St_Clair_River_FY19_MD_Specifications.pdf

FY19 MD ST CLAIR RIVER FY19MDSTCLAIRRIV

Certified Final - Ready to Advertise

PROJECT TABLE OF CONTENTS

DIVISION 00 - PROCUREMENT AND CONTRACTING REQUIREMENTS

00 01 20 GENERAL CONTRACT ADMINISTRATION

DIVISION 01 - GENERAL REQUIREMENTS

01 10 10 REAL ESTATE

01 22 00.00 10 PRICE AND PAYMENT PROCEDURES

01 30 00 CONTRACTOR FURNISHED FACILITIES

01 33 00 SUBMITTAL PROCEDURES

01 35 13 SPECIAL PROJECT PROCEDURES

01 35 26 GOVERNMENTAL SAFETY REQUIREMENTS

01 45 00.00 10 QUALITY CONTROL

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

01 57 19 TEMPORARY ENVIRONMENTAL CONTROLS

DIVISION 35 - WATERWAY AND MARINE CONSTRUCTION

35 20 23 DREDGING

35 20 23.13 NATIONAL DREDGING QUALITY MANAGEMENT PROGRAM Scow -

Tracking Profile

35 20 23.23 NATIONAL DREDGING QUALITY MANAGEMENT PROGRAM HOPPER DREDGE

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1

SECTION 00 01 20

GENERAL CONTRACT ADMINISTRATION

05/19

PART 1 GENERAL

1.1 PARTNERING (FEB 2000)

In order to most effectively accomplish this contract, the Government proposes to form a partnership with the Contractor to develop a cohesive building team. It is anticipated that this partnership would involve the Contractor, primary subcontractors and designers, and the Corps of Engineers. This partnership would strive to develop a cooperative management team drawing on the strengths of each team member in an effort to achieve a quality project within budget and on schedule. This partnership would be bilateral in membership and participation will be completely voluntary. Any cost associated with effectuating this partnership, excluding travel and lodging cost of Government personnel, will be borne by each party. The partnering meetings shall be held at agreed upon dates/times of all involved parties.

1.2 CONTRACTOR SUPPLY AND USE OF ELECTRONIC SOFTWARE FOR PROCESSING WAGE

RATE REQUIREMENTS STATUTE CERTIFIED LABOR PAYROLLS (APR 2011)

(a) The contractor is encouraged to use a commercially-available electronic system to process and submit certified payrolls electronically to the Government. The requirements for preparing, processing and providing certified labor payrolls are established by the Wage Rate Requirements statute.

(b) If the contractor elects to use an electronic payroll processing system, then the contractor shall be responsible for obtaining and providing for all access, licenses, and other services required to provide for receipt, processing, certifying, electronically transmitting to the Government, and storing weekly payrolls and other data required for the contractor to comply with the Wage Rate Requirements statute.

When the contractor uses an electronic payroll system, the electronic payroll service shall be used by the contractor to prepare, process, and maintain the relevant payrolls and basic records during all work under this construction contract and the electronic payroll service shall be capable of preserving these payrolls and related basic records for the required 3 years after contract completion. If the contractor chooses to use an electronic payroll system, then the contractor shall obtain and provide electronic system access to the Government, as required to comply with the Wage Rate Requirements over the duration of this construction contract. The access shall include electronic review access by the Government contract administration office to the electronic payroll processing system used by the contractor.

