Certified_Final_Documents.pdf

W911WN19B0003

New Cumberland Auxiliary Chamber Upstream Miter Gate Fabrication New Cumberland Locks and Dam Ohio River Jefferson County, Ohio

CERTIFIED FINAL DOCUMENTS

Technical Specifications June 2019

H4ECNRK9

Typewritten Text

New Cumberland Auxillary Chamber Upstream Miter Gate

PROJECT TABLE OF CONTENTS

DI VI SI ON 01 - GENERAL REQUI REMENTS

01 22 22.10 MEASUREMENT AND PAYMENT

01 30 00.00 08 ADMINISTRATIVE REQUIREMENTS

01 32 17 PROGRESS SCHEDULE

01 32 33 DIGITAL PROGRESS IMAGES

01 33 00 SUBMITTAL PROCEDURES

01 35 00.00 08 SPECIAL PROCEDURES

01 42 00 SOURCES FOR REFERENCE PUBLICATIONS

01 45 00.00 08 QUALITY CONTROL

01 45 00.15 10 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE(RMS CM)

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

DI VI SI ON 05 - METALS

05 59 13 FABRICATION OF HYDRAULIC STEEL STRUCTURES

DI VI SI ON 09 - FI NI SHES

09 97 02 PAINTING: HYDRAULIC STRUCTURES

DI VI SI ON 26 - ELECTRI CAL

26 42 14.00 10 CATHODIC PROTECTION SYSTEM (SACRIFICIAL ANODE)

DI VI SI ON 35 - WATERWAY AND MARI NE CONSTRUCTI ON

35 20 16.33 MITER GATES

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1 Certified Final Documents - RTA W911WN19B0003

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 22 22.10

MEASUREMENT AND PAYMENT

PART 1 GENERAL

1.1 JOB PAYMENT ITEMS

1.1.1 Reimbursement For Actual Performance And Payment Bond Premiums

1.1.2 Miter Gate Leafs

1.1.2.1 Payment

1.1.2.2 Unit of Measure

1.1.2.3 Payment Item

1.2 UNIT PRICE PAYMENT ITEMS

1.2.1 Digital Progress Images

1.2.1.1 Payment

1.2.1.2 Measurement

1.2.1.3 Unit of Measure

1.2.1.4 Payment Item

1.2.2 Storage of Miter Gate Leafs and Associated Items

1.2.2.1 Payment

1.2.2.2 Measurement

1.2.2.3 Unit of Measure

1.2.2.4 Payment Items

1.2.3 Spare Diagonal End Assembly

1.2.3.1 Payment

1.2.3.2 Measurement

1.2.3.3 Unit of Measure

1.2.3.4 Payment Item

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 JOB PAYMENT ITEMS

Payment items for the work of this contract for which contract job payments will be made are listed in the PRICE SCHEDULE and described below. All costs for items of work, which are not specifically mentioned to be included in a particular job item, shall be included in the listed job item most closely associated with the work involved. The job 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 Reimbursement For Actual Performance And Payment Bond Premiums

Payment for reimbursement for actual performance and payment bond premiums will be made as specified in Section I CONTRACT CLAUSES, FAR 52.228-16

PERFORMANCE AND PAYMENT BONDS--OTHER THAN CONSTRUCTION.

