A01.07_Appendix_3_-_Division_1_Specifications.pdf

DIVISION 1 SPECIFICATIONS

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APPENDIX 3

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 32 01.00 10

PROJECT SCHEDULE

PART 1 GENERAL

1.1 REFERENCES

1.2 QUALIFICATIONS

PART 2 PRODUCTS (Not Applicable)

PART 3 EXECUTION

3.1 GENERAL REQUIREMENTS

3.2 BASIS FOR PAYMENT

3.3 PROJECT SCHEDULE

3.3.1 Use of the Critical Path Method

3.3.2 Level of Detail Required

3.3.2.1 Activity Durations

3.3.2.2 Procurement Activities

3.3.2.3 Critical Activities

3.3.2.4 Responsibility

3.3.2.5 Work Areas

3.3.2.6 Modification or Claim Number

3.3.2.7 Bid Item

3.3.2.8 Phase of Work

3.3.2.9 Feature of Work

3.3.3 Scheduled Project Completion

3.3.3.1 Project Start Date

3.3.3.2 Constraint of Last Activity

3.3.3.3 Early Project Completion

3.3.4 Interim Completion Dates

3.3.4.1 Start Phase

3.3.4.2 End Phase

3.3.4.3 Phase X

3.3.5 Default Progress Data Disallowed

3.3.6 Out-of-Sequence Progress

3.3.7 Negative Lags

3.4 PROJECT SCHEDULE SUBMISSIONS

3.4.1 Preliminary Project Schedule Submission

3.4.2 Initial Project Schedule Submission

3.4.3 Periodic Schedule Updates

3.4.4 Standard Activity Coding Dictionary

3.5 SUBMISSION REQUIREMENTS

3.5.1 Data Disks

3.5.1.1 File Medium

3.5.1.2 Disk Label

3.5.1.3 File Name

3.5.2 Narrative Report

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3.5.3 Approved Changes Verification

3.5.4 Schedule Reports

3.5.4.1 Activity Report

3.5.4.2 Logic Report

3.5.4.3 Total Float Report

3.5.4.4 Earnings Report

3.5.5 Network Diagram

3.5.5.1 Continuous Flow

3.5.5.2 Project Milestone Dates

3.5.5.3 Critical Path

3.5.5.4 Banding

3.5.5.5 S-Curves

3.6 PERIODIC PROGRESS MEETINGS

3.6.1 Meeting Attendance

3.6.2 Update Submission Following Progress Meeting

3.6.3 Progress Meeting Contents

3.6.3.1 Start and Finish Dates

3.6.3.2 Time Completion

3.6.3.3 Cost Completion

3.6.3.4 Logic Changes

3.6.3.5 Other Changes

3.7 REQUESTS FOR TIME EXTENSIONS

3.7.1 Justification of Delay

3.7.2 Submission Requirements

3.7.3 Additional Submission Requirements

3.8 DIRECTED CHANGES

3.9 OWNERSHIP OF FLOAT

-- End of Section Table of Contents --

01 32 01.00 10 -2

SECTION 01 32 01.00 10

PROJECT SCHEDULE

PART 1 GENERAL

1.1 REFERENCES

The publications listed below form a part of this specification to the extent referenced. The publications are referred to within the text by the basic designation only.

U.S. ARMY CORPS OF ENGINEERS (USACE)

ER 1-1-11 (1995) Progress, Schedules, and Network Analysis Systems

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 GENERAL REQUIREMENTS

Pursuant to the Contract Clause, SCHEDULE FOR CONSTRUCTION CONTRACTS, a Project Schedule as described below shall be prepared. The scheduling of shall be the responsibility of the Contractor. Contractor management personnel shall actively participate in its development. working on the project shall also contribute in developing and maintaining an accurate Project Schedule. The approved Project Schedule shall be used to measure the progress of the work, to aid in evaluating time extensions, and to provide the basis of all progress payments.

3.2 BASIS FOR PAYMENT

The schedule shall be the basis for measuring Contractor progress. Lack of an approved schedule or scheduling personnel will result in an inability of the Contracting Officer to evaluate Contractor's progress for the purposes of payment. Failure of the Contractor to provide all information, as specified below, shall result in the disapproval of the entire Project Schedule submission and the inability of the Contracting Officer to evaluate Contractor progress for payment purposes. In the case where Project Schedule revisions have been directed by the Contracting Officer and those revisions have not been included in the Project Schedule, the Contracting Officer may hold retainage up to the maximum allowed by contract, each payment period, until revisions to the Project Schedule have been made.

