W911SA21B2009 Specifications.pdf

Specifications POV Parking Lot SGT William F. Fale, Army Reserve Center

U.S. Army Contracting Command Fort McCoy, Wisconsin

Final 100% Submittal February 2021

00 01 07.doc

Project Manual for

POV Parking Lot SGT William F. Fale, Army Reserve Center

U.S. Army Contracting Command Fort McCoy, Wisconsin

Signature February 26, 2021 Date

License Expiration Date: 11-30-2021 Illinois Firm Registration No. 062-046258

00 01 07.doc

Signature

Date

License Expiration Date: 11-30-2021 Illinois Firm Registration No. 062-047370

I hereby certify that this engineering document was prepared by me or under my direct personal supervision and that I am a duly licensed Professional Engineer under the laws of the State of Iowa.

(signature) (date)

Discipline: Civil Engineer, Iowa License No. P25705

License expires December 31, 2022.

Pages or sheets covered by this seal: 31 00 00, 31 05 19, 31 11 00, 32 11 23, 32 12 13, 32 12 16, 32 16 19, 32 17 23, 32 31 13.53, 32 92 19.

POV Parking Lot Fale ARC Sheboygan, WI

PROJECT TABLE OF CONTENTS

DIVISION 00 - PROCUREMENT AND CONTRACTING REQUIREMENTS

00 73 05 PROCUREMENT AND CONTRACTING REQUIREMENTS

DIVISION 01 - GENERAL REQUIREMENTS

01 30 00 ADMINISTRATIVE REQUIREMENTS

01 33 00 SUBMITTAL PROCEDURES

01 42 00 SOURCES FOR REFERENCE PUBLICATIONS

01 45 00.00 10 QUALITY CONTROL

01 57 19 TEMPORARY ENVIRONMENTAL CONTROLS

01 78 00 CLOSEOUT SUBMITTALS

01 78 23 OPERATION AND MAINTENANCE DATA

DIVISION 02 - EXISTING CONDITIONS

02 41 00 DEMOLITION

DIVISION 03 - CONCRETE

03 30 00 CAST-IN-PLACE CONCRETE

DIVISION 07 - THERMAL AND MOISTURE PROTECTION

07 84 00 FIRESTOPPING

DIVISION 26 - ELECTRICAL

26 20 00 INTERIOR DISTRIBUTION SYSTEM

26 42 14.00 10 CATHODIC PROTECTION SYSTEM (SACRIFICIAL ANODE)