0001 REIMBURSEMENT FOR ACTUAL PERFORMANCE AND PAYMENT BOND PREMIUMS,

BASE CONTRACT

1001 REIMBURSEMENT FOR ACTUAL PERFORMANCE AND PAYMENT BOND PREMIUMS,

AWARDABLE OPTION A

1.1.2 Miter Gate Leafs

1.1.2.1 Payment

Payment shall constitute full compensation for all labor, equipment, material and supply costs to fabricate and deliver the new miter gate leafs, including all metalwork fabrication, shop assembly, testing, painting, and mock-ups. Payment shall include required shop assembly of the gate components. Payment made shall be full compensation for all appurtenant items including, but not limited to gudgeon anchorage assemblies, diagonals, strut pin housing, strut pins and connection components, mitering devices, pintle assemblies, quoin and miter contact block assemblies,bottom sill rubber seal, walkways, aluminum walkway grating, handrailing, cathodic protection anodes, grease lines, fenders, lifting lugs, turning feet, fasteners, and other appurtenances as called for in these specifications and shown on the plans. Payment made shall be full compensation for shop applied coating systems, including all materials, equipment, and labor, required to paint the hydraulic structure in accordance with Section 09 97 02 PAINTING: HYDRAULIC STRUCTURES.

Payment made shall include all costs required for testing of materials and products incorporated into the work. Payment shall include all other incidental costs to furnish the miter gate leafs as shown on the contract drawings and as specified.

SECTION 01 22 22.10 Page 2

1.1.2.2 Unit of Measure

Unit of measure: Job.

1.1.2.3 Payment Item

0003 FABRICATE AND DELIVER LOWER MITER GATE (2 LEAFS)

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 Digital Progress Images

1.2.1.1 Payment

Payment shall constitute full compensation for all labor, equipment, material and supply costs for furnishing monthly digital progress images as specified in Section 01 32 33 DIGITAL PROGRESS IMAGES.

1.2.1.2 Measurement

Measurement will be made of the number of months that sets of photographs are taken and delivered to the Contracting Officer as approved or directed by the Contracting Officer. Each set shall consist of all specified hardcopies and electronic copies for each photographic session as specified in Section 01 32 33 DIGITAL PROGRESS IMAGES.

1.2.1.3 Unit of Measure

Unit of Measure: Sets

1.2.1.4 Payment Item

0002 DIGITAL PROGRESS IMAGES

1.2.2 Storage of Miter Gate Leafs and Associated Items

1.2.2.1 Payment

Payment for this item shall constitute full compensation for all labor, equipment, material and supply costs to store the miter gate leaves and associated items until they are delivered and off-loaded by the Government as specified in Section 01 35 00.00 08 SPECIAL PROCEDURES, paragraph STORAGE AND DELIVERY OF MITER GATE LEAFS. The payment shall constitute full compensation for all incidental costs in connection with these aspects of the work under this contract.

1.2.2.2 Measurement

Measurement shall be made on the number of months the gate leafs and associated items are stored at the delivery location on barge(s).

Measurement shall be made to the whole month.

SECTION 01 22 22.10 Page 3

1.2.2.3 Unit of Measure

Unit of measure: Months.

1.2.2.4 Payment Items

Lump sum items listed in the UNIT PRICE BID SCHEDULE are listed below:

1002 STORAGE OF LOWER MITER GATE (2 LEAFS) AND ASSOCIATED ITEMS

1.2.3 Spare Diagonal End Assembly

1.2.3.1 Payment

Payment shall constitute full compensation for all labor, equipment, material and supply costs for furnishing spare diagonal end assembly as indicated on contract drawing S-5155 for the upstream miter gate and contract drawing S-5156 for the downstream miter gate. Shipping and delivery costs for the spare diagonal end assemblies shall be covered under the payment item 0003 FABRICATE AND DELIVER UPPER MITER GATE (2 LEAFS). The assemblies shall be shipped with and at the same time as the upper miter gate leafs.

1.2.3.2 Measurement

Measurement will be made of the number of spare diagonal end assemblies fabricated.

1.2.3.3 Unit of Measure

Unit of Measure: Each.