3.3 PROJECT SCHEDULE

The computer software system utilized by the Contractor to produce the

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Project Schedule shall be capable of providing all requirements of this specification. Failure of the Contractor to meet the requirements of this specification shall result in the disapproval of the schedule. Manual methods used to produce any required information shall require approval by the Contracting Officer.

3.3.1 Use of the Critical Path Method

The Critical Path Method (CPM) of network calculation shall be used to generate the Project Schedule. The Contractor shall provide the Project Schedule in the Precedence Diagram Method (PDM).

3.3.2 Level of Detail Required

The Project Schedule shall include an appropriate level of detail. Failure to develop or update the Project Schedule or provide data to the Contracting Officer at the appropriate level of detail, as specified by the Contracting Officer, shall result in the disapproval of the schedule. The Contracting Officer will use, but is not limited to, the following conditions to determine the appropriate level of detail to be used in the Project Schedule:

3.3.2.1 Activity Durations

Contractor submissions shall follow the direction of the Contracting Officer regarding reasonable activity durations. Reasonable durations are those that allow the progress of activities to be accurately determined between payment periods (usually less than 2 percent of all non-procurement activities' Original Durations are greater than 20 days).

3.3.2.2 Procurement Activities

Tasks related to the procurement of long lead materials or equipment shall be included as separate activities in the project schedule. Long lead materials and equipment are those materials that have a procurement cycle of over 90 days. Examples of procurement process activities include, but are not limited to: submittals, approvals, procurement, fabrication, and delivery.

3.3.2.3 Critical Activities

The following activities shall be listed as separate line activities on the Contractor's project schedule:

a. Submission and approval of mechanical/electrical layout drawings.

b. Submission and approval of O & M manuals.

c. Submission and approval of as-built drawings.

d. Submission and approval of 1354 data and installed equipment lists.

e. Submission and approval of testing and air balance (TAB).

f. Submission of TAB specialist design review report.

g. Submission and approval of fire protection specialist.

h. Submission and approval of testing and balancing of HVAC plus

01 32 01.00 10 -4 commissioning plans and data.

i. Air and water balance dates.

j. HVAC commissioning dates.

k. Controls testing plan.

l. Controls testing.

m. Performance Verification testing.

n. Other systems testing, if required.

o. Prefinal inspection.

p. Correction of punchlist from prefinal inspection.

q. Final inspection.

3.3.2.4 Responsibility

All activities shall be identified in the project schedule by the party responsible to perform the work. Responsibility includes, but is not limited to, the subcontracting firm, contractor work force, or government agency performing a given task. Activities shall not belong to more than one responsible party. The responsible party for each activity shall be identified by the Responsibility Code.

3.3.2.5 Work Areas

All activities shall be identified in the project schedule by the work area in which the activity occurs. Activities shall not be allowed to cover more than one work area. The work area of each activity shall be identified by the Work Area Code.

3.3.2.6 Modification or Claim Number

Any activity that is added or changed by contract modification or used to justify claimed time shall be identified by a mod or claim code that changed the activity. Activities shall not belong to more than one modification or claim item. The modification or claim number of each activity shall be identified by the Mod or Claim Number. Whenever possible, changes shall be added to the schedule by adding new activities.

Existing activities shall not normally be changed to reflect modifications.

3.3.2.7 Bid Item

All activities shall be identified in the project schedule by the Bid Item to which the activity belongs. An activity shall not contain work in more than one bid item. The bid item for each appropriate activity shall be identified by the Bid Item Code.

3.3.2.8 Phase of Work

All activities shall be identified in the project schedule by the phases of work in which the activity occurs. Activities shall not contain work in more than one phase of work. The project phase of each activity shall be by the unique Phase of Work Code.

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3.3.2.9 Feature of Work

All activities shall be identified in the project schedule according to the feature of work to which the activity belongs. Feature of work refers, but is not limited to, a work breakdown structure for the project. The feature of work for each activity shall be identified by the Feature of Work Code.

3.3.3 Scheduled Project Completion

The schedule interval shall extend from NTP to the contract completion date.