26 56 00 EXTERIOR LIGHTING

DIVISION 31 - EARTHWORK

31 00 00 EARTHWORK

31 05 19 GEOTEXTILE

31 11 00 CLEARING AND GRUBBING

DIVISION 32 - EXTERIOR IMPROVEMENTS

32 05 33 LANDSCAPE ESTABLISHMENT

32 11 23 AGGREGATE BASE COURSES

32 12 13 BITUMINOUS TACK AND PRIME COATS

32 12 16 HOT-MIX ASPHALT (HMA) FOR ROADS

32 16 19 CONCRETE CURBS, GUTTERS AND SIDEWALKS

32 17 23 PAVEMENT MARKINGS

32 31 13.53 HIGH-SECURITY FENCES (CHAIN LINK AND ORNAMENTAL) AND GATES

32 92 19 SEEDING

32 93 00 EXTERIOR PLANTS

DIVISION 33 - UTILITIES

33 40 00 STORM DRAINAGE UTILITIES

33 71 02 UNDERGROUND ELECTRICAL DISTRIBUTION

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1

SECTION TABLE OF CONTENTS

DIVISION 00 - PROCUREMENT AND CONTRACTING REQUIREMENTS

DOCUMENT 00 73 05

PROCUREMENT AND CONTRACTING REQUIREMENTS

02/14

PART 1 GENERAL

1.1 SUBMITTALS

1.2 ADDITIONAL COMMENCEMENT, PROSECUTION, AND COMPLETION OF WORK

1.3 ADDITIONAL COORDINATION WITH OTHERS

1.4 ANTITERRORISM (AT) AND OPERATIONS SECURITY (OPSEC)

1.4.1 AT Level 1 Training

1.4.2 Access and General Protection Policy and Procedures

1.4.2.1 Contractors Who Do Not Require CAC, But Require Access To A

DOD Facility Or Installation

1.4.3 iWATCH and/or CorpsWatch Training

1.4.4 Required OPSEC Training

1.4.5 Classified and Sensitive Materials and/or Sensitive and

Restricted Areas

1.4.6 E-Verify Program

1.5 EQUIPMENT OWNERSHIP AND OPERATING EXPENSE SCHEDULE

1.6 AVAILABILITY AND USE OF UTILITY SERVICES

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

ATTACHMENT A - Personnel Change Request Form

-- End of Section Table of Contents --ms2131 DOCUMENT 00 73 05 Page 1

DOCUMENT 00 73 05

PROCUREMENT AND CONTRACTING REQUIREMENTS

02/14

PART 1 GENERAL

1.1 SUBMITTALS

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

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

SD-01 Preconstruction Submittals

AT Level 1 Training Certificates; G, SL

Background Checks; G, SL

OPSEC Level 1 Training; G, SL

Company Enrollment in E-Verify; G, SL

Form I-9; G, SL

1.2 ADDITIONAL COMMENCEMENT, PROSECUTION, AND COMPLETION OF WORK

In addition to the requirements of Contract Clause COMMENCEMENT, PROSECUTION, AND COMPLETION OF WORK, comply with the following requirements:

Work schedule is Monday through Friday 7:30am to 4:00pm, except Federal holidays, or as approved by the Contracting Officer. If Contracting Officer approves weekend work, work will not commence on Reserve Drill weekends. Schedule for Reserve Drill weekends will be provided by the Contracting Officer from the Facility at the preconstruction meeting or when mobilized.

1.3 ADDITIONAL COORDINATION WITH OTHERS

Schedule and coordinate operations affecting other Contractors, Government Personnel, utilities, and/or property occurring within the work limits.

Accomplish with lead time sufficient for coordination of all involved parties as necessary for timely completion of each Contract feature. As a minimum, establish coordination with each of the following point(s) of contact, as required:

a. Area Facility Operations Specialist Jason A. Lange 88th Readiness Division Telephone: 218-790-0841

b. Facility Coordinator 88th RD Fale Memorial U.S. Army Reserve Center 2891 Erie Avenue Sheboygan, WI 53081 ms2131 DOCUMENT 00 73 05 Page 2

Telephone: 920-208-2658

1.4 ANTITERRORISM (AT) AND OPERATIONS SECURITY (OPSEC)

1.4.1 AT Level 1 Training

All Contractor and sub-contractor employees requiring access to non-public or private Government property to complete AT Level 1 Training within 30 calendar days after Notice to Proceed date. AT Level 1 Training is available at the following website:

https://jkodirect.jten.mil/Atlas2/faces/page/login/Login.seam The required training is under the heading "JS-US007-14: Level 1 Antiterrorism Awareness Training." Contractor employees who have a Common Access Card (CAC) may log in with their CAC. Contractor employees without a CAC to log into the "Non-CAC users" link and need to complete the training all at once, as no record of training will be maintained aside from the certificate that is printed upon completion. Submit all AT Level 1 Training Certificates within 5 calendar days of completion.

1.4.2 Access and General Protection Policy and Procedures

Per ENG FORM 6055, comply with the following Operational Security Requirements. All Contractor and subcontractor employees will comply with installation and facility access guidelines and rules as stated.

