Certified_Final_Technical_Specifications.pdf

W911WN-15-B-0010

U.S. ARMY CORPS OF ENGINEERS

PITTSBURGH DISTRICT

FY 15 DASHIELDS LOCK STRUTS SUPPLY

DASHIELDS LOCK AND DAM

OHIO RIVER

ALLEGHENY COUNTY, PENNSYLVANIA

TECHNICAL SPECIFICATIONS

CERTIFIED FINAL DOCUMENTS - RTA

APRIL 2015

Dashields Lock Struts

PROJECT TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

01 22 22.10 MEASUREMENT AND PAYMENT

01 30 00 GENERAL REQUIREMENTS

01 32 17 PROGRESS SCHEDULE

01 33 00 SUBMITTAL PROCEDURES

01 42 00 SOURCES FOR REFERENCE PUBLICATIONS

01 45 01.10 USACE QUALITY CONTROL SYSTEM (QCS)

01 45 01 USACE QUALITY CONTROL

01 78 02.00 15 CLOSEOUT SUBMITTALS (AS-BUILT DRAWINGS)

DIVISION 05 - METALS

05 12 00 STRUCTURAL STEEL

05 50 01.00 04 METALS: MISCELLANEOUS, STANDARD ARTICLES, SHOP

FABRICATED ITEMS FOR CIVIL WORKS STRUCTURES

DIVISION 09 - FINISHES

09 97 02 PAINTING: HYDRAULIC STRUCTURES

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1 Certified Final Documents - RTA W911WN-15-B-0010

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 22 22.10

MEASUREMENT AND PAYMENT

PART 1 GENERAL

1.1 LUMP SUM PAYMENT ITEMS

1.1.1 Bid Item 0001: Fabricate and Deliver 9 Lock Struts

1.1.1.1 Payment

1.1.1.2 Unit of Measure

1.1.2 Bid Item 0002 (Option A) and Bid Item 0003 (Option B) -

Fabricate and Deliver 2 Lock Struts

1.1.2.1 Payment

1.1.2.2 Unit of Measure

1.1.3 Bid Item 0004 (Option C): Fabricate and Deliver 3 Lock Struts

1.1.3.1 Payment

1.1.3.2 Unit of Measure

1.2 UNIT PRICE PAYMENT ITEMS

1.2.1 Bid Item 0005: Delivery Barge(s) Demurrage

1.2.1.1 Payment

1.2.1.2 Measurement

1.2.1.3 Unit of Measure

PART 2 PRODUCTS (Not Applicable)

PART 3 EXECUTION (Not Applicable)

-- End of Section Table of Contents --

SECTION 01 22 22.10 Page 1

SECTION 01 22 22.10

MEASUREMENT AND PAYMENT

PART 1 GENERAL

1.1 LUMP SUM PAYMENT ITEMS

Payment items for the work of this contract for which contract lump sum payments will be made are listed in the BIDDING SCHEDULE and described below. All costs for items of work, which are not specifically mentioned to be included in a particular lump sum or unit price payment item, shall be included in the listed lump sum item most closely associated with the work involved. The lump sum price and payment made for each item listed shall constitute 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.

1.1.1 Bid Item 0001: Fabricate and Deliver 9 Lock Struts

1.1.1.1 Payment

Payment shall constitute full compensation for all labor, equipment, material and supply costs to fabricate and deliver 9 Lock Strut Assemblies, 16 HF1 Hanger Assemblies, and 2 HF2 Hanger Assemblies for the Dashields Lock, including all metalwork fabrication, shop assmebly and delivery. The contract also includes all miscellaneous hardware, anchors, etc. as shown on the plans and listed in the specifications. Detailed quantities of each strut assemly and hanger assmebly are shown on Sheet G-0016. Payment shall include required shop assembly of the lock struts, prep and painting of lock struts and hangers, and all costs required for testing of materials and products incorporated into the work; required shop tests; and shipment to the Pittsburgh Engineer Warehouse and Repair Shop site. Payment shall also include all delivery costs associated with allowing 14 calendar days for Pittsburgh Engineer Warehouse and Repair Shop staff to unload the completed structures.

1.1.1.2 Unit of Measure

Unit of measure: Job.