(c) The contractor's provision and use of an electronic payroll processing system shall meet the following basic functional criteria:

(1) commercially available;

(2) compliant with appropriate Wage Rate Requirements statute payroll provisions in the Federal Acquisition Regulation (FAR);

(3) able to accommodate the required numbers of employees and subcontractors planned to be employed under the contract;

DOCUMENT 00 01 20 Page 2

(4) capable of producing an Excel spreadsheet-compatible electronic output of weekly payroll records for export in an Excel spreadsheet to be imported into the contractor's Quality Control System (QCS) version of Resident Management System (RMS), that in turn shall export payroll data to the Government's RMS;

(5) demonstrated security of data and data entry rights;

(6) ability to produce contractor-certified electronic versions of weekly payroll data

(7) ability to identify erroneous entries and track the date/time of all versions of the certified Wage Rate Requirements statute payrolls submitted to the government over the life of the contract;

(8) capable of generating a durable record copy, that is, a CD or DVD and PDF file record of data from the system database at end of the contract closeout. This durable record copy of data from the electronic payroll processing system shall be provided to the Government during contract closeout.

(d) All contractor-incurred costs related to the contractor's provision and use of an electronic payroll processing service shall be included in the contractor's price for the overall work under the contract. The costs for compliance with the Wage Rate Requirements statute by using electronic payroll processing services shall not be a separately bid or reimbursed item under this contract.

1.3 BASIS FOR SETTLEMENT OF PROPOSALS

Actual costs will be used to determine equipment costs for a settlement proposal submitted on the total cost basis under Federal Acquisition Regulation (FAR) 49.206-2(b). In evaluating a termination settlement proposal using the total cost basis, the following principles will be applied to determine allowable equipment costs:

(a) Actual costs for each piece of equipment, or groups of similar serial or series equipment, need not be available in the contractor's accounting records to determine total actual equipment costs.

(b) If equipment costs have been allocated to a contract using predetermined rates, those charges will be adjusted to actual costs.

(c) Recorded job costs adjusted for unallowable expenses will be used to determine equipment operating expenses.

(d) Ownership costs (depreciation) will be determined using the contractor's depreciation schedule (subject to the provisions of Federal Acquisition Regulation (FAR) 31.205-11).

(e) License, taxes, storage and insurance costs are normally recovered as an indirect expense and unless the contractor charges these costs directly to contracts, they will be recovered through the indirect expense rate.

1.4 EQUIPMENT OWNERSHIP AND OPERATING EXPENSE SCHEDULE

(a) This clause does not apply to terminations. Federal Acquisition Regulation (FAR) part 49.

(b) Allowable costs for construction and marine plant and equipment in sound workable condition owned or controlled and furnished by a contractor or subcontractor at any tier shall be based on actual cost data for each

DOCUMENT 00 01 20 Page 3 piece of equipment or groups of similar serial and series for which the Government can determine both ownership and operating costs from the contractor's accounting records. When both ownership and operating costs cannot be determined for any piece of equipment or groups of similar serial or series equipment from the contractor's accounting records, costs for that equipment shall be based upon the applicable provisions of Engineer Pamphlet (EP) 1110-1-8, Construction Equipment Ownership and Operating Expense Schedule, Region [****insert region 2 for MI LP, 4 for MI UP, WI, MN****]. Working conditions shall be considered to be average for determining equipment rates using the schedule unless specified otherwise by the contracting officer. For equipment not included in the schedule, rates for comparable pieces of equipment may be used or a rate may be developed using the formula provided in the schedule. For forward pricing, the schedule in effect at the time of negotiations shall apply. For retroactive pricing, the schedule in effect at the time the work was performed shall apply.

(c) Equipment rental costs are allowable, subject to the provisions of FAR 31.105(d)(ii) and FAR 31.205-36. Rates for equipment rented from an organization under common control, lease-purchase arrangements, and sale-leaseback arrangements, will be determined using the schedule, except that actual rates will be used for equipment leased from an organization under common control that has an established practice of leasing the same or similar equipment to unaffiliated lessees.

(d) When actual equipment costs are proposed and the total amount of the pricing action exceeds the simplified acquisition threshold (SAT), the contracting officer shall request the contractor to submit either certified cost or pricing data, or partial/limited data, as appropriate. The data shall be submitted on Standard Form 1411, Contract Pricing Proposal Cover Sheet.