1.2.3.4 Payment Item

0004 SPARE DIAGONAL END ASSEMBLY (UPSTREAM GATE)

0005 SPARE DIAGONAL END ASSEMBLY (DOWNSTREAM GATE)

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 00.00 08

ADMINISTRATIVE REQUIREMENTS

PART 1 GENERAL

1.1 SUMMARY

1.2 ACRONYMS

1.3 USACE ACQUISITION INSTRUCTIONS (UAI)

1.3.1 UAI 5122.1302-100 VETERANS EMPLOYMENT EMPHASIS FOR U.S. ARMY

CORPS OF ENGINEERS CONTRACTS

1.4 SUPERVISION

1.4.1 Minimum Communication Requirements

1.4.2 Superintendent Qualifications

1.4.2.1 Duties

1.4.3 Non-Compliance Actions

1.5 PREFABRICATION CONFERENCE

PART 2 PRODUCTS

PART 3 EXECUTION

-- End of Section Table of Contents --

SECTION 01 30 00.00 08 Page 1

SECTION 01 30 00.00 08

ADMINISTRATIVE REQUIREMENTS

PART 1 GENERAL

1.1 SUMMARY

This sections contains contract administrative requirements which are not covered in Section I CONTRACT CLAUSES or Section H SPECIAL CONTRACT

REQUIREMENTS.

1.2 ACRONYMS

DFARS - Defense Federal Acquisition Regulations Supplement EP - Engineer Pamphlet FAR - Federal Acquisition Regulations SAT - Simplified Acquisition Threshold UAI - USACE Acquisition Instructions

1.3 USACE ACQUISITION INSTRUCTIONS (UAI)

1.3.1 UAI 5122.1302-100 VETERANS EMPLOYMENT EMPHASIS FOR U.S. ARMY CORPS

OF ENGINEERS CONTRACTS

In addition to complying with the requirements outlined in FAR Part 22.13, FAR Part 22.13, FAR Provision 52.222-38, FAR Clause 52.222-35, FAR Clause 52.222-37, DFARS 222.13 and Department of Labor regulations, U.S. Army Corps of Engineers (USACE) contractors and subcontractors at all tiers are encouraged to promote the training and employment of U.S. veterans while performing under a USACE contract. While no set-aside, evaluation preference, or incentive applies to the solicitation or performance under the resultant contract, USACE contractors are encouraged to seek out highly qualified veterans to perform services under this contract. The following resources are available to assist USACE contractors in their outreach efforts:

U.S. Department of Labor Veterans' Employment and Training Service (VETS): http://www.dol.gov/vets /

Federal veteran employment information: www.fedshirevets.gov/

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

U.S. Army Warrior Transition Command Employment Index:

https://wct.army.mil/modules/employers/index.html

Hiring Our Heroes initiative:

www.uschamberfoundation.org/hiring-our-heroes

1.4 SUPERVISION

1.4.1 Minimum Communication Requirements

Have at least one qualified superintendent, or competent alternate, SECTION 01 30 00.00 08 Page 2 capable of reading, writing, and conversing fluently in the English language, on the fabrication 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.

1.4.2 Superintendent Qualifications

The project superintendent must have a minimum of 10 years experience in fabrication with at least 5 of those years as a superintendent on projects similar in size and complexity. The individual must be capable of interpreting a critical path schedule and fabrication 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.

1.4.2.1 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 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.

1.4.3 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 extension of time for excess costs or damages by the Contractor.

1.5 PREFABRICATION CONFERENCE

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

PART 2 PRODUCTS

NOT USED

PART 3 EXECUTION

NOT USED

-- End of Section --

SECTION 01 30 00.00 08 Page 3

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

-- End of Section Table of Contents --

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 fabrication 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

SECTION 01 32 17 Page 2 his planned work 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 32 33

DIGITAL PROGRESS IMAGES

PART 1 GENERAL

1.1 SCOPE

1.2 SUBMITTALS

1.3 GENERAL REQUIREMENTS

1.3.1 Description

1.3.2 Digital Photographs

PART 2 PRODUCTS (NOT APPLICABLE)

PART 3 EXECUTION

3.1 EQUIPMENT

3.2 PHOTOGRAPHY

-- End of Section Table of Contents --

SECTION 01 32 33 Page 1

SECTION 01 32 33

DIGITAL PROGRESS IMAGES

PART 1 GENERAL

1.1 SCOPE

The work under this section includes furnishing digital photographs showing the progress of the fabrication operations throughout the contract period.