1.1.2 Bid Item 0002 (Option A) and Bid Item 0003 (Option B) - Fabricate and Deliver 2 Lock Struts

Each Bid Item shall consist of the following:

1.1.2.1 Payment

Payment shall constitute full compensation for all labor, equipment, material and supply costs to fabricate and deliver 2 Lock Strut Assemblies and 4 HF1 Hanger Assemblies for the Dashields Lock, including all metalwork fabrication, shop assmebly and delivery. The contract also includes all miscellaneous hardware, anchors, etc. as shown on the plans and listed in the specifications. Detailed quantities of each strut assemly and hanger

SECTION 01 22 22.10 Page 2 assmebly are shown on Sheet G-0016. Payment shall include required shop assembly of the lock struts, prep and painting of lock struts and hangers, and all costs required for testing of materials and products incorporated into the work; required shop tests; and shipment to the Pittsburgh Engineer Warehouse and Repair Shop site. Payment shall also include all delivery costs associated with allowing 14 calendar days for Pittsburgh Engineer Warehouse and Repair Shop staff to unload the completed structure.

1.1.2.2 Unit of Measure

Unit of measure: Job.

1.1.3 Bid Item 0004 (Option C): Fabricate and Deliver 3 Lock Struts

1.1.3.1 Payment

Payment shall constitute full compensation for all labor, equipment, material and supply costs to fabricate and deliver 3 Lock Strut Assemblies and 6 HF1 Hanger Assemblies for the Dashields Lock, including all metalwork fabrication, shop assmebly and delivery. The contract also includes all miscellaneous hardware, anchors, etc. as shown on the plans and listed in the specifications. Detailed quantities of each strut assemly and hanger assmebly are shown on Sheet G-0016. Payment shall include required shop assembly of the lock struts, prep and painting of lock struts and hangers, and all costs required for testing of materials and products incorporated into the work; required shop tests; and shipment to the Pittsburgh Engineer Warehouse and Repair Shop site. Payment shall also include all delivery costs associated with allowing 14 calendar days for Pittsburgh Engineer Warehouse and Repair Shop staff to unload the completed structure.

1.1.3.2 Unit of Measure

Unit of measure: Job

1.2 UNIT PRICE PAYMENT ITEMS

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

1.2.1 Bid Item 0005: Delivery Barge(s) Demurrage

1.2.1.1 Payment

Payment shall constitute full compensation for all labor, equipment, material and supply costs associated with barge demurrage at the Pittsburgh Engineer Warehouse and Repair Shop delivery site. Unloading and relocating of struts will be performed by Government personnel and equipment.

Payment will include daily rate per barge, (beyond the 10 day allowance) until all struts are unloaded by the Government.

1.2.1.2 Measurement

Measurement will be made on the number of days the Contractor's barge(s)

SECTION 01 22 22.10 Page 3 wait for the struts to be unloaded, where one “DAY” is equal to one barge moored for one day. If multiple barges are used, each barge will be measured for payment. Once a barge is unloaded it will not be measured for payment.

1.2.1.3 Unit of Measure

Unit of measure: Day

PART 2 PRODUCTS (Not Applicable)

PART 3 EXECUTION (Not Applicable)

-- End of Section --

SECTION 01 22 22.10 Page 4

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 30 00

GENERAL REQUIREMENTS

PART 1 GENERAL

1.1 SUMMARY

1.2 SCOPE OF WORK

1.3 SUBMITTALS

1.4 DRAWINGS

1.4.1 Contract Drawings - General

1.4.2 Detail Design Drawings

1.4.3 Final "As-Built" Shop Drawings

1.5 INSPECTIONS AND ACCEPTANCE OF WORK

1.5.1 General

1.5.2 Access to Work

1.6 DELIVERY, STORAGE, AND HANDLING

1.6.1 Loose Part Delivery Requirements

1.6.2 Demurrage

PART 2 PRODUCTS

2.1 PRODUCTS AND PARTS OF STANDARD MANUFACTURE

PART 3 EXECUTION

3.1 EXECUTION OF WORK

3.1.1 General

3.1.2 Pre-Delivery Coordination

3.2 TESTING

3.3 RECORDS AND REPORTS

3.4 SECURITY REQUIREMENTS

3.4.1 Contract for Work on Federal Contracts

3.4.2 Changes in Security Requirements

3.4.3 Identification of Employees

3.4.4 E-Quip Information Needed for Contractors

-- End of Section Table of Contents --

SECTION 01 30 00 Page 1

SECTION 01 30 00

GENERAL REQUIREMENTS

PART 1 GENERAL

1.1 SUMMARY

This section addresses the general requirements applicable to the performance of the work under this contract. These requirements are in addition to those specified in other sections of the contract. Note:

The term "Construction" as referred to in all specifciation sections is equivalent to "Fabrication".

1.2 SCOPE OF WORK

This contract is for the fabrication and delivery of lock struts and their associated hangers for the Dashields Lock. The struts shall be delivered to Pittsburgh Engineer Warehouse and Repair Shop. Installation will be by others. The contract also includes all miscellaneous hardware, anchors, etc. as shown on the project plans and listed in the project specifications.