Contractor workforce to comply with all personal identity verification requirements as directed by Department of Defense (DoD), Department of the Army Headquarters, Rock Island District, and/or local policy. In addition to the changes otherwise authorized by the Contract Clause 52.243-4 CHANGES, should the Force Protection Condition (FPCON) at any installation or facility change, the Government may require changes in Contractor security matters or processes. In support of Rock Island District evaluation of personnel authorized for access to federal facilities, pay all fees for and submit background checks that have been conducted by a bonded third party within the last 6 months of the Notice to Proceed date and authorize reports to be mailed to the Rock Island District Security and Law Enforcement Office by the third party, see paragraph SUBMITTALS for address and other requirements. The background check will cover, at a minimum, the last ten years covering the states the employee had/has lived in, national crime records check which includes felony and misdemeanor offenses, Department of Motor Vehicles (DMV) records, and a national sex offender registry check, submitted 14 days prior to accessing the project site. Identification Badges: The Contractor is responsible for furnishing a photo identification badge/card to each employee prior to the employee's work on-site, and for requiring each employee engaged on the work to display identification. At a minimum, the badge will have the following items shown, the employee's picture, employee's name, and company name working for. The badge will be prominently displayed unless restricted for safety concerns, in which case it will be available for immediate display upon request (carried on person). As employees are added or deleted from the submitted and approved Access Control List (ACL), this information will be reported immediately to the Contracting Officer. Added employees will not be permitted on-site until requirements of this paragraph are completed, submitted, and approved. Disqualifying factors include, but are not limited to:

a. Criminal conduct, in particular, violent crime and sex offenders;

b. Habitual use of intoxicating beverages to excess as evidenced by Driving Under the Influence (DUI) or public intoxication records; or ms2131 DOCUMENT 00 73 05 Page 3

c. Any illegal activity or other disqualification which makes the individual unfit for service (e.g., drug trafficking or procurement fraud).

In addition to the submitted background checks, supplemental agency checks may be performed at the discretion of the Rock Island District security personnel. The Contractor agrees to cooperate and ensure that Contractor employees provide any documentation required to complete these checks. Any employee lacking proper identification credentials or deemed a security threat may be denied access to the project. Such action in no way relieves the Contractor from performance of the contract. The Rock Island District retains the right to deny any Contractor and sub-contractor employee(s) from working on this Contract awarded by the Rock Island District based on final background investigation results. All information received as a result of a background check will be handled according to Privacy Act regulation.

In the event that an unexpected change in personnel is required, due to sudden absence of a critical path employee, immediately contact the Contracting Officer to coordinate obtaining written approval from the Security and Law Enforcement Office for new/additional personnel to be brought on-site prior to background check acceptance. Submit ATTACHMENT A

- Personnel Change Request Form and will receive written authorization from the Security and Law Enforcement Office prior to bringing new personnel on-site, and will ensure a background check is sent to the Rock Island District Security and Law Enforcement Office no later than 10 days from written notice of approval. The Rock Island District reserves the right to terminate access of the employee upon completion of the Government's review of the background check and the Contractor will be notified immediately of any such Government decision.

In the event of an unforeseen change in work site conditions, which may require a Contract Modification, and the Contractor has to immediately add employees, the Contractor to submit ATTACHMENT A - Personnel Change Request Form and will receive written approval from the Security and Law Enforcement Office prior to bringing new personnel on-site, and ensure a background check is sent to the Rock Island District Security and Law Enforcement Office no later than 10 days from written notice of approval.

The Rock Island District reserves the right to terminate access of the employee upon completion of the Government's review of the background check and the Contractor will be notified immediately of any such Government decision.