3.3.3.1 Project Start Date

The schedule shall start no earlier than the date on which the NTP was acknowledged. The Contractor shall include as the first activity in the project schedule an activity called "Start Project". The "Start Project" activity shall have an "ES" constraint date equal to the date that the NTP was acknowledged, and a zero day duration.

3.3.3.2 Constraint of Last Activity

Completion of the last activity in the schedule shall be constrained by the contract completion date. Calculation on project updates shall be such that if the early finish of the last activity falls after the contract completion date, then the float calculation shall reflect a negative float on the critical path. The Contractor shall include as the last activity in the project schedule an activity called "End Project". The "End Project" activity shall have an "LF" constraint date equal to the completion date for the project, and a zero day duration.

3.3.3.3 Early Project Completion

In the event the project schedule shows completion of the project prior to the contract completion date, the Contractor shall identify those activities that have been accelerated and/or those activities that are scheduled in parallel to support the Contractor's "early" completion.

Contractor shall specifically address each of the activities noted in the narrative report at every project schedule update period to assist the Contracting Officer in evaluating the Contractor's ability to actually complete prior to the contract period.

3.3.4 Interim Completion Dates

Contractually specified interim completion dates shall also be constrained to show negative float if the early finish date of the last activity in that phase falls after the interim completion date.

3.3.4.1 Start Phase

The Contractor shall include as the first activity for a project phase an activity called "Start Phase X" where "X" refers to the phase of work. The "Start Phase X" activity shall have an "ES" constraint date equal to the date on which the NTP was acknowledged, and a zero day duration.

3.3.4.2 End Phase

The Contractor shall include as the last activity in a project phase an activity called "End Phase X" where "X" refers to the phase of work. The

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"End Phase X" activity shall have an "LF" constraint date equal to the completion date for the project, and a zero day duration.

3.3.4.3 Phase X

The Contractor shall include a hammock type activity for each project phase called "Phase X" where "X" refers to the phase of work. The "Phase X" activity shall be logically tied to the earliest and latest activities in the phase.

3.3.5 Default Progress Data Disallowed

Actual Start and Finish dates shall not be automatically updated by default mechanisms that may be included in CPM scheduling software systems. Actual Start and Finish dates on the CPM schedule shall match those dates provided from Contractor Quality Control Reports. Failure of the Contractor to document the Actual Start and Finish dates on the Daily Quality Control report for every in-progress or completed activity, and failure to ensure that the data contained on the Daily Quality Control reports is the sole basis for schedule updating shall result in the disapproval of the Contractor's schedule and the inability of the Contracting Officer to evaluate Contractor progress for payment purposes.

3.3.6 Out-of-Sequence Progress

Activities that have posted progress without all preceding logic being satisfied (Out-of-Sequence Progress) will be allowed only on a case-by-case approval of the Contracting Officer. The Contractor shall propose logic corrections to eliminate all out of sequence progress or justify not changing the sequencing for approval prior to submitting an updated project schedule.

3.3.7 Negative Lags

Lag durations contained in the project schedule shall not have a negative value.

3.4 PROJECT SCHEDULE SUBMISSIONS

The Contractor shall provide the submissions as described below. The data disk, reports, and network diagrams required for each submission are contained in paragraph SUBMISSION REQUIREMENTS.

3.4.1 Preliminary Project Schedule Submission

The Preliminary Project Schedule, defining the Contractor's planned operations for the first 60 calendar days shall be submitted for approval within 20 calendar days after the NTP is acknowledged. The approved preliminary schedule shall be used for payment purposes not to exceed 60 calendar days after NTP.

3.4.2 Initial Project Schedule Submission

The Initial Project Schedule shall be submitted for approval within 40 calendar days after NTP. The schedule shall provide a reasonable sequence of activities which represent work through the entire project and shall be at a reasonable level of detail.

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3.4.3 Periodic Schedule Updates

Based on the result of progress meetings, specified in "Periodic Progress Meetings," the Contractor shall submit periodic schedule updates. These submissions shall enable the Contracting Officer to assess Contractor's progress. If the Contractor fails or refuses to furnish the information and project schedule data, which in the judgment of the Contracting Officer or authorized representative is necessary for verifying the Contractor's progress, the Contractor shall be deemed not to have provided an estimate upon which progress payment may be made.

3.4.4 Standard Activity Coding Dictionary

The Contractor shall use the activity coding structure defined in the Standard Data Exchange Format (SDEF) in ER 1-1-11, Appendix A. This exact structure is mandatory, even if some fields are not used.