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. Designer of Record is designated as DOR. Submit the following in accordance with Section 01 33 00

SUBMITTAL PROCEDURES:

SD 01 Preconstruction Submittals

Delivery Work Plan; G, DO

A plan describing in detail the proposed methods of delivery of the products shall be submitted. The plan shall address equipment, machinery and site limitations identified in the specifications and discussed at a pre-delivery meeting between the Contractor and the Contracting Officer. The plan shall be submitted at least 60 calendar days prior to the proposed delivery of any struts or associated items. The plan shall include, but not be limited to the following:

a. Type and size of barge(s) to be used for delivery

b. Propelling unit to be used for delivery

c. Details for support during shipment to prevent distortion or other damages, and orientation and location of the structure on transport equipment

d. Location and description of intermediate assembly or handling areas (if any) between the fabrication location

e. Detailed written procedures for lifting, securing for

SECTION 01 30 00 Page 2 transport, and handling the struts for travel between fabricating site and delivery site.

Final Weights and Center of Gravity Computations; G, RO

1.4 DRAWINGS

1.4.1 Contract Drawings - General

The contract drawings reflect the work to be performed under this contract. The Contractor shall check all drawings immediately upon receipt, and verify the figures, dimensions, and representation of the work. The Contractor shall compare all drawings and verify the figures before laying out the work. Dimensions marked on drawings shall, in general, be followed in preference to scale measurements. The Contractor shall promptly notify the Contracting Officer of any discrepancies, and shall be responsible for any errors which might have been avoided by complying with this paragraph. Any omissions from the contract drawings and specifications or incorrect description of details of the work which are manifestly necessary to carry out the intent of the contract drawings and specifications, or which are customarily performed, shall not relieve the Contractor from performing such omitted or incorrectly described details of work, but shall be performed as if fully and correctly set forth and described in the contract drawings and specifications. Unless otherwise noted, dimensions and elevations, and other features shown on contract drawings are based on site surveys and measurements, and As-Built drawings. The Government cannot guarantee the accuracy of the dimensions, elevations, and features shown on the contract drawings which are based on the reference drawings, and it shall be the responsibility of the Contractor to verify all elevations and the dimensions shown by measurements in the field, at no additional cost to the Government.

1.4.2 Detail Design Drawings

Detail design drawings included in the folio of contract drawings provide details required to fabricate and assemble the products for this contract.

The Contracting Officer shall be notified of any discrepancies in the drawings prior to commencing any work.

1.4.3 Final "As-Built" Shop Drawings

The Contractor shall furnish a final set of As-Built fabrication drawings in accordance with Section 01 78 02.00 15 CLOSEOUT SUBMITTALS (AS-BUILT DRAWINGS), prior to completion of the work. All working "As-Built" and final "As-Built" drawings shall become the sole property of the Government at the conclusion of the contract. Shop-drawings provided by the Government and used by the Contractor in the performance of the contract shall be titled as the Contractor's and submitted in the folio of drawings to be submitted. No stamped, printed, or written statements that any drawings are the property of the Contractor or any other entity shall be placed on drawings submitted to the Government.

1.5 INSPECTIONS AND ACCEPTANCE OF WORK

1.5.1 General

Not withstanding other provisions of this contract, all materials and work to be performed under this contract shall be inspected and accepted by the Contracting Officer or his authorized representative(s). The Contracting

SECTION 01 30 00 Page 3

Officer or his authorized representative shall be the individual(s) solely authorized to reject materials, disapprove or approve any work in progress, or order or direct any revision or change to the plans and specifications as presently shown and stated.

1.5.2 Access to Work

The Contractor shall provide safe access to all work area for inspection by the Government.

1.6 DELIVERY, STORAGE, AND HANDLING

All struts, hangers, misc. steel, and any other matierials shown on the plans or outlined in the project specifications shall be delivered to the Pittsburgh Engineer Warehouse and Repair Shop at the following address:

3500 Grand Ave. Pittsburgh, PA 15225-1584. All struts and hangers shall be delivered by barge and the Contractor is to deliver all awarded struts and hangers at the same time. The contractor shall deliver the Pipe Strut Assemblies (PS1) fully assembled. The Contractor shall furnish Final Weights and Center of Gravity Computations for each item, as delivered, at least 30 days prior to shipment. The Contractor shall also provide a Delivery Work Plan. Unloading of completed struts and hangers will be performed by Government.