-- End of Section --

DOCUMENT 00 01 20 Page 4

SECTION 01 10 10

REAL ESTATE

03/01

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 or as otherwise designated. When used, a designation following the "G" designation identifies the office that will review the submittal for the Government. The following shall be submitted in accordance with Section

01 33 00 SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Additional Property Agreements; G-RED Copies of any agreements for Contractor-acquired real estate rights for this project shall be furnished before entering thereon.

Certified Survey Results For additional real estate rights beyond what is shown in the drawings, furnish a copy of certified results of surveys which verify areas and limits of Contractor-acquired real estate rights.

1.2 REGULATORY REQUIREMENTS

1.2.1 Real Estate Rights

Rights for the use of the work and storage areas have been obtained and the general limits of the areas are shown on the drawings. No other real estate rights have been obtained by the Government for this project.

1.2.2 Additional Real Estate Rights

Any additional property agreements and/or real estate rights desired by the Contractor shall be obtained by the Contractor at its own expense. Such agreements shall clearly relieve the Government of any responsibility for damages or liability resulting from the Contractor's use of such grounds.

Contractor shall submit any real estate agreements they make with third parties for review by the Real Estate section prior to execution.

1.3 PROJECT/SITE CONDITIONS

1.3.1 Location and Verification

It shall be the Contractor's responsibility to accurately locate the limits of all lands utilized under the contract. The corner and angle points of each area for which rights have been obtained shall be marked with semipermanent markers except where there is an approved existing property marker. Temporary markers shall be placed at points on alignment. The points on alignment shall be marked at stations so that intervals between points do not exceed 200 feet.

SECTION 01 10 10 Page 5

1.3.2 Survey Markers

All markers shall be installed in an area prior to its use and they shall be available for reference during and upon completion of use of the area.

Where approved existing property markers are found, a witness stake, as specified in Subparagraph, "Semipermanent Markers" below, shall be provided. If the types of markers specified hereinafter cannot be used, other types, as approved by the Contracting Officer, shall be provided.

1.3.2.1 Semipermanent Markers

The markers shall be a steel rod one-half inch in diameter and four (4) feet long. The steel rod shall be driven vertically into the ground so that the top is flush with the finished ground surface. Each marker shall be witnessed by a 2" x 2" yellow stake extending two (2) feet above the ground surface and driven into the ground until stable, with not less than one (1) foot penetration.

1.3.2.2 Temporary Markers

Markers shall be 2" x 2", red-colored, wood hub stakes driven into the ground until stable (not less than one (1) foot penetration) with two (2) feet projecting above the ground surface. If the period in which temporary markers are to be in place exceeds one (1) construction season, a more permanent type of marker, as approved, shall be provided.

PART 2 PRODUCTS (NOT APPLICABLE)

PART 3 EXECUTION (NOT APPLICABLE)

SECTION 01 10 10 Page 6

SECTION 01 22 00.00 10

PRICE AND PAYMENT PROCEDURES

08/15

PART 1 GENERAL

1.1 SINGLE JOB PAYMENT ITEMS

Payment items for the work of this contract for which contract job 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 job or unit price payment item, are included in the listed job item most closely associated with the work involved. The job price and payment made for each item listed constitutes full compensation for furnishing all plant, labor, materials, and equipment, and performing any associated Contractor quality control, environmental protection, meeting safety requirements, tests and reports, and for performing all work required for which separate payment is not otherwise provided.

1.2 UNIT PRICE PAYMENT ITEMS

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

1.3 PRICE SCHEDULE

1.3.1 Mobilization and Demobilization (Item No. 0001)

1.3.1.1 Payment

Payment will be made for costs associated with mobilization and demobilization, as defined in DFARS 252.236-7004 PAYMENT FOR MOBILIZATION

AND DEMOBILIZATION.

1.3.1.2 Unit of Measure

Unit of measure: job.

1.3.2 Base Dredging (Item No. 0002, 0003, and 0004)

1.3.2.1 Payment

This item shall include all work as specified in Section 35 20 23 DREDGING.