3.5 SUBMISSION REQUIREMENTS

The following items shall be submitted by the Contractor for the preliminary submission, initial submission, and every periodic project schedule update throughout the life of the project:

3.5.1 Data Disks

Two data disks containing the project schedule shall be provided. Data on the disks shall adhere to the SDEF format specified in ER 1-1-11, Appendix A.

3.5.1.1 File Medium

Required data shall be submitted on 3.5 disks, formatted to hold 1.44 MB of data, under the MS-DOS Version 5. or 6.x, unless otherwise approved by the Contracting Officer.

3.5.1.2 Disk Label

A permanent exterior label shall be affixed to each disk submitted. The label shall indicate the type of schedule (Preliminary, Initial, Update, or Change), full contract number, project name, project location, data date, name and telephone number of person responsible for the schedule, and the MS-DOS version used to format the disk.

3.5.1.3 File Name

Each file submitted shall have a name related to either the schedule data date, project name, or contract number. The Contractor shall develop a naming convention that will ensure that the names of the files submitted are unique. The Contractor shall submit the file naming convention to the Contracting Officer for approval.

3.5.2 Narrative Report

A Narrative Report shall be provided with the preliminary, initial, and each update of the project schedule. This report shall be provided as the basis of the Contractor's progress payment request. The Narrative Report shall include: a description of activities along the 2 most critical paths, a description of current and anticipated problem areas or delaying factors and their impact, and an explanation of corrective actions taken or

01 32 01.00 10 -8 required to be taken. The narrative report is expected to relay to the Government, the Contractor's thorough analysis of the schedule output and its plans to compensate for any problems, either current or potential, which are revealed through that analysis.

3.5.3 Approved Changes Verification

Only project schedule changes that have been previously approved by the Contracting Officer shall be included in the schedule submission. The Narrative Report shall specifically reference, on an activity by activity basis, all changes made since the previous period and relate each change to documented, approved schedule changes.

3.5.4 Schedule Reports

The format for each activity for the schedule reports listed below shall contain: Activity Numbers, Activity Description, Original Duration, Remaining Duration, Early Start Date, Early Finish Date, Late Start Date, Late Finish Date, Total Float. Actual Start and Actual Finish Dates shall be printed for those activities in progress or completed.

3.5.4.1 Activity Report

A list of all activities sorted according to activity number.

3.5.4.2 Logic Report

A list of Preceding and Succeeding activities for every activity in ascending order by activity number. Preceeding and succeeding activities shall include all information listed above in paragraph Schedule Reports.

A blank line shall be left between each activity grouping.

3.5.4.3 Total Float Report

A list of all incomplete activities sorted in ascending order of total float. Activities which have the same amount of total float shall be listed in ascending order of Early Start Dates. Completed activities shall not be shown on this report.

3.5.4.4 Earnings Report

A compilation of the Contractor's Total Earnings on the project from the NTP until the most recent Monthly Progress Meeting. This report shall reflect the Earnings of specific activities based on the agreements made in the field and approved between the Contractor and Contracting Officer at the most recent Monthly Progress Meeting. Provided that the Contractor has provided a complete schedule update, this report shall serve as the basis of determining Contractor Payment. Activities shall be grouped by bid item and sorted by activity numbers. This report shall: sum all activities in a bid item and provide a bid item percent; and complete and sum all bid items to provide a total project percent complete. The printed report shall contain, for each activity: the Activity Number, Activity Description, Original Budgeted Amount, Total Quantity, Quantity to Date, Percent Complete (based on cost), and Earnings to Date.

3.5.5 Network Diagram

The network diagram shall be required on the initial schedule submission and on monthly schedule update submissions. The network diagram shall

01 32 01.00 10 -9 depict and display the order and interdependence of activities and the sequence in which the work is to be accomplished. The Contracting Officer will use, but is not limited to, the following conditions to review compliance with this paragraph:

3.5.5.1 Continuous Flow

Diagrams shall show a continuous flow from left to right with no arrows from right to left. The activity number, description, duration, and estimated earned value shall be shown on the diagram.

3.5.5.2 Project Milestone Dates

Dates shall be shown on the diagram for start of project, any contract required interim completion dates, and contract completion dates.

3.5.5.3 Critical Path

The critical path shall be clearly shown.