1.6.1 Loose Part Delivery Requirements

Loose parts such as bolts, nuts, washers, etc. shall be packaged and delivered as follows:

The manufacturer shall prepare, pack and load all materials and equipment for shipment in such a manner that they are protected from damage during shipment and shall be responsible for and make good any and all damage resulting from improper packing. Items subject to open storage at the site shall be suitably protected from weather damage. Where necessary, heavy parts shall be mounted on skids or shall be crated and any articles or materials that might be otherwise lost shall be boxed or steel banded in bundles and plainly marked for identification. All parts exceeding 200 pounds gross weight shall be prepared for shipment so that slings for handling by crane may be readily made. All parts subject to damage from moisture shall be packed in hermetically sealed metal containers or plastic envelopes with sufficient quantities of a hygroscopic material inside or in other approved containers, within their respective packing cases, with all machined surfaces heavily coated with a rust preventing compound. Each case, crate, bundle and single item shall be marked clearly with the name of the installation for which it is intended. Each container shall be clearly marked and the contents identified for proper warehousing. All fasteners and miscellaneous plates, templates, and fixtures required for field connections, splices, alignment, etc., shall be shipped in marked boxes keyed to the erection drawings. A complete packing list shall accompany each shipment.

1.6.2 Demurrage

If the Government is unable to offload the strut(s) and associated items within the 10 day unloading time specified for delivery, the Government may require the Contractor to store the completed struts and associated items on the delivery barges until they are offloaded by the Government. The Government will assume responsibility for the struts and associated items upon delivery and acceptance as specified. The Contractor will be paid for

SECTION 01 30 00 Page 4 such demurrage as specified in Section 01 22 22.10 MEASUREMENT AND PAYMENT.

PART 2 PRODUCTS

2.1 PRODUCTS AND PARTS OF STANDARD MANUFACTURE

All materials, supplies and articles furnished so as to be incorporated into the work under this contract shall be new and shall, whenever so specified and otherwise practicable, be standard products of recognized reputable manufacturers. Standard products of manufacturers other than those specified will be accepted when it is proven to the satisfaction of the Contracting Officer, in accordance with the Section 00700 CONTRACT CLAUSES, paragraph "MATERIAL AND WORKMANSHIP," that they are equal in performance, strength, durability, usefulness and convenience for the purpose intended. Any changes required in the details and dimensions shown on the drawings as a result of the substitution of standard products, other than those provided for, shall be properly made as approved by the Contracting Officer, and at the expense of the Contractor. All products specified by "similar or equal to" a particular brand name are for descriptive purposes only and are not to imply that the product is available from only that source. Each major piece of equipment furnished under the contract shall be provided with a substantial nameplate securely fastened or cast in place and clearly inscribed with the manufacturer's name, year of manufacture, principal rating data and other pertinent data.

PART 3 EXECUTION

3.1 EXECUTION OF WORK

3.1.1 General

The work shall be executed in such order of precedence as best suits the Contractor's fabrication and delivery schedule and the following restrictions. The Contractor shall perform the work in a diligent, effective manner, and shall schedule his operations in such a manner that the work is completed on time. In accordance with Section F DELIVERIES AND PERFORMANCE, clause "LIQUIDATED DAMAGES - SUPPLIES, SERVICES OR RESEARCH AND DEVELOPMENT", the Contractor will be assessed the daily monetary damages for failure to deliver products by the specified delivery dates.

3.1.2 Pre-Delivery Coordination

The Contractor shall meet with the Government representative at the delivery location at least 30 days prior to delivery of products to the site.

3.2 TESTING

Where testing is specified herein to be performed by the Government, the Government will perform the testing or will have the testing performed at a commercial laboratory at the expense of the Government. Where items or additional samples from items which have been previously tested and approved at the expense of the Government are required to be retested, the Government will bear the costs of such retesting. Where retesting is required because of the failure of previously tested samples, the expenses of all such retesting shall be borne by the Contractor at no extra expense to the Government. The Contractor shall pay for all additional retesting required due to subsequent test failures. Where so required for original testing, retesting will be performed either in the Government laboratories

SECTION 01 30 00 Page 5 or at such commercial laboratories as may be approved by the Contracting Officer.

3.3 RECORDS AND REPORTS

All records, test reports and similar documentation produced in connection with quality control operations shall be promptly submitted to the Contracting Officer or his authorized representative as required by the specifications.

3.4 SECURITY REQUIREMENTS

This paragraph contains information for security requirements for work on Government Property. The purpose of these security requirements it to ensure that all Contractor or subcontractor employees working on this contract have received proper clearance for access to the Government property. Identification of Critical Infrastructure and submission of required employee information will be discussed at the Preconstruction Meeting. Required employee information shall be submitted to the Contracting Officer or Pittsburgh Office of Security and Law Enforcement, as applicable, at least 15 calendar days prior to required employee access to the project.

