Revised_Tech_Spec_Section_01_33_00.pdf

New Cumberland Auxillary Chamber Downstream Miter Gate

SECTION TABLE OF CONTENTS

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 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 Certified Final Document - RTA W911WN19B0002 - Amendment 2

PART 3 EXECUTION

ATTACHMENTS:

Appendix A - Submittal Register

ENG Form 4025

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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

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(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.

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

SD-02 Shop Drawings

Approved Full Size Electronic PDF File of Shop Drawings Approved Full Size Hard Copy Set of Shop Drawings

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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 for submitting both 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.

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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 for Shop Drawings

The Source Drawing files shall not be provided to the Contractor.

1.5.4 Electronic File Format

Provide submittals in electronic format, with the exception of material 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

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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 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

SECTION 01 33 00 Page 8 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.

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.

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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

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

SECTION 01 33 00 Page 10 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 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 the 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

SECTION 01 33 00 Page 11 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.

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.

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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 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 site or in place may be taken by the Contracting Officer's Representative for testing. Samples failing to meet contract requirements will automatically void previous approvals. Replace such materials or equipment to meet contract requirements.

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

1.15 WITHHOLDING OF PAYMENT

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

1.16 STAMPS

Stamps used by the Contractor on the submittal data to certify that the submittal meets contract requirements is to be similar to the following:

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| CONTRACTOR |

| (Firm Name) | | _____ Approved | | _____ Approved with corrections as noted on submittal data and/or | | attached sheets(s) |

| SIGNATURE: __________________________________________________________ |

| TITLE: ______________________________________________________________ |

| DATE: _______________________________________________________________ |

PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

Not Used

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