The Contract unit price per cubic yard of dredging shall include the cost of removal, conveyance and disposal of all materials meeting the description specified in SECTION 35 20 23 "DREDGING" paragraph "Character of Materials" and as shown on the drawings and as specified herein, except original materials, ledge rock, boulders, cobbles, rock fragments, wrecks, scrap materials, snags, stumps, piles, debris or other material which cannot be removed by the plant specified in the accepted bid, or the

SECTION 01 22 00.00 10 Page 7 equivalent of such plant, without blasting or special apparatus. The unit price shall also include the cost of all work required to be performed for the use of the disposal area. Nothing in this paragraph shall be construed as prohibiting the removal of excepted material by special means at the prices agreed and approved in accordance with applicable provisions of the contract. Costs may also include those associated with use of an upland placement site as specified in SECTION 35 20 23 DREDGING.

When an option has been exercised for increased depth or area at a specific location, all overdepth to 1.0 ft. below the required dredging areas and sideslope quantities associated with the Base Bid dredging areas shall be paid for at the applicable unit costs for the Base Bid AA and AB items. All other quantities dredged will be paid for at the unit costs associated with the option dredge areas.

This item shall also include all work as specified in SECTION 35 20 23.13 "NATIONAL DREDGING QUALITY MANAGEMENT PROGRAM Scow - Tracking Profile" and

SECTION 35 20 23.23 "NATIONAL DREDGING QUALITY MANAGEMENT PROGRAM HOPPER

DREDGE ." The contract unit price per cubic yard for "Dredging," shall constitute full compensation for all labor, equipment, tools, and incidentials necessary to operate and maintain the system as specified herein for the duration of the dredging operations.

1.3.2.2 Measurement

See SECTION 35 20 23 "DREDGING" paragraph "MEASUREMENT."

1.3.2.3 Unit of Measure

Cubic Yard

1.3.3 Option Dredging (Item No. 0005 and 0006)

1.3.3.1 Payment

This item shall include all work as specified in SECTION 35 20 23 DREDGING.

The Contract unit price per cubic yard of dredging shall include the cost of removal, conveyance and disposal of all materials as shown on the drawings and as specified herein, except original materials, ledge rock, boulders, cobbles, rock fragments, wrecks, scrap materials, snags, stumps, piles, debris or other material which cannot be removed by the plant specified in the accepted bid, or the equivalent of such plant, without blasting or special apparatus. The unit price shall also include the cost of all work required to be performed for the use of the disposal area.

Nothing in this paragraph shall be construed as prohibiting the removal of excepted material by special means at the prices agreed and approved in accordance with applicable provisions of the contract. Costs may also include those associated with use of an upland placement site as specified in SECTION 35 20 23 DREDGING.

When an option has been exercised for increased depth or area at a specific location, all overdepth to 1.0 ft. below the required dredging areas and sideslope quantities associated with the Base Bid dredging areas shall be paid for at the applicable unit costs for the Base Bid AA and AB items. All other quantities dredged will be paid for at the unit costs associated with the option dredge areas.

This item shall also include all work as specified in SECTION 35 20 23.13 "SCOW SILENT INSPECTOR". The contract unit price per cubic yard for

SECTION 01 22 00.00 10 Page 8

"Dredging," shall constitute full compensation for all labor, equipment, tools, and incidentials necessary to operate and maintain the system as specified herein for the duration of the dredging operations.

1.3.3.2 Measurement

See SECTION 35 20 23 "DREDGING" paragraph "MEASUREMENT."

1.3.3.3 Unit of Measure

Unit of measure: cubic yard.

PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

3.1 CONTRACT COST BREAKDOWN

The Contractor must furnish within 30 calendar days after the date of Notice to Proceed, and prior to the submission of its first partial payment estimate, a breakdown of its single job pay item or items which will be reviewed by the Contracting Officer as to propriety of distribution of the total cost to the various accounts. Any unbalanced items as between early and late payment items or other discrepancies will be revised by the Contracting Officer to agree with a reasonable cost of the work included in the various items. This contract cost breakdown will then be utilized as the basis for progress payments to the Contractor.