3.4.1 Contract for Work on Federal Contracts

All Contractor and subcontractor employees working on this contract who require access to non-critical infrastructure are required to have a favorable background check in accordance with "Homeland Security Presidential Directive 12: Policy for a Common Identification Standard for Federal Employees and Contractors" (HSPD-12).

This background investigation shall be completed by the Pittsburgh Office of Security and Law Enforcement, who will make the final determination on an employee's suitability for work on Government property, and who shall have the right to deny a Contractor or subcontractor employee from working on a contract based on results of the background investigation.

Background investigations are defined in two parts as described below:

a. Prior to any contractor employees accessing the work site, an initial background check (LEXUS/NEXUS) shall be completed. To accomplish this, the prime contractor shall submit a complete list of employees who will be working on Government property (prime contractor employees and any subcontractor employees) to include Name, Social Security Number, Date of Birth and Place of Birth. This list shall be submitted to the Pittsburgh Office of Security & Law Enforcement who will conduct this initial criminal check based on the information provided. The Pittsburgh Office of Security & Law Enforcement will notify the Contracting Officer of the results within five working days of receiving the information. If no issues are found, approval to begin work will be provided in writing by the Contracting Officer or the Contracting Officer's Representative to the Contractor upon receipt of the results from the Pittsburgh Office of Security & Law Enforcement. At that time, Contractor employees receiving a favorable background check will be permitted access to the work site.

At the conclusion of this in-depth background investigation, results will be provided by the Contracting Officer or the Contracting Officer's Representative to the Contractor. Contractor employees permitted access to

SECTION 01 30 00 Page 6

Government property shall be limited to those individuals that have been specifically identified and approved. The Contractor SHALL report any change(s) in personnel at least 5 working days prior to individual(s) needing access to the site. The Contractor shall provide the same information as listed above for any new employees.

Employee information submitted to the Pittsburgh Office of Security and Law Enforcement and results of investigations will be retained in encrypted form and in a secure location until 90 calendar days after completion of the contract. The records will be destroyed at the end of this period.

3.4.2 Changes in Security Requirements

Security requirements are subject to change in accordance with HSPD-12, Office of Personnel Management, US Army Force Protection Measures, regulation or policy changes, etc. Changes to any security requirements shall be added to the contract by modification.

The Pittsburgh District Office of Security & Law Enforcement may be contacted by phone or e-mail at the following number/address:

Steve Davidson;

Phone 412-395-7504; e-mail stephen.davidson@usace.army.mil

Paul Surace;

Phone 412-395-7162; e-mail: paul.m.surace@usace.army.mil

3.4.3 Identification of Employees

The Contractor shall be responsible for furnishing an identification badge/card to each employee prior to the employee working on-site and for requiring each employee engaged on the work to display identification.

Identification shall consist of name tags with the name of the Contractor and the employee's name. As a minimum, a valid state driver's license or other government-issued photo identification card is required for positive identification.

3.4.4 E-Quip Information Needed for Contractors

Information Needed for Contractors

Full Name

Date of Birth

City of Birth

Social Security Number

Country of Birth

Are they a US Citizen

E-mail Address

Phone Number (Primary and Secondary

SECTION 01 30 00 Page 7

Supervisor Full Name

Supervisor E-mail Address

Supervisor Phone Number

Government POC Full Name

Government POC E-mail Address

Government POC Phone Number

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SECTION 01 30 00 Page 8

DIVISION 01 - GENERAL REQUIREMENTS

01 32 17

PROGRESS SCHEDULE

PART 1 GENERAL

1.1 SUBMITTALS

1.2 QUALIFICATIONS

PART 2 PRODUCTS (Not Applicable)

PART 3 EXECUTION

3.1 PROGRESS SCHEDULE - BAR CHART

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SECTION 01 32 17 Page 1

01 32 17

PROGRESS SCHEDULE

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

Bar Chart; G, RO

A schedule showing the order in which the Contractor proposes to perform the work, including monthly updates, which shall indicate the percentage of work scheduled for completion by any given date during the contract period.

1.2 QUALIFICATIONS

The Contractor shall designate an authorized representative who shall be responsible for the preparation of all required project schedule reports.

PART 2 PRODUCTS (Not Applicable)

PART 3 EXECUTION

3.1 PROGRESS SCHEDULE - BAR CHART

The progress chart to be prepared by the Contractor shall consist of a bar chart as described herein. In preparing this schedule, the scheduling of construction is the responsibility of the Contractor and contractor management personnel shall actively participate in its development. The chart may be prepared in a format proposed by the Contractor and approved by the Contracting Officer. Each activity shall include the applicable Price Schedule item number and show the estimated cost. The chart shall be prepared in sufficient detail to clearly show the Contractor's planned progress and the relationship of the various items of work. Larger activities shall be broken down into smaller activities with clearly defined limits (i.e. Excavation between STA xx and STA yy). In general, the estimated cost of any individual activity should not exceed $50,000.