Contractor, Contractor employees, and subcontractor employees not expected to be on the worksite for more than 15 days may be allowed on-site with the following conditions:

a. Employee will be on site a total of 15 days or less, for the duration of the project.

b. Employee is added to the ACL as a short term employee.

c. Employee is escorted while on-site. This is defined as being in the line of sight of an identified Contractor employee who has a background check on file with the Rock Island District (as noted on the ACL).

d. Each Contractor employee can sponsor only up to five short term employees at a time.

ms2131 DOCUMENT 00 73 05 Page 4

Foreign National Employees: Due to a difference in background check procedures for long term foreign national employees, all such employees will provide a photocopy of their passport to the Rock Island District Security and Law Enforcement Office no later than 30 days prior to arrival on-site. Short term foreign national employees (e.g. specialists with a two week period of performance) may work on site with the following conditions:

a. Foreign national employee will be on-site a total of 15 days or less, for the duration of the project.

b. Foreign national employee in accordance with E-Verify requirements (see paragraph "E-Verify Program").

c. Approved and identified Contractor employee will escort the foreign national employee AT ALL TIMES while on-site.

d. Each Contractor employee can sponsor only one short term foreign national at a time.

1.4.2.1 Contractors Who Do Not Require CAC, But Require Access To A DOD Facility Or Installation

Contractor and all associated sub-contractors employees must comply with adjudication standards and procedures using the National Crime Information Center Interstate Identification Index (NCIC-III) and Terrorist Screening Database (TSDB) (Army Directive 2014-05 / AR 190-13), applicable installation, facility and area commander installation/facility access and local security policies and procedures (provided by Government, as NCIC and TSDB are available), or, at OCONUS locations, in accordance with status of forces agreements and other theater regulations.

1.4.3 iWATCH and/or CorpsWatch Training

The Contractor and all subcontractor employees must receive a briefing provided by the Rock Island District Security and Law Enforcement Office on the local suspicious activity reporting program. This locally developed training will be used to inform Contractor employees of the types of behavior to watch for and instruct them to report suspicious activity to the Contracting Officer, security representative, or local law enforcement entity. This training must be completed within 30 calendar days of Notice to Proceed and within 30 calendar days of new employees commencing performance with the results reported to the Contracting Officer by the Security and Law Enforcement Office via Memorandum of Record no later than 5 calendar days after the completion of the training.

1.4.4 Required OPSEC Training

Contractors and subcontractor employees must complete Operations Security (OPSEC) Level 1 Training within 30 calendar days of mobilization. OPSEC Level 1 training is available at the following website:

https://www.mvr.usace.army.mil/Business-With-Us/Contracting/ Scroll towards the bottom of the page, click on the blue lettering that states: "Contractors Operations Security (OPSEC) Training."

Submit certificates of completion for each affected Contractor and sub-contractor employee to the Contracting Officer within 5 calendar days after completion of training.

ms2131 DOCUMENT 00 73 05 Page 5

1.4.5 Classified and Sensitive Materials and/or Sensitive and Restricted Areas

All Contractor employees and associated subcontractor employees who are not in possession of the appropriate security clearance or access privileges must be escorted in areas where they may be exposed to classified, sensitive, or restricted materials and/or areas. Coordinate with the Contracting Officer for access.

1.4.6 E-Verify Program

The Contractor must pre-screen candidates using the E-Verify Program website (http://www.uscis.gov/e-verify) to meet the established employment eligibility requirements. The Contractor must ensure that the candidate has two valid forms of Government-issued identification prior to enrollment to ensure the correct information is entered into the E-Verify system.

Documentation of company enrollment in E-Verify, via a print screen of the company profile within the E-Verify system, must be submitted to the Security Office no later than 3 business days after receiving the Notice to Proceed. *When Contracts are with individuals, the individuals will be required to complete a Form I-9, Employment Eligibility Verification must be given/coordinated with the Contracting Officer. This Form will be provided to the Security Office after Notice to Proceed is received.

1.5 EQUIPMENT OWNERSHIP AND OPERATING EXPENSE SCHEDULE

The applicable provisions of EP 1110-1-8, to be Region II. See main Contract for remaining paragraph requirements.

1.6 AVAILABILITY AND USE OF UTILITY SERVICES

a. See FAR 52.236-14 in Section 00700 CONTRACT CLAUSES.

b. The Contractor may use drinking and restroom facilities, power, and potable water, subject to proper use and carefully conserve any utilities furnished.

