Design Data

1.4.2.6 Format of SD-06 Test Reports

1.4.2.7 Format of SD-07 Certificates

1.4.2.8 Format of SD-08 Manufacturer's Instructions

1.4.2.8.1 Standards

1.4.3 Source Drawings for Shop Drawings

1.4.3.1 Source Drawings

1.4.3.2 Terms and Conditions

1.5 QUANTITY OF SUBMITTALS

1.5.1 Number of SD-01 Preconstruction Submittal Copies

1.5.2 Number of SD-04 Samples

1.6 INFORMATION ONLY SUBMITTALS

1.7 PROJECT SUBMITTAL REGISTER

1.7.1 Submittal Management

1.7.2 Preconstruction Use of Submittal Register

1.7.3 Contractor Use of Submittal Register

1.7.4 Approving Authority Use of Submittal Register

1.7.5 Action Codes

1.7.6 Delivery of Copies

1.8 VARIATIONS

1.8.1 Considering Variations

1.8.2 Proposing Variations

SECTION 01 33 00 Page 1

1.8.3 Warranting that Variations are Compatible

1.8.4 Review Schedule Extension

1.9 SCHEDULING

1.10 GOVERNMENT APPROVING AUTHORITY

1.10.1 Review Notations

1.11 DISAPPROVED SUBMITTALS

1.12 APPROVED SUBMITTALS

1.13 APPROVED SAMPLES

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

Attachment A - Submittal Register

SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 DEFINITIONS

1.1.1 Submittal Descriptions (SD)

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

SD-01 Preconstruction Submittals

Government approved Division 01 preconstruction submittals that are required prior to or commencing with the start of work must be submitted within 30 calendar days of contract award unless specified elsewhere in the specifications. Contractor approved Division 01 submittals that are required prior to or commencing with the start of work must be submitted within 45 calendar days of contract award unless specified elsewhere in the specifications.

Preconstruction Submittals include schedules and a tabular list of locations, features, and other pertinent information regarding products, materials, equipment, or components to be used in the work.

Certificates Of Insurance

Surety Bonds

List Of Proposed Subcontractors

List Of Proposed Products

Baseline Network Analysis Schedule (NAS)

Submittal Register

Schedule Of Prices Or Earned Value Report

Work Plan

Quality Control (QC) plan

Environmental Protection Plan

SD-02 Shop Drawings

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

Diagrams and instructions from a manufacturer or fabricator for use in producing the product and as aids to the Contractor for integrating

SECTION 01 33 00 Page 3 the product or system into the project.

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

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.

Confined space entry permits

Text of posted operating instructions

SD-08 Manufacturer's Instructions

Preprinted material describing installation of a product, system or material, including special notices and Safety Data

SECTION 01 33 00 Page 4

Sheets(SDS)concerning impedances, hazards and safety precautions.

SD-10 Operation and Maintenance Data

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

1.1.2 Approving Authority

Office or designated person authorized to approve the submittal.

1.1.3 Work

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

1.2 SUBMITTALS

Government approval is required for submittals with a "G" or "S" classification. Submit the following in accordance with Section 01 33 00

SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Submittal Register; G

1.3 SUBMITTAL CLASSIFICATION

1.3.1 Government Approved (G)

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

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1.3.2 For Information Only

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

1.4 PREPARATION

1.4.1 Transmittal Form

1.4.2 Submittal Format

1.4.2.1 Format of SD-01 Preconstruction Submittals

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

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

1.4.2.2 Format for SD-02 Shop Drawings

Provide shop drawings not less than 8 1/2 by 11 inches nor more than 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.

1.4.2.2.1 Drawing Identification

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

IDENTIFYING SUBMITTALS.

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

Reserve a blank space, no smaller than 3 inches on the right-hand side of each sheet for the Government disposition stamp.

1.4.2.3 Format of SD-03 Product Data

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

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

indicate the specification section number and paragraph number to which it

SECTION 01 33 00 Page 6 pertains.

1.4.2.3.1 Product Information

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

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

1.4.2.3.2 Standards

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

1.4.2.3.3 Data Submission

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

Submit the manufacturer's instructions before installation.

1.4.2.4 Format of SD-04 Samples

1.4.2.4.1 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.

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.

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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.

1.4.2.4.2 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.

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.

1.4.2.4.3 Comparison Sample

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

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

1.4.2.5 Format of SD-05 Design Data

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

1.4.2.6 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.

1.4.2.7 Format of SD-07 Certificates

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

1.4.2.8 Format of SD-08 Manufacturer's Instructions

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

SECTION 01 33 00 Page 8

Submit the manufacturer's instructions before installation.

1.4.2.8.1 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.

1.4.3 Source Drawings for Shop Drawings

1.4.3.1 Source Drawings

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

1.4.3.2 Terms and Conditions

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

These electronic source drawing files are not construction documents.

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

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1.5 QUANTITY OF SUBMITTALS

1.5.1 Number of SD-01 Preconstruction Submittal Copies

Unless otherwise specified, submit two sets of administrative submittals.

1.5.2 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 INFORMATION ONLY SUBMITTALS

Submittals without a "G" designation must be certified by the QC manager and submitted to the Contracting Officer for information-only. Provide information-only submittals to the Contracting Officer a minimum of 14 calendar days prior to the Preparatory Meeting for the associated Definable Feature of Work (DFOW). 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.

1.7 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 "Attachment A - Submittal Register."

1.7.1 Submittal Management

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

(i) as approved. As an attachment, provide a submittal register showing items of equipment and materials for which submittals are required by the specifications. This list may not be all-inclusive and additional submittals may be required.

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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.

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.

1.7.2 Preconstruction Use of Submittal Register

Submit the submittal register. Include the QC plan and the project schedule. Verify that all submittals required for the project are listed and add missing submittals. Coordinate and complete the following fields on the register submitted with the QC plan and the project schedule:

Column (a) Activity Number: Activity number from the project schedule.

Column (g) Contractor Submit Date: Scheduled date for the approving authority to receive submittals.

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

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

1.7.3 Contractor Use of Submittal Register

Update the following fields with each submittal throughout the contract.

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

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

Column (l) Date submittal transmitted.

Column (q) Date approval was received.

1.7.4 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.

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

Column (q) Date of return to Contractor.

1.7.5 Action Codes

1.7.6 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.

1.8 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…