3.5.5.4 Banding

Activities shall be grouped to assist in the understanding of the activity sequence. Typically, this flow will group activities by category of work, work area and/or responsibility.

3.5.5.5 S-Curves

Earnings curves showing projected early and late earnings and earnings to date.

3.6 PERIODIC PROGRESS MEETINGS

Progress meetings to discuss payment shall include a monthly onsite meeting or other regular intervals mutually agreed to at the preconstruction conference. During this meeting the Contractor shall describe, on an activity by activity basis, all proposed revisions and adjustments to the project schedule required to reflect the current status of the project.

The Contracting Officer will approve activity progress, proposed revisions, and adjustments as appropriate.

3.6.1 Meeting Attendance

The Contractor's Project Manager and Scheduler shall attend the regular progress meeting.

3.6.2 Update Submission Following Progress Meeting

A complete update of the project schedule containing all approved progress, revisions, and adjustments, based on the regular progress meeting, shall be submitted not later than 4 working days after the monthly progress meeting.

3.6.3 Progress Meeting Contents

Update information, including Actual Start Dates, Actual Finish Dates, Remaining Durations, and Cost-to-Date shall be subject to the approval of the Contracting Officer. As a minimum, the Contractor shall address the following items on an activity by activity basis during each progress meeting.

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3.6.3.1 Start and Finish Dates

The Actual Start and Actual Finish dates for each activity currently in-progress or completed.

3.6.3.2 Time Completion

The estimated Remaining Duration for each activity in-progress. Time-based progress calculations shall be based on Remaining Duration for each activity.

3.6.3.3 Cost Completion

The earnings for each activity started. Payment will be based on earnings for each in-progress or completed activity. Payment for individual activities will not be made for work that contains quality defects. A portion of the overall project amount may be retained based on delays of activities.

3.6.3.4 Logic Changes

All logic changes pertaining to NTP on change orders, change orders to be incorporated into the schedule, contractor proposed changes in work sequence, corrections to schedule logic for out-of-sequence progress, lag durations, and other changes that have been made pursuant to contract provisions shall be specifically identified and discussed.

3.6.3.5 Other Changes

Other changes required due to delays in completion of any activity or group of activities include: 1) delays beyond the Contractor's control, such as strikes and unusual weather. 2) delays encountered due to submittals, Government Activities, deliveries or work stoppages which make re-planning the work necessary. 3) Changes required to correct a schedule which does not represent the actual or planned prosecution and progress of the work.

3.7 REQUESTS FOR TIME EXTENSIONS

In the event the Contractor requests an extension of the contract completion date, or any interim milestone date, the Contractor shall furnish the following for a determination as to whether or not the Contractor is entitled to an extension of time under the provisions of the contract: justification, project schedule data, and supporting evidence as the Contracting Officer may deem necessary. Submission of proof of delay, based on revised activity logic, duration, and costs (updated to the specific date that the delay occurred) is obligatory to any approvals.

3.7.1 Justification of Delay

The project schedule shall clearly display that the Contractor has used, in full, all the float time available for the work involved with this request. The Contracting Officer's determination as to the number of allowable days of contract extension shall be based upon the project schedule updates in effect for the time period in question, and other factual information. Actual delays that are found to be caused by the Contractor's own actions, which result in the extension of the schedule, will not be a cause for a time extension to the contract completion date.

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3.7.2 Submission Requirements

The Contractor shall submit a justification for each request for a change in the contract completion date of under 2 weeks based upon the most recent schedule update at the time of the NTP or constructive direction issued for the change. Such a request shall be in accordance with the requirements of other appropriate Contract Clauses and shall include, as a minimum:

a. A list of affected activities, with their associated project schedule activity number.

b. A brief explanation of the causes of the change.

c. An analysis of the overall impact of the changes proposed.

d. A sub-network of the affected area.

Activities impacted in each justification for change shall be identified by a unique activity code contained in the required data file.

3.7.3 Additional Submission Requirements

For any requested time extension of over 2 weeks, the Contracting Officer may request an interim update with revised activities for a specific change request. The Contractor shall provide this disk within 4 days of the Contracting Officer's request.