1.2 SUBMITTALS

Government approval is required for submittals with a "G" designation;submittals not having an "G" designation are for information only. Whenused, a designation following the "G" designation identifies the officethat will review the submittal for the Government. The following shall be submitted in accordance with Section 01 33 00 SUBMITTAL

PROCEDURES:

SD-11 Closeout Submittals

Thumbnail Hard Copy Prints of Progress Images; G, RO Glossy Prints of Selected Official Progress Images; G, RO Electronic Copy of Selected Official Progress Images; G, RO Electronic Copy of All Progress Images; G, RO

Copies of digital progress images in electronic form and hard copy formshall be submitted monthly for approval in accordance with paragraphPHOTOGRAPHY. Progress images shall be submitted in a timely manner ascoordinated with the Contracting Officer's Representative.

1.3 GENERAL REQUIREMENTS

1.3.1 Description

The Contractor shall, during the progress of the project (including progress of fabrication), furnish the Contracting Officer's Representative progress photographs to depict progress of fabrication throughout the life of the contract. The photographs shall be taken using digital photography equipment furnished by the Contractor. Electronic copies of approved photographs shall be furnished on DVD or other storage media as approved by the Contracting Officer's Representative.

1.3.2 Digital Photographs

Digital photographs shall comply with the requirements of paragraph PHOTOGRAPHY. The Contractor shall furnish, using Microsoft Word 2013 or later version, a file with each set of photographs which lists the following identifying information for each photographic image:

Name and location of project Contract number Date taken Contractor (and subcontractor, if applicable)

SECTION 01 32 33 Page 2

Orientation of view and brief description of work depicted

The filename of each photograph shall include the date the photograph was taken in the year-month-day format and each photograph shall be sequentially numbered. An example filename would be "yyyy-mm-dd-photo0001.jpg". The identifying data shall be placed in the document accompanying the photographs. The image of the photograph shall include the date stamp when the photograph was taken as part of the image. No identifying data, except the date stamp, shall appear on the photographs.

PART 2 PRODUCTS (NOT APPLICABLE)

PART 3 EXECUTION

3.1 EQUIPMENT

The Contractor shall be responsible for furnishing all photographic equipment to perform the work specified by this section. The camera shall have a CCD resolution no less than 14.0 million pixels per image which will provide enough detail to print an 8" by 10" high-resolution photograph. The camera shall produce images to be saved in one of the following graphic formats: JPG (Joint Photographic Experts Group), TIFF (Tagged Image File Format) or BMP (Windows Bitmap). Cell phone camera photographs shall not be accepted for digital progress photgraphs under this section.

3.2 PHOTOGRAPHY

The Contractor shall, during the progress of the work, submit the digitally produced progress photographs to depict the progress of the work both on-site and off-site at fabrication facilities. In coordination with the Contracting Officer's Representative, one set of progress photographs per month shall be taken over the full duration of this contract, except photographs will not be required for periods when no work is in progress.

"Thumbnail Hard Copy Prints of Progress Images" shall be submitted to the Contracting Officer's Representative for approval between the first and fifth day of each month. The Contracting Officer's Representative will select from the thumbnail views, unless directed otherwise, at least ten views to become official progress images. The selected official progress images shall be printed in color in 8" by 10" format, shall be identified on the back in accordance with paragraph Digital Photographs, and shall be submitted for approval. "Glossy Prints of Selected Official Progress Images" and "Electronic Copy of Selected Official Progress Images" shall be furnished within ten calendar days of approval of the thumbnail images. Electronic copies shall be furnished on DVD with file of required photographic information. "Electronic Copy of All Progress Images" (including those not selected) shall be furnished on separate DVD with file of required photographic information with the selected official progress images. Digital photographs shall be taken continuously throughout each month in which work is in progress. Unless otherwise directed by the Contracting Officer's Representative, photographs will not be required for periods of time in which work is not being performed.