SECTION 01 22 00.00 10 Page 9

SECTION 01 30 00

CONTRACTOR FURNISHED FACILITIES

03/15

PART 1 GENERAL

1.1 DEFINITIONS

1.1.1 FACILITY

The term "facility" used in this Section refers to all Contractor-furnished features that are proposed by the Contractor in conjunction with execution and performance of dredging and that are not specifically identified in the solicitation document. The facility includes, but not limited to, dredged material placement area(s), dredged material transfer site(s) and/or off-loading site(s), and/or haul roads.

1.1.2 Data

Submit all information and data specified in this Section.

1.1.3 Combination of Contractor/Government-Furnished Placement Areas

If a Contractor-furnished placement area is approved in combination with the Government-furnished placement area, the Contractor shall place dredged material into the Contractor-furnished placement area in the quantity approved by the government.

1.1.4 Expenses

All expenses incurred in complying with requirements for use of a proposed Contractor-furnished placement facility shall be borne by the Contractor, and all operations in connection therewith shall be at the Contractor's risk.

1.1.5 Required Data Needed if No Corps of Engineers Permit(s) Available

A Contractor proposing use of a contractor-furnished placement facility that does not have a Corps of Engineers regulatory permit which covers the dredged material outlined in the contract and proposed placement facility shall furnish the data identified below for each proposed facility. The Cors of Engineers will conduct Section 106 of the National Historic Preservation Act coordination with the appropriate State Historic Preservation Office. No ground impacting work will take place at a contractor furnished disposal site until the contractor is notified by Corps of Engineers that the Section 106 process has been completed and work can proceed.

(1) Name and address of Property Owner(s).

(2) Location, site map, and legal description (or appropriate substitute) of area(s) and haul route(s).

(3) Previous Land Use Information for the last ten year period.

(4) A Topographic Map of the Area outlining the property boundary and specific placement location. The topography may be depicted on a USGS

SECTION 01 30 00 Page 10

Quadrangle sheets (or specific enlargement from the sheet) if the land elevations remain essentially the same as depicted on the sheet. The name, date and latest photograph update to the Quad sheet must be provided if a USGS Quad sheet is used. If areas within the proposed placement location have been filled since the date of the Quad sheet, then new topographic survey is required including surveyor information and preparation date. Cross sections required in item (8) should be depicted on the topographic map.

(5) Photographs showing the area proposed for use.

(6) All data required to assess potential environmental impacts. This information is required in order to determine the necessity for environmental documentation for the proposed use of the site.

Applicable data would include, but not be limited to, a Phase I Environmental Site Assessment of the proposed placement facility prepared in accordance with ASTM E1527 - Standard Practice for Environmental Site Assessments: Phase I Environmental Site Assessment Process.

(7) Capacity of placement area.

(8) Cross section(s) of the proposed fill area depicting existing grade, average depth of fill and final grades over placement area.

(9) Obtain a fully executed Contractor-Furnished Placement Facility Permit. Use the sample permit form attached at the end of this Section.

(10) Documentation of coordination of the use of the proposed placement facility with Federal, State and local agencies having an interest and furnish written approval of these agencies for use of such facilities(s). Applicable agencies are:

Michigan:

(a) Mr. Chris Antieau, Corps Project Coordinator Chief, Michigan Department of Environmental Quality, Great Lakes Shorelands Unit, Water Resources Division, P.O. Box 30473, Lansing, Michigan 48909-7973. As a minimum, a determination that the proposed fill area does not contain regulated wetlands and that the site is not within a regulated floodplain.

(b) Mr. Scott Hicks, Field Supervisor, U.S. Fish and Wildlife Service, Ecological Services, 2651 Coolidge Road, Suite 101, East Lansing, Michigan 48823. As a minimum, a determination that the site does not impact Federally listed Threatened or Endangered or Candidate species.