3.8 DIRECTED CHANGES

If the NTP is issued for changes prior to settlement of price and/or time, the Contractor shall submit proposed schedule revisions to the Contracting Officer within 2 weeks of the NTP being issued. The proposed revisions to the schedule will be approved by the Contracting Officer prior to inclusion of those changes within the project schedule. If the Contractor fails to submit the proposed revisions, the Contracting Officer may furnish the Contractor with suggested revisions to the project schedule. The Contractor shall include these revisions in the project schedule until revisions are submitted, and final changes and impacts have been negotiated. If the Contractor has any objections to the revisions furnished by the Contracting Officer, the Contractor shall advise the Contracting Officer within 2 weeks of receipt of the revisions. Regardless of the objections, the Contractor shall continue to update the schedule with the Contracting Officer's revisions until a mutual agreement in the revisions is reached. If the Contractor fails to submit alternative revisions within 2 weeks of receipt of the Contracting Officer's proposed revisions, the Contractor will be deemed to have concurred with the Contracting Officer's proposed revisions. The proposed revisions will then be the basis for an equitable adjustment for performance of the work.

3.9 OWNERSHIP OF FLOAT

Float available in the schedule, at any time, shall not be considered for the exclusive use of either the Government or the Contractor.

-- End of Section --

01 32 01.00 10 -12

01 33 00 - 1

SECTION TABLE OF CONTENTS DIVISION

01 - GENERAL REQUIREMENTS SECTION

01 33 00

SUBMITTAL PROCEDURES

1.1 SUMMARY

1.2 REFERENCES

1.3 DEFINITIONS

1.3.1 Submittal Descriptions (SD)

1.3.2 Approving Authority

1.3.3 Work

1.4 SUBMITTALS

1.5 SUBMITTAL CLASSIFICATION

1.5.1 Designer of Record Approved (DA)

1.5.2 Government Approved (G)

1.5.3 Government Conformance Review of Design (CR)

1.5.4 Designer of Record Approved/Government Conformance Review

(DA/CR)

1.5.4.1 Deviations to the Accepted Design

1.5.4.2 Substitutions

1.5.5 Designer of Record Approved/Government Approved (DA/GA)

1.5.6 Information Only

1.6 PREPARATION

1.6.1 Transmittal Form

1.7 QUANTITY OF SUBMITTALS

1.7.1 Number of Copies of SD-02 Shop Drawings

1.7.2 Number of Copies of SD-03 Product Data and SD-08

Manufacturer's Instructions

1.7.3 Number of Samples SD-04 Samples

1.7.4 Number of Copies SD-05 Design Data and SD-07 Certificates

1.7.5 Number of Copies SD-06 Test Reports and SD-09 Manufacturer's

Field Reports

1.7.6 Number of Copies of SD-10 Operation and Maintenance Data

1.7.7 Number of Copies of SD-01 Preconstruction Submittals and SD-11

Closeout Submittals

1.8 INFORMATION ONLY SUBMITTALS

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 Is Modified

1.10 SUBMITTAL REGISTER

1.10.1 Use of Submittal Register

1.10.2 Contractor Use of Submittal Register

1.10.3 Approving Authority Use of Submittal Register

1.10.4 Copies Delivered to the Government

1.11 SCHEDULING

1.11.1 Government Reviewed Design

1.12 SUBMITTAL PROCEDURES

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1.12.1 Procedures

1.12.1.1 Resubmittals

1.12.2 Deviations

1.13 MECHANICAL ROOM LAYOUT DRAWINGS

1.14 SPARE PARTS LIST AND MAINTENANCE OPERATIONS MANUALS

1.15 TYPICAL ROOM MOCK-UP (QUALITY CONTROL)

1.15.1 Samples

1.15.2 Receipt of Approval

1.16 AS-BUILT DRAWINGS

1.17 GEOTECHNICAL AND CONCRETE MATERIALS REPORT

1.18 GOVERNMENT APPROVING AUTHORITY

1.18.1 Review Notations

1.19 DISAPPROVED OR REJECTED SUBMITTALS

1.20 APPROVED SUBMITTALS

1.21 APPROVED SAMPLES

1.22 WITHHOLDING OF PAYMENT

1.23 STAMPS

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

SUBMITTAL REGISTER

-- End of Section Table of Contents --

01 33 00 - 3

SECTION 01 33 00

SUBMITTAL PROCEDURES

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 and the Designer of

Record, if applicable, 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.

1.2 REFERENCES

The publications listed below form a part of this specification to the extent referenced. The publications are referred to