Additional sets of photographs shall be taken as directed by the Contracting Officer's Representative. Enough digital photographs shall be taken to adequately depict each phase of the work and shall show progress made during those phases and at the completion of the project. Digital photographs shall show work accomplished since the previous photographs.

Progress photographs shall be submitted as specified herein and in

SECTION 01 32 33 Page 3 paragraph SUBMITTALS.

-- End of Section --

SECTION 01 32 33 Page 4

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

1.1.2 Project Type

1.1.3 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 PREPARATION

1.5.1 Transmittal Form

1.5.2 Submittal Format

1.5.2.1 Format for SD-02 Shop Drawings

1.5.2.1.1 Drawing Identification

1.5.3 Source Drawings and 3-D CADD Models for Shop Drawings

1.5.4 Electronic File Format

1.6 QUANTITY OF SUBMITTALS

1.7 INFORMATION ONLY SUBMITTALS

1.8 PROJECT SUBMITTAL REGISTER

1.8.1 Submittal Management

1.8.2 Preconstruction Use of Submittal Register

1.8.3 Contractor Use of Submittal Register

1.8.4 Approving Authority Use of Submittal Register

1.8.5 Contractor Action Code and Action Code

1.8.6 Copies Delivered to the Government

1.9 VARIATIONS

1.9.1 Considering Variations

1.9.2 Proposing Variations

1.9.3 Warranting that Variations are Compatible

1.9.4 Review Schedule Extension

1.10 SCHEDULING

1.11 GOVERNMENT APPROVING AUTHORITY

1.11.1 Review Notations

1.12 DISAPPROVED SUBMITTALS

1.13 APPROVED SUBMITTALS

1.14 APPROVED SAMPLES

1.15 WITHHOLDING OF PAYMENT

1.16 STAMPS

PART 2 PRODUCTS

SECTION 01 33 00 Page 1

PART 3 EXECUTION

ATTACHMENTS:

Appendix A - Submittal Register

ENG Form 4025-R

-- End of Section Table of Contents --

SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 SUMMARY

1.1.1 Submittal Information

The Contracting Officer's Representative 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

Each submittal is to be complete and in sufficient detail to allow ready determination of compliance with contract requirements.

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.

1.1.3 Submission of Submittals

Submittals requiring Government approval are to be scheduled and made prior to the acquisition of the material or equipment covered thereby.

All submittals shall be in English.

A submittal register, showing items of equipment and materials for when submittals are required by the specifications, is provided as "Appendix A

- Submittal Register".

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

Submittal requirements are specified in the technical sections.

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

SD-01 Preconstruction Submittals

Submittals that are required prior to or at the start of construction

SECTION 01 33 00 Page 3

(work) or the next major phase of the construction on a multi-phase 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

Construction Progress Schedule

Submittal Register

Schedule of Prices or Earned Value Report

Work Plan

Quality Control(QC) 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.

Samples and mock-ups constructedat the fabrication facility establish

SECTION 01 33 00 Page 4 standards by which the ensuring work can be judged. Includes assemblies or portions of assemblies which are to be incorporated into the project and those which will be removed at conclusion of the work.

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.

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 accordance with specified requirements. 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 the delivery location.

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.

Text of posted operating instructions.

SD-09 Manufacturer's Field Reports

Documentation of the testing and verification actions taken by manufacturer's representative at the job site, in the vicinity of the job site, or on a sample taken from the job site, on a portion of the work, during or after installation, to confirm compliance with manufacturer's standards or instructions. The documentation must be signed by an authorized official of a testing laboratory or agency and state the test results; and indicate whether the material, product, or system has passed or failed the test.

Factory test reports.

SECTION 01 33 00 Page 5

SD-11 Closeout Submittals

Documentation to record compliance with technical or administrative requirements or to establish an administrative mechanism.

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 submittal.