***Please see main Contract for the remaining requirements of PART 1***

PART 2 PRODUCTS

Not used.

PART 3 EXECUTION

Not used.

ms2131 DOCUMENT 00 73 05 Page 6

ATTACHMENT A TO SECTION 00 73 05

PERSONNEL CHANGE REQUEST FORM

Contract No. ____________________ Date _______________

We, ____________________, respectfully request to add / replace (circle one) personnel to the jobsite due to the following situation:

Personnel to be conditionally added to the ACL (escorted by):

Background checks (if required for a long term employee) submitted by the close of business on (insert proposed date):

-- End of Document --ms2131 DOCUMENT 00 73 05 Page 7

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 30 00

ADMINISTRATIVE REQUIREMENTS

08/15

PART 1 GENERAL

1.1 REFERENCES

1.2 SUBMITTALS

1.3 VIEW LOCATION MAP

1.4 PROGRESS AND COMPLETION PICTURES

1.5 MINIMUM INSURANCE REQUIREMENTS

1.6 SUPERVISION

1.6.1 Minimum Communication Requirements

1.6.2 Superintendent Qualifications

1.6.2.1 Duties

1.6.3 Project Manager

1.6.3.1 Project Manager Qualifications

1.6.4 Non-Compliance Actions

1.7 PRECONSTRUCTION MEETING CONFERENCE

1.8 ELECTRONIC MAIL (E-MAIL) ADDRESS

1.9 MOBILIZATION

PART 2 PRODUCTS

PART 3 EXECUTION

ms2131 SECTION 01 30 00 Page 1

SECTION 01 30 00

ADMINISTRATIVE REQUIREMENTS

08/15

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 385-1-1 (2014) Safety and Health Requirements Manual

1.2 SUBMITTALS

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

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

SD-01 Preconstruction Submittals

View Location Map; G

Progress and Completion Pictures; G

1.3 VIEW LOCATION MAP

Submit, prior to or with the first digital photograph submittals, a sketch or drawing indicating the required photographic locations. Update as required if the locations are moved.

1.4 PROGRESS AND COMPLETION PICTURES

Photographically document site conditions prior to start of construction operations. Provide monthly, and within one month of the completion of work, digital photographs, 1600x1200x24 bit true color minimum resolution in JPEG file format showing the sequence and progress of work. Take a minimum of 20 digital photographs each week throughout the entire project from a minimum of ten views from points located by the Contracting Officer. Submit with the monthly invoice two sets of digital photographs, each set on a separate compact disc (CD) or data versatile disc (DVD), cumulative of all photos to date. Indicate photographs demonstrating environmental procedures. Provide photographs for each month in a separate monthly directory and name each file to indicate its location on the view location sketch. Also provide the view location sketch on the CD or DVD as a digital file. Include a date designator in file names. Cross reference submittals in the appropriate daily report. Photographs provided are for unrestricted use by the Government.

ms2131 SECTION 01 30 00 Page 2

1.5 MINIMUM INSURANCE REQUIREMENTS

Provide the minimum insurance coverage required by FAR 28.307-2 Liability, during the entire period of performance under this contract. Provide other insurance coverage as required by State law.

1.6 SUPERVISION

1.6.1 Minimum Communication Requirements

Have at least one qualified superintendent, or competent alternate, capable of reading, writing, and conversing fluently in the English language, on the job-site at all times during the performance of contract work. In addition, if a Quality Control (QC) representative is required on the contract, then that individual must also have fluent English communication skills.

1.6.2 Superintendent Qualifications

The project superintendent must have a minimum of 10 years experience in construction with at least 5 of those years as a superintendent on projects similar in size and complexity. The individual must be familiar with the requirements of EM 385-1-1 and have experience in the areas of hazard identification and safety compliance. The individual must be capable of interpreting a critical path schedule and construction drawings. The qualification requirements for the alternate superintendent are the same as for the project superintendent. The Contracting Officer may request proof of the superintendent's qualifications at any point in the project if the performance of the superintendent is in question.