(c) Mr. Kenneth Westlake, US Environmental Protection Agency, Region V, Environmental Planning and Evaluation, 77 West Jackson Boulevard, Chicago, IL 60604-3590.

(d) Regulatory Branch, Engineering and Technical Services Division, U.S. Army Engineer District, Detroit, P.O. Box 1027, Detroit MI, 48231.

Minnesota:

SECTION 01 30 00 Page 11

(a) Mr. Dan Breneman, Dan Breneman, Lake Superior Unit, Minnesota Pollution Control Agency,525 Lake Ave. South, Suite 400, Duluth, MN 55802. As a minimum, a determination that the proposed fill area does not contain regulated wetlands and that the site is not within a regulated floodplain.

(b) U.S. Fish and Wildlife Service, Ecological Services, 4101 American Blvd E, Bloomington, MN 55425-1665. As a minimum, a determination that the site does not impact Federally listed Threatened or Endangered or Candidate species.

(c) Mr. Kenneth Westlake, US Environmental Protection Agency, Region V, Environmental Planning and Evaluation, 77 West Jackson Boulevard, Chicago, IL 60604-3590.

(d) Regulatory Functions Branch, Construction-Operations Division, U.S. Army Corps of Engineers, St Paul, 190 Fifth Street East, St Paul MN, 55101.

Wisconsin:

(a) Jim Killian, Wisconsin Department of Natural Resources, PO Box 7921, Madison, WI 53707-7921. As a minimum, a determination that the proposed fill area does not contain regulated wetlands and that the site is not within a regulated floodplain.

(b) U.S. Fish and Wildlife Service, Ecological Services, 2661 Scott Tower Drive, New Franken, WI 54229-9565. As a minimum, a determination that the site does not impact Federally listed Threatened or Endangered or Candidate species.

(c) Mr. Kenneth Westlake, US Environmental Protection Agency, Region V, Environmental Planning and Evaluation, 77 West Jackson Boulevard, Chicago, IL 60604-3590.

(d) Regulatory Functions Branch, Construction-Operations Division, U.S. Army Corps of Engineers, St Paul, 190 Fifth Street East, St Paul MN, 55101.

All States:

(a) Local Permit, if any, including evidence of a Soil Erosion and Sediment Control (SESC) Permit from the appropriate local SESC agency or determination that no SESC permit is required.

1.1.6 Required Data Needed if a Corps of Engineers Permit(s) is Available

A Contractor proposing use of a contractor-furnished placement facility that does have a Corps of Engineers regulatory permit which covers the dredged material outlined in the contract and the proposed placement facility shall furnish the following data for each proposed facility:

(1) The Corps of Engineers Permit(s)

(2) Any applicable State and Local permit(s)

(3) Obtain a fully executed Contractor-Furnished Placement Facility Permit. Use the sample permit form attached at the end of this Section.

SECTION 01 30 00 Page 12

1.1.7 Required Data Submittal, Review and Approval

1.1.7.1 Required Data Submittal if No Corps of Engineers Regulatory Permit(s) Available

The contractor's initial proposal for use of a contractor-furnished placement facility shall be accompanied by all the required data specified under paragraphs 1.1.5. The contractor shall submit the required documents to the Contracting Officer for approval at least 90 calendar days in advance of the proposed placement facility usage to allow for government review, coordination and approval.

1.1.7.2 Required Data Submittal if a Corps of Engineers Regulatory Permit(s) is Available

The contractor's initial proposal for use of a contractor-furnished placement facility shall be accompanied by all the required data specified under paragraphs 1.1.6. The contractor shall submit the required documents to the Contracting Officer for approval at least 30 calendar days in advance of the proposed placement facility usage to allow for government review, coordination and approval.