1.2.3 Work

As used in this section, on-site and off-site fabrication and/or 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

Submittal Register; G, RO

SD-02 Shop Drawings

Approved Full Size Electronic PDF File of Shop Drawings

Approved Full Size Hard Copy Set of Shop Drawings

1.4 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.4.1 Government Approved (G)

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 Government.

1.4.2 For Information Only

Submittals not requiring Government approval will be for information only.

1.5 PREPARATION

1.5.1 Transmittal Form

Use the transmittal form ENG Form 4025-R for submitting both

SECTION 01 33 00 Page 6

Government-approved and information-only submittals. Submit in accordance with the instructions on the reverse side of the form. These forms are included in the RMS CM software that the Contractor is required to use for this contract. Properly complete this form by filling out all the heading blank spaces and identifying each item submitted. Exercise special care to ensure proper listing of the specification paragraph and sheet number of the contract drawings pertinent to the data submitted for each item.

1.5.2 Submittal Format

1.5.2.1 Format for SD-02 Shop Drawings

Unless otherwise specified, shop drawings shall be full size ANSI D (22" x 34"). 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.

Shop drawings shall be submitted electronically through RMS CM for approval in accordance with paragraph 1.5.4 Electronic File Format.

Reproduced contract drawings submitted as shop drawings will not be accepted.

All electronic shop drawings submitted, regardless of size, shall have a clear space 3 by 4 inches in size, in the lower right hand corner just above the title block in which the Government may indicate the action taken. The clear space shall be located in the same exact location on all of the shop drawings within the given PDF file to facilitate electronic stamping. All shop drawings within the same PDF file shall be of the same page size.

1.5.2.1.1 Drawing Identification

Include on each drawing the drawing title, number, date, and revision numbers and dates.

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.

1.5.3 Source Drawings and 3-D CADD Models for Shop Drawings

The Source Drawing files and/or 3-D CADD model files shall not be provided to the Contractor.

1.5.4 Electronic File Format

Provide submittals in electronic format, with the exception of material

SECTION 01 33 00 Page 7 samples required for SD-04 Samples items. All electronic submittals shall be submitted directly through the Resident Management System (RMS) in accordance with Section 01 45 00.15 10 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM). Compile the submittal file as a single, complete document, to include the Transmittal Form described within. Name the electronic submittal file specifically according to its contents and coordinate the file naming convention with the Contracting Officer's Representative. Electronic files must be of sufficient quality that all information is legible. Use PDF as the electronic format, unless otherwise specified or directed by the Contracting Officer's Representative. Generate PDF files directly from original electronic documents, and include bookmarks, so that the text included in the PDF file is both searchable and can be copied. If documents are scanned, Optical Character Recognition (OCR) routines are required so that the text included in the PDF file is both searchable and can be copied. Scanned documents shall be limited to when documents cannot be generated directly from a native software or program and shall be limited to signed letters, certificates of compliance and material certificates. Index and bookmark files exceeding 30 pages to allow efficient navigation of the file. When required, the electronic file must include a valid electronic signature, or scan of a signature.

Electronic shop drawings shall be submitted in large size format ANSI D and have the reserved clear space as described in paragraph 1.5.2.1 Format for SD-02 Shop Drawings. Scanned shop drawing submitted as electronic files shall be rejected. The text size, arrow heads and drafting leaders shall be of sufficient size to be legible on the electronic shop drawings using industry CADD drafting standards. All text and graphics on the shop drawings shall be in black with gray pattern shading only.

Testing reports and demonstration reports shall be submitted in electronic format in black and white or in full color as appropriate to present the information in a clear and consise manner.

It is acceptable to scan signed letters and place the scanned document at the front of the submittal with the remaining portion of the report text, graphs, and pictures generated directly from the original native program.

1.6 QUANTITY OF SUBMITTALS

All electronic submittals shall be submitted directly through the Resident Management System (RMS) in accordance with Section 01 45 00.15 10 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM). At the direction by the Contracting Officer's Representative, 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 Contracting Officer's Representative, at no additional cost to the Government.