1.6.2.1 Duties

The project superintendent is primarily responsible for managing and coordinating day-to-day production and schedule adherence on the project.

The superintendent is required to attend NAVFAC Red Zone meetings, partnering meetings, and quality control meetings. The superintendent or qualified alternative must be on-site at all times during the performance of this contract until the work is completed and accepted.

1.6.3 Project Manager

Assign a Project Manager with the responsibility for the overall management of the project. The Contracting Officer may request proof of the Project Manager's qualifications at any point in the project if the performance of the Project Manager is in question.

1.6.3.1 Project Manager Qualifications

The Project Manager must have a minimum 10 years experience as a Project Manager or Superintendent on projects of similar size and complexity.

1.6.4 Non-Compliance Actions

The Project Superintendent is subject to removal by the Contracting Officer for non-compliance with requirements specified in the contract and for failure to manage the project to insure timely completion. Furthermore, the Contracting Officer may issue an order stopping all or part of the work until satisfactory corrective action has been taken. No part of the time lost due to such stop orders is acceptable as the subject of claim for ms2131 SECTION 01 30 00 Page 3 extension of time for excess costs or damages by the Contractor.

1.7 PRECONSTRUCTION MEETING CONFERENCE

After award of the contract but prior to commencement of any work at the site, meet with the Contracting Officer to discuss and develop a mutual understanding relative to the administration of the value engineering and safety program, preparation of the schedule of prices or earned value report, shop drawings, and other submittals, scheduling programming, prosecution of the work, and clear expectations of the "Interim DD Form 1354" Submittal. Major subcontractors who will engage in the work must also attend.

1.8 ELECTRONIC MAIL (E-MAIL) ADDRESS

Establish and maintain electronic mail (e-mail) capability along with the capability to open various electronic attachments as text files, pdf files, and other similar formats. Within 10 days after contract award, provide the Contracting Officer a single (only one) e-mail address for electronic communications from the Contracting Officer related to this contract including, but not limited to contract documents, invoice information, request for proposals, and other correspondence. The Contracting Officer may also use email to notify the Contractor of base access conditions when emergency conditions warrant, such as hurricanes or terrorist threats.

Multiple email addresses are not allowed.

It is the Contractor's responsibility to make timely distribution of all Contracting Officer initiated e-mail with its own organization including field office(s). Promptly notify the Contracting Officer, in writing, of any changes to this email address.

1.9 MOBILIZATION

Contractor shall mobilize to the jobsite within 60 calendar days of contract award. Mobilize is defined as having equipment AND having a physical presence of at least one person from the contractor's team on the jobsite.

PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

Not Used

-- End of Section --ms2131 SECTION 01 30 00 Page 4

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

08/18

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

1.1.2 Project Type

1.1.3 Submission of Submittals

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

1.2.2 Approving Authority

1.2.3 Work

1.3 SUBMITTALS

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

1.4.2 For Information Only

1.5 FORWARDING SUBMITTALS REQUIRING GOVERNMENT APPROVAL

1.5.1 O&M Data

1.6 PREPARATION

1.6.1 Transmittal Form

1.6.2 Identifying Submittals

1.6.3 Submittal Format

1.6.3.1 Format of SD-01 Preconstruction Submittals

1.6.3.2 Format for SD-02 Shop Drawings

1.6.3.2.1 Drawing Identification

1.6.3.3 Format of SD-03 Product Data

1.6.3.3.1 Product Information

1.6.3.3.2 Standards

1.6.3.3.3 Data Submission

1.6.3.4 Format of SD-04 Samples

1.6.3.4.1 Sample Characteristics

1.6.3.4.2 Sample Incorporation

1.6.3.4.3 Comparison Sample

1.6.3.5 Format of SD-05 Design Data

1.6.3.6 Format of SD-06 Test Reports

1.6.3.7 Format of SD-07 Certificates

1.6.3.8 Format of SD-08 Manufacturer's Instructions

1.6.3.8.1 Standards

1.6.3.9 Format of SD-09 Manufacturer's Field Reports

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

1.6.3.11 Format of SD-11 Closeout Submittals

1.6.4 Source Drawings for Shop Drawings

1.6.4.1 Source Drawings

1.6.4.2 Terms and Conditions

1.6.5 Electronic File Format

1.7 QUANTITY OF SUBMITTALS

1.7.1 Number of SD-01 Preconstruction Submittal Copies

1.7.2 Number of SD-02 Shop Drawing Copies

ms2131 SECTION 01 33 00 Page 1

1.7.3 Number of SD-03 Product Data Copies

1.7.4 Number of SD-05 Design Data Copies

1.7.5 Number of SD-06 Test Report Copies

1.7.6 Number of SD-07 Certificate Copies

1.7.7 Number of SD-08 Manufacturer's Instructions Copies

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

1.7.9 Number of SD-10 Operation and Maintenance Data Copies

1.7.10 Number of SD-11 Closeout Submittals Copies

1.8 INFORMATION ONLY SUBMITTALS

1.9 PROJECT SUBMITTAL REGISTER AND DATABASE

1.9.1 Submittal Management

1.9.2 Preconstruction Use of Submittal Register

1.9.3 Contractor Use of Submittal Register

1.9.4 Approving Authority Use of Submittal Register

1.9.5 Action Codes

1.9.5.1 Government Review Action Codes

1.9.5.2 Government Review Action Codes

1.9.5.3 Contractor Action Codes

1.9.5.4 Contractor Action Codes

1.9.6 Delivery of Copies

1.10 VARIATIONS

1.10.1 Considering Variations

1.10.2 Proposing Variations

1.10.3 Warranting that Variations are Compatible

1.10.4 Review Schedule Extension

1.11 SCHEDULING

1.11.1 Reviewing, Certifying, and Approving Authority

1.11.2 Constraints

1.11.3 QC Organization Responsibilities

1.12 GOVERNMENT APPROVING AUTHORITY

1.12.1 Review Notations

1.13 DISAPPROVED SUBMITTALS

1.14 APPROVED SUBMITTALS

1.15 APPROVED SAMPLES

1.16 WITHHOLDING OF PAYMENT

1.17 STAMPS

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

ENG Form 4025-R

Appendix A - Submittal Register ms2131 SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES

08/18

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

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

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

1.1.2 Project Type

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.

The Contractor and the Designer of Record (DOR), if applicable, 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 Submission of Submittals

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

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

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

ms2131 SECTION 01 33 00 Page 3

SD-01 Preconstruction Submittals

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

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-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 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-04 Samples

Fabricated or unfabricated physical examples of materials, equipment or ms2131 SECTION 01 33 00 Page 4 workmanship that illustrate functional and aesthetic characteristics of a material or product and establish standards by which the work can be judged.

Color samples from the manufacturer's standard line (or custom color samples if specified) to be used in selecting or approving colors for the project.

Field samples and mock-ups constructed on the project site establish standards ensuring work can be judged. Includes assemblies or portions of assemblies that are to be incorporated into the project and those that will be removed at conclusion of the work.

SD-05 Design Data

Design calculations, mix designs, analyses or other data pertaining to a part of work.

Design submittals, design substantiation submittals and extensions of design submittals.

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 ms2131 SECTION 01 33 00 Page 5

Text of posted operating instructions

SD-08 Manufacturer's Instructions

Preprinted material describing installation of a product, system or material, including special notices and (SDS)concerning impedances, hazards and safety precautions.

SD-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.