The selection and number of activities shall be subject to the Contracting Officer's approval. The chart shall be updated monthly to show actual progress and percentage of work completed for each activity. The Contractor shall submit, as part of his monthly request for payment, updated copies of his progress schedule identifying the work completed during the reporting period. If the Government issues changes to the existing work or adds additional work items to the contract, the Contractor shall revise his progress schedule accordingly. All costs associated with revising the schedule shall be included as part of the modification of the contract. If the Contractor's progress falls behind his planned work

SECTION 01 32 17 Page 2 effort, a revised schedule shall be furnished to show how the Contractor proposes to complete the remaining work within the contract time. If the Contractor fails to submit updates as required, the Contracting Officer may withhold approval of partial payment estimates, until such submittals are made.

-- End of Section --

SECTION 01 32 17 Page 3

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

1.3.2 Information Only

1.4 PREPARATION

1.4.1 Transmittal Form

1.4.2 Procedures

1.5 INFORMATION ONLY SUBMITTALS

1.6 VARIATIONS / SUBSTITUTION REQUESTS

1.6.1 Considering Variations

1.6.2 Proposing Variations

1.6.3 Warranting That Variations Are Compatible

1.6.4 Review Schedule Is Modified

1.7 SUBMITTAL REGISTER

1.7.1 Use of Submittal Register

1.7.2 Contractor Use of Submittal Register

1.7.3 Approving Authority Use of Submittal Register

1.7.4 Contractor Action Code and Action Code

1.7.5 Copies Delivered to the Government

1.8 SCHEDULING

1.9 GOVERNMENT APPROVING AUTHORITY

1.10 DISAPPROVED SUBMITTALS

1.11 APPROVED SUBMITTALS

1.12 APPROVED SAMPLES

1.13 WITHHOLDING OF PAYMENT

1.14 STAMPS

PART 2 PRODUCTS

PART 3 EXECUTION

-- End of Section Table of Contents --

SECTION 01 33 00 Page 1

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

The Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections.

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

Each submittal is to be complete and in sufficient detail to allow ready determination of compliance with contract requirements. All design related submittals for a feature (i.e strut) shall be submitted as a complete package. The specified review period will begin when all related submittals have been received.

Contractor's Quality Control (CQC) System Manager to check and approve all items prior to 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.

Submittals requiring Government approval are to be scheduled and made prior to the acquisition of the material or equipment covered thereby. Picked up and disposed of in accordance with manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations samples remaining upon completion of the work.

1.1 DEFINITIONS

1.1.1 Submittal Descriptions (SD)

Submittals requirements are specified in the technical sections.

Submittals are identified by Submittal Description (SD) numbers and titles as follows:

SD-01 Preconstruction Submittals

Submittals which are required prior to a notice to proceed. Submittals required prior to the start of the next major phase of the construction on a multi-phase contract. Schedules or tabular list of data or tabular list including location, features, or other pertinent information regarding products, materials, equipment, or components to be used in the work, submitted prior to commencement of construction to which the submittal applies.

Certificates of insurance Surety bonds List of proposed subcontractors

SECTION 01 33 00 Page 2

List of proposed products Submittal register Schedule of prices Health 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 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.

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 furnished has been tested in accord with specified requirements. (Testing must have been within three years of date of contract award for the project.)

Report which includes findings of a test required to be performed by the Contractor on an actual portion of the work or prototype prepared for the project before shipment to job site.

Report which 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.

SECTION 01 33 00 Page 3

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 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 purpose of which is to further quality of 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.

1.1.2 Approving Authority

Office or designated person authorized to approve submittal; such as District Office (DO) Resident Office (RO)

1.1.3 Work

As used in this section, on- 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.

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 this section.

SD-01 Preconstruction Submittals

Submittal Register; G, RO

Submit the Submittal Register within 30 days after award of the contract.

1.3 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.3.1 Government Approved

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

SECTION 01 33 00 Page 4

Within the terms of the Contract Clause entitled "Specifications and Drawings for Construction," they are considered to be "shop drawings."

1.3.2 Information Only

Submittals not requiring Government approval will be for information only.

They are not considered to be "shop drawings" within the terms of the Contract Clause referred to above.