In addition, after all shop drawings are approved the Contractor shall submit one approved full size electronic pdf file of shop drawings and one approved full size hard copy set of shop drawings to the Contracting Officer's Representative.

All hard copy submittals shall be submitted to:

Resident Engineer Upper Ohio Area Office U.S. Army Corps of Engineers

SECTION 01 33 00 Page 8

3510 Grand Avenue Pittsburgh, PA 15225

1.7 INFORMATION ONLY SUBMITTALS

Submittals without a "G" designation must be certified by the QC manager and submitted to the Contraction Officer for information only. Approval is not required on information-only submittals. The Contracting Officer's Representative will mark "receipt acknowledged" on submittals for information and will return only the transmittal cover sheet to the Contractor. Normally, submittals for information only will not be returned. However, the Government reserves the right to return unsatisfactory submittals and require the Contractor to resubmit any item found not to compy 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's Representative from requiring removal and replacement of nonconforming material incorporated in the work; and does not relieve the Contractor of the requirement to furnish samples for testing by the Government laboratory or for check testing by the Government in those instances where the technical specifications so prescribe.

1.8 PROJECT SUBMITTAL REGISTER

A sample Project Submittal Register showing items of equipment and materials for when submittals are requred by the specifications is attached to these specifications.

1.8.1 Submittal Management

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. As an attachment, provide submittal register showing items of equipment and materials for which submittals are required by the specifications. This list may not be all-inclusive and additional submittals may be required. Maintain a submittal register for the project in accordance with Section 01 45 00.15 10 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM). The Government will provide the initial submittal register in electronic format with the following fields completed, to the extent that will be required by the Government during subsequent usage.

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

Column (d): Lists each submittal description (SD Number and type, e.g. SD-02 Shop Drawings) required in each specification section.

Column (e): Lists one principal paragraph in each specification section where a material or product is specified. This listing is only to facilitate locating submitted requirements. Do not consider entries in column (e) as limiting project requirements.

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

SECTION 01 33 00 Page 9

1.8.2 Preconstruction Use of Submittal Register

Submit submittal register. Include the 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 the approving authority to receive submittals.

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

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

1.8.3 Contractor Use of Submittal Register

Update the following 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: List of consecutive, Contractor assigned numbers.

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

Column (l): Date submittal was transmitted.

Column (q): Date approval was received.

1.8.4 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: List of consecutive, Contractor assigned numbers.

Column (l): Date submittal was received.

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

Column (q): Date of return to Contractor.

1.8.5 Contractor Action Code and Action Code

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

NR - Not Received

AN - Approved as noted

A - Approved

SECTION 01 33 00 Page 10

RR - Disapproved, Revise, and Resubmit

1.8.6 Copies Delivered to the Government

Submit an updated electronic copy of the submittal register to the Contracting Officer's Representative with each invoice request. Provide an updated Submittal Register monthly regardless of whether an invoice is submitted.

1.9 VARIATIONS

Variations from contract requirements require Government approval and will be considered where advantageous to Government.

1.9.1 Considering Variations

Discussion of variations with the Contracting Officer's Representative before submission will help ensure that functional and quality requirements are met and minimize rejections and resubmittals. When contemplating a variation that results in lower cost, consider submission of the variation as a Value Engineering Change Proposal (VECP).

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

1.9.2 Proposing Variations

When proposing variation, deliver a written request to the Contracting Officer's Representative, 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 that include variations proposed by the Contractor. Set forth in writing the reason for any variations and note such variations on the submittal. The Government reserves the right to rescind inadvertent approval of submittals containing unnoted variations.

1.9.3 Warranting that Variations are Compatible

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

1.9.4 Review Schedule Extension

In addition to the normal submittal review period, a period of 10 calendar days will be allowed for the Government to consider submittals with variations.