1.2.2 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. When used, a designation following the "G" designation identifies the office that will review the submittal for the Government. Submit the following in accordance with this section.

SD-01 Preconstruction Submittals

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1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

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

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

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.

For Design-build construction all submittals not requiring DOR or 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."

1.5 FORWARDING SUBMITTALS REQUIRING GOVERNMENT APPROVAL

As soon as practicable after award of contract, and before procurement or fabrication, forward to the Architect-Engineer: submittals required in the technical sections of this specification, including shop drawings, product data and samples. In addition, forward a copy of the submittals to the Contracting Officer.

1.5.1 O&M Data

Submit data specified for a given item within 30 calendar days after the item is delivered to the contract site.

In the event the Contractor fails to deliver O&M data within the time limits specified, the Contracting Officer may withhold from progress payments 50 percent of the price of the items to which such O&M data apply.

1.6 PREPARATION

1.6.1 Transmittal Form

Transmit each submittal, except sample installations and sample panels to the office of the approving authority using the transmittal form prescribed by the Contracting Officer. Include all information prescribed by the transmittal form and required in paragraph IDENTIFYING SUBMITTALS. Use the submittal transmittal forms to record actions regarding samples.

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 will be furnished to the Contractor. 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.

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1.6.2 Identifying Submittals

The Contractor's approving authority must prepare, review and stamp submittals, including those provided by a subcontractor, before submittal to the Government.

Identify submittals, except sample installations and sample panels, with the following information permanently adhered to or noted on each separate component of each submittal and noted on transmittal form. Mark each copy of each submittal identically, with the following:

a. Project title and location

b. Construction contract number

c. Dates of the drawings and revisions

d. Name, address, and telephone number of Subcontractor, supplier, manufacturer, and any other Subcontractor associated with the submittal.

e. Section number of the specification by which submittal is required

f. Submittal description (SD) number of each component of submittal

g. For a resubmission, add alphabetic suffix on submittal description, for example, submittal 18 would become 18A, to indicate resubmission

h. Product identification and location in project.

1.6.3 Submittal Format

1.6.3.1 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.

1.6.3.2 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.

Present shop drawings sized 8 1/2 by 11 inches as part of the bound volume for submittals. Present larger drawings in sets. Submit an electronic ms2131 SECTION 01 33 00 Page 8 copy of drawings in PDF format.

1.6.3.2.1 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 4 inches on the right-hand side of each sheet for the Government disposition stamp.

1.6.3.3 Format of SD-03 Product Data

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

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

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

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

1.6.3.3.1 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.

1.6.3.3.2 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.

1.6.3.3.3 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.

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Submit the manufacturer's instructions before installation.

1.6.3.4 Format of SD-04 Samples

1.6.3.4.1 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.

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.

1.6.3.4.2 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.

1.6.3.4.3 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.

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1.6.3.5 Format of SD-05 Design Data

Provide design data and certificates on 8 1/2 by 11 inch paper. Provide a bound volume for submittals containing numerous pages.

1.6.3.6 Format of SD-06 Test Reports

Provide reports on 8 1/2 by 11 inch paper in a complete bound volume.

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

1.6.3.7 Format of SD-07 Certificates

Provide design data and certificates on 8 1/2 by 11 inch paper. Provide a bound volume for submittals containing numerous pages.

1.6.3.8 Format of SD-08 Manufacturer's Instructions

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

Submit the manufacturer's instructions before installation.

1.6.3.8.1 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.

1.6.3.9 Format of SD-09 Manufacturer's Field Reports

Provide reports on 8 1/2 by 11 inch paper in a complete bound volume.

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

1.6.3.10 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.

1.6.3.11 Format of SD-11 Closeout Submittals

When the submittal includes a document that is to be used in the project or is to become part of the project record, other than as a submittal, do not ms2131 SECTION 01 33 00 Page 11 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.

1.6.4 Source Drawings for Shop Drawings

1.6.4.1 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.

1.6.4.2 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.