1.4 PREPARATION

1.4.1 Transmittal Form

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

1.4.2 Procedures

Provide submittals other than material samples in both hard copy (paper) and electronic formats. The electronic submittal file must be compiled as a single, complete document, to include the Transmittal Form described in Paragraph 1.4.1. The electronic submittal file must be named specifically according to its contents (e.g. 01 45 00.00-1.2_Quality Control Plan.pdf).

Electronic files must be of sufficient quality that all information is legible. Electronic format shall be in Adobe.PDF format, unless otherwise specified or directed by the Contracting Officer's Representative (COR).

Whenever possible, PDF files shall be generated from original documents so that the text included in the PDF file is both searchable and can be copied. If documents are scanned, Optical Character Resolution (OCR) routines are required. Files exceeding 30 pages shall be indexed and bookmarked to allow efficient navigation of the file. When required, the electronic file must include a valid electronic signature, or scan of a signature.

Email electronic submittal documents fewer than 10MB to an email address as directed by the COR. Electronic documents over 10MB shall be provided on a CD/DVD, or through an electronic file sharing system such as the AMRDEC SAFE Web Application located at the following website:

https://safe.amrdec.army.mil/safe/

Provide hard copies of submittals as specified in this or other specification sections. Up to five additional hard copies of any submittal may be requested from the Contractor at the discretion of the COR, at no additional cost to the Government.

Hard copies of submittals shall be submitted to:

Chief, Construction Branch U.S. Army Corps of Engineers, Pittsburgh District Upper Ohio Area Construction Office 3510 Grand Avenue

SECTION 01 33 00 Page 5

Pittsburgh, PA 15225

11.5 INFORMATION ONLY SUBMITTALS

Normally submittals for information only will not be returned. Approval of the Contracting Officer is not required on information only submittals.

The Government reserves the right to 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.

1.6 VARIATIONS / SUBSTITUTION REQUESTS

Variations from contract requirements require Government approval pursuant to Contract Clause FAR 52.236-21 and will be considered where advantageous to Government.

1.6.1 Considering Variations

Discussion with Contracting Officer prior to submission, will help ensure functional and quality requirements are met and minimize rejections and re-submittals. When contemplating a variation which results in lower cost, consider submission of the variation as a Value Engineering Change Proposal

(VECP).

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

1.6.2 Proposing Variations

When proposing variation, deliver written request to the Contracting Officer, with documentation of the nature and features of the variation and why the variation is desirable and beneficial to Government. If lower cost is a benefit, also include an estimate of the cost savings. In addition to documentation required for variation, include the submittals required for the item. Clearly mark the proposed variation in all documentation.

Check the column "variation" of ENG Form 4025 for submittals which include proposed deviations requested by the Contractor. Set forth in writing the reason for any deviations and annotate such deviations on the submittal.

The Government reserves the right to rescind inadvertent approval of submittals containing unnoted deviations.

1.6.3 Warranting That Variations Are Compatible

When delivering a variation for approval, Contractor warrants that this contract has been reviewed to establish that the variation, if incorporated, will be compatible with other elements of work.

1.6.4 Review Schedule Is Modified

In addition to normal submittal review period, a period of 10 working days

SECTION 01 33 00 Page 6 will be allowed for consideration by the Government of submittals with variations.

1.7 SUBMITTAL REGISTER

At the end of this section is a submittal register showing items of equipment and materials for which submittals are required by the specifications for construction; this list may not be all inclusive and additional submittals may be required. The Contractor shall maintain a submittal register for the project in accordance with Section 01 45 01.10

USACE QUALITY CONTROL SYSTEM (QCS).

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

(i) as approved. A submittal register showing items of equipment and materials for which submittals are required by the specifications is provided as an attachment. This list may not be all inclusive and additional submittals may be required. Maintain a submittal register for the project in accordance with Section 01 45 01.10 USACE QUALITY CONTROL SYSTEM (QCS). The Government will provide the initial submittal register in electronic format with the following fields completed, to the extent that will be required by the Government during subsequent usage.

Column (c): Lists specification section in which submittal is required.

Column (d): Lists each submittal description (SD No. and type, e.g. SD-02 Shop Drawings) required in each specification section.

Column (e): Lists one principal paragraph in 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 project requirements.

Thereafter, the Contractor is to track all submittals by maintaining a complete list, including completion of all data columns, including dates on which submittals are received and returned by the Government.

1.7.1 Use of Submittal Register

Submit submittal register. Submit with QC plan and project schedule.

Verify that all submittals required for 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 approving authority to receive submittals.

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

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

SECTION 01 33 00 Page 7

1.7.2 Contractor Use of Submittal Register

Update the following fields in the Government-furnished submittal register program or equivalent fields in program utilized by Contractor with each submittal throughout contract.

Column (b) Transmittal Number: Contractor assigned list of consecutive numbers.

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

Column (l) List date of submittal transmission.

Column (q) List date approval received.

1.7.3 Approving Authority Use of Submittal Register

Update the following fields in the Government-furnished submittal register program or equivalent fields in program utilized by Contractor.

Column (b) Transmittal Number: Contractor assigned list of consecutive numbers.

Column (l) List date of submittal receipt.

Column (m) through (p)List Date related to review actions.

Column (q) List date returned to Contractor.

1.7.4 Contractor Action Code and Action Code

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

NR - Not Received

AN - Approved as noted

A - Approved

RR - Disapproved, Revise, and Resubmit

1.7.5 Copies Delivered to the Government

Deliver one copy of submittal register updated by Contractor to Government with each invoice request.

1.8 SCHEDULING

Schedule and submit concurrently submittals covering component items forming a system or items that are interrelated. Adequate time (not less than 30 calendar days) shall be allowed and shown on the register for review and approval. Include certifications to be submitted with the pertinent drawings at the same time. No delay damages or time extensions will be allowed for time lost in late submittals.

a. Coordinate scheduling, sequencing, preparing and processing of submittals with performance of work so that work will not be

SECTION 01 33 00 Page 8 delayed by submittal processing. Allow for potential resubmittal of requirements.

b. Submittals called for by the contract documents will be listed on the register. If a submittal is called for but does not pertain to the contract work, the Contractor is to include the submittal in the register and annotate it "N/A" with a brief explanation.

Approval by the Contracting Officer does not relieve the Contractor of supplying submittals required by the contract documents but which have been omitted from the register or marked "N/A".

c. Re-submit register and annotate monthly by the Contractor with actual submission and approval dates. When all items on the register have been fully approved, no further re-submittal is required.

d. Carefully control procurement operations to ensure that each individual submittal is made on or before the Contractor scheduled submittal date shown on the approved "Submittal Register."

1.9 GOVERNMENT APPROVING AUTHORITY

When approving authority is Contracting Officer, the Government will:

a. Note date on which submittal was received.

b. Review submittals for approval within scheduling period specified and only for conformance with project design concepts and compliance with contract documents.

c. Identify returned submittals with one of the actions defined in paragraph entitled "Review Notations" and with markings appropriate for action indicated.

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

1.10 DISAPPROVED SUBMITTALS

Contractor shall make corrections required by the Contracting Officer. If the Contractor considers any correction or notation on the returned submittals to constitute a change to the contract drawings or specifications; notice as required under the clause entitled, "Changes" is to be given to the Contracting Officer. Contractor is responsible for the dimensions and design of connection details and construction of work.

Failure to point out deviations may result in the Government requiring rejection and removal of such work at the Contractor's expense.

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

1.11 APPROVED SUBMITTALS

The Contracting Officer's approval or acceptance of submittals is not be

SECTION 01 33 00 Page 9 construed as a complete check, and indicates only that the general method of construction, materials, detailing and other information are satisfactory.

Approval or acceptance will not relieve the Contractor of the responsibility for any error which may exist, as the Contractor under the Contractor Quality Control (CQC) requirements of this contract is responsible for dimensions, the design of adequate connections and details, and the satisfactory construction of all work. After submittals have been approved or accepted by the Contracting Officer, no resubmittal for the purpose of substituting materials or equipment will be considered unless accompanied by an explanation of why a substitution is necessary.

1.12 APPROVED SAMPLES

Approval of a sample is only for the characteristics or use named in such approval and is not be construed to change or modify any contract requirements. Before submitting samples, the Contractor to assure that the materials or equipment will be available in quantities required in the project. No change or substitution will be permitted after a sample has been approved.

Match the approved samples for Materials and equipment incorporated in the work. If requested, approved samples, including those which may be damaged in testing, will be returned to the Contractor, at his expense, upon completion of the contract. Samples not approved will also be returned to the Contractor at its expense, if so requested.

Failure of any materials to pass the specified tests will be sufficient cause for refusal to consider, under this contract, any further samples of the same brand or make of that material. Government reserves the right to disapproved any material or equipment which previously has proved unsatisfactory in service.

Samples of various materials or equipment delivered on the site or in place may be taken by the Contracting Officer for testing. Samples failing to meet contract requirements will automatically void previous approvals.

Contractor to replace such materials or equipment to meet contract requirements.

Approval of the Contractor's samples by the Contracting Officer does not relieve the Contractor of his responsibilities under the contract.

1.13 WITHHOLDING OF PAYMENT

Payment for materials incorporated in the work will not be made if required approvals have not been obtained.

1.14 STAMPS

Stamps used by the Contractor on…