1.1.7.3 Contracting Officer's Approval

The Contracting Officer's approval of the contractor-furnished placement facility shall be issued by contract modification pursuit to the "Changes" clause. The Contracting Officer's approval modification of the contractor-furnished placement facility shall not adjust the contract price and shall not adjust the contract performance period. The Contracting Officer's disapproval of a contractor-furnished placement facility shall not be subject to the "Disputes" clause and shall not result in a time extension for delays to the contractor. PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

Not Used

SECTION 01 30 00 Page 13

SECTION 01 33 00

SUBMITTAL PROCEDURES

05/11

PART 1 GENERAL

1.1 SUMMARY

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.

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. Pick up and dispose of samples not incorporated into the work in accordance with manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.

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)

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 or the start of the next major phase of the construction on a multi-phase contract, includes schedules, 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.

Certificates of insurance

Surety bonds

SECTION 01 33 00 Page 14

List of proposed Subcontractors

List of proposed products

Construction progress schedule

Network Analysis Schedule (NAS)

Submittal register

Schedule of prices or Earned Value Report

Accident Prevention 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.

Field samples and mock-ups constructed on the project site establish 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.

SECTION 01 33 00 Page 15

SD-05 Design Data

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

SD-06 Test Reports

Report signed by authorized official of testing laboratory that a material, product or system identical to the material, product or system to be provided has been tested in accord with specified requirements. Unless specified in another section, testing must have been within three years of date of contract award for the project.

Report 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.

Daily logs and checklists.

Final acceptance test and operational test procedure.

SD-07 Certificates

Statements printed on the manufacturer's letterhead and signed by responsible officials of manufacturer of product, system or material attesting that the product, system, or material meets specification requirements. Must be dated after award of project contract and clearly name the project.

Document required of Contractor, or of a manufacturer, supplier, installer or Subcontractor through Contractor. The document purpose is to further promote the orderly progression of a portion of the work by documenting procedures, acceptability of methods, or personnel qualifications.

Confined space entry permits.

Text of posted operating instructions.

SD-08 Manufacturer's Instructions

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

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

SECTION 01 33 00 Page 16 state the test results; and indicate whether the material, product, or system has passed or failed the test.

Factory test reports.

SD-10 Operation and Maintenance Data

Data that is furnished by the manufacturer, or the system provider, to the equipment operating and maintenance personnel, including manufacturer's help and product line documentation necessary to maintain and install equipment. This data is needed by operating and maintenance personnel for the safe and efficient operation, maintenance and repair of the item.

This data is intended to be incorporated in an operations and maintenance manual or control system.

SD-11 Closeout Submittals

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

Submittals required for Guiding Principle Validation (GPV) or Third Party Certification (TPC).

Special requirements necessary to properly close out a construction contract. For example, Record Drawings and as-built drawings. Also, submittal requirements necessary to properly close out a major phase of construction on a multi-phase contract.

1.2.2 Approving Authority

Office or designated person authorized to approve submittal.

1.2.3 Work

As used in this section, on- and off-site construction required by contract documents, including labor necessary to produce submittals, except those SD-01 Pre-Construction Submittals noted above, construction, materials, products, equipment, and systems incorporated or to be incorporated in such construction.

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

1.4 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

SECTION 01 33 00 Page 17

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 Contracting Officer.

Within the terms of the Contract Clause 52.236-21 SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are considered to be "shop drawings."

1.4.2 For 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.

1.5 PREPARATION

1.5.1 Transmittal Form

Use the attached sample transmittal form in Appendix B ENG Form 4025-R 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 RMS 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 Source Drawings for Shop Drawings

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

1.5.2.1 Terms and Conditions

Data contained on these electronic files must not be used for any purpose other than as a convenience in the preparation of construction data for the referenced project. Any other use or reuse shall be at the sole risk of the Contractor and without liability or legal exposure to the Government.