1.10 SCHEDULING

Schedule and submitt concurrently product data and shop drawings covering

SECTION 01 33 00 Page 11 component items forming a system or items that are interrelated. Submit pertinent certifications at the same time. Weld Proceedure Specifications (WPS) and Procedure Qualification Records (PQR) submittals shall be submitted with the Shop Drawing submittals. 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 delayed by submittal processing. The Contractor is responsible for additional time required for Government reviews resulting from required resubmittals. The review period for each resubmittal is the same as for the initial submittal.

b. Submittals required by the contract documents are listed on the register. If a submittal is listed in the submittal register but does not pertain to the contract work, the Contractor is to include the submittal in the register and annotate it "N/A" with a brief explanation. Approval by the Contracting Officer's Representative does not relieve the Contractor of supplying submittals required by the contract documents but that have been omitted from the register or marked "N/A."

c. Resubmit register and annotate it monthly with actual submission and approval dates. When all items on the register have been fully approved, no further resubmission 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."

The Government review will be completed withing 30 calendar days after the date of submission. The Government review of WPS and PQR submittals will be completed within 45 calendar days after the date of submission.

1.11 GOVERNMENT APPROVING AUTHORITY

When approving authority is Government, 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 REVIEW NOTATIONS and with comments and markings appropriate for the action indicated.

1.11.1 Review Notations

Submittals will be returned to the Contractor with the following notations:

a. Submittals marked "approved" or "accepted" authorize proceeding with the work covered.

b. Submittals marked "approved as noted" or "approved, except as noted, resubmittal not required," proceeding with the work covered provided that the Contractor takes no exception to the corrections.

SECTION 01 33 00 Page 12

c. Submittals marked "not approved" or "disapproved," or "revise and resubmit," indicate incomplete submittal or noncompliance with the contract requirements or design concept. Resubmit with appropriate changes. Do not proceed with work for this item until resubmittal is approved.

d. Submittals marked "not reviewed" indicate that the submittal has been previously reviewed and approved, is not required, does not have evidence of being reviewed and approved by Contractor, or is not complete. A submittal marked "not reviewed" will be returned with an explanation of the reason it is not reviewed. Resubmit submittals returned for lack of review by Contractor or for being incomplete, with appropriate action, coordination, or change.

e. Submittals marked "receipt acknowledged" indicate that submittals have been received by the Government. This applies only to "information-only submittals" as previously defined.

1.12 DISAPPROVED SUBMITTALS

Make corrections required by the Contracting Officer's Representative. 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 Section I CONTRACT CLAUSES, FAR 52.243-1 CHANGES - FIXED PRICE, is to be given to the Contracting Officer. The 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, make such revisions and resubmit in accordance with the procedures above. No item of work requiring a submittal change is to be accomplished until the changed submittals are approved.

1.13 APPROVED SUBMITTALS

The Contracting Officer's Representative's approval of submittals is not to be construed as a complete check, and indicates only that the general method of construction, materials, detailing and other information are satisfactory.

Approval or acceptance by the Government for a submittal does not relieve the Contractor of the responsibility for meeting the contract requirements or for any error that may exist, because under the Quality Control (QC) requirements of this contract, the Contractor is responsible for ensuring information contained within each submittal accurately conforms with the requirements of the contract documents.

After submittals have been approved or accepted by the Contracting Officer's Representative, no resubmittal for the purpose of substituting materials or equipment will be considered unless accompanied by an explanation of why a substitution is necessary.

1.14 APPROVED SAMPLES

Approval of a sample is only for the characteristics or use named in such approval and is not to be construed to change or modify any contract requirements. Before submitting samples, provide assurance that the

SECTION 01 33 00 Page 13 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 that may be damaged in testing, will be returned to the Contractor, at its expense, upon completion of the contract. Unapproved samples 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 disapprove any material or equipment which previously has proved unsatisfactory in service.

Samples of various materials or equipment delivered on the…