The Contractor must make no claim and waives to the fullest extent permitted by law, any claim or cause of action of any nature against the Government, its agents or sub consultants that may arise out of or in connection with the use of these electronic files. The Contractor must, to the fullest extent permitted by law, indemnify and hold the Government harmless against all damages, liabilities or costs, including reasonable attorney's fees and defense costs, arising out of or resulting from the use of these electronic files.

These electronic Source Drawing files are not construction documents.

Differences may exist between the Source Drawing files and the corresponding construction documents. The Government makes no representation regarding the accuracy or completeness of the electronic Source Drawing files, nor does it make representation to the compatibility of these files with the Contractor hardware or software. In the event that a conflict arises between the signed and sealed construction documents prepared by the Government and the furnished Source Drawing files, the

SECTION 01 33 00 Page 18 signed and sealed construction documents govern. The Contractor is responsible for determining if any conflict exists. Use of these Source Drawing files does not relieve the Contractor of duty to fully comply with the contract documents, including and without limitation, the need to check, confirm and coordinate the work of all contractors for the project.

If the Contractor uses, duplicates or modifies these electronic Source Drawing files for use in producing construction data related to this contract, remove all previous indicia of ownership (seals, logos, signatures, initials and dates).

1.5.3 Electronic File Format

Provide submittals in electronic format, with the exception of material samples required for SD-04 Samples items. 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, coordinate the file naming convention with the Contracting Officer. 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. Generate PDF files from original documents with bookmarks 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. 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.

Email electronic submittal documents fewer than 10MB to an email address as directed by the Contracting Officer. Provide electronic documents over 10MB on an optical disc, or through an electronic file sharing system.

Provide hard copies of submittals when requested by the Contracting Officer. Up to 1 additional hard copy of any submittal may be requested at the discretion of the Contracting Officer, at no additional cost to the Government.

1.6 QUANTITY OF SUBMITTALS

1.6.1 Number of Samples SD-04 Samples

a. Submit two samples, or two sets of samples showing range of variation, of each required item. One approved sample or set of samples will be retained by approving authority and one will be returned to Contractor.

b. Submit one sample panel or provide one sample installation where directed. Include components listed in technical section or as directed.

c. Submit one sample installation, where directed.

d. Submit one sample of non-solid materials.

1.7 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

SECTION 01 33 00 Page 19 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.

1.8 SUBMITTAL REGISTER

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 00.15 10 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM)). The Government will provide the initial submittal register in electronic format.

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.

1.8.1 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.

1.8.2 Contractor Use of Submittal Register

Update the following fields with each submittal throughout contract.

Column (b) Transmittal Number: Contractor assigned list of

SECTION 01 33 00 Page 20 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.

1.8.3 Approving Authority Use of Submittal Register

Update the following fields.

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.

1.8.4 Copies Delivered to the Government

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

1.9 VARIATIONS

Variations from contract requirements require Government approval pursuant to contract Clause FAR 52.236-21 "Specifications and Drawings for Construction" and will be considered where advantageous to Government.

1.9.1 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.

1.9.2 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

SECTION 01 33 00 Page 21 submittals containing unnoted deviations.

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 normal submittal review period, a period of 10 working days will be allowed for consideration by the Government of submittals with variations.

1.10 SCHEDULING

Schedule and submit concurrently submittals covering component items forming a system or items that are interrelated. 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 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."

1.11 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 REVIEW NOTATIONS and with markings appropriate for action indicated.

Upon completion of review of submittals requiring Government approval, stamp and date submittals. 1 copy of the submittal will be retained by the Contracting Officer and 1copy of the submittal will be returned to the

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Contractor.

1.11.1 Review Notations

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

a. Submittals marked "approved" or "accepted" authorize the Contractor to proceed with the work covered.

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

c. Submittals marked "not approved" or "disapproved," or "revise and resubmit," indicate noncompliance with the contract requirements or design concept, or that submittal is incomplete. Resubmit with appropriate changes. No work shall proceed for this item until resubmittal is approved.

d. Submittals marked "not reviewed" will indicate 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.

1.12 DISAPPROVED OR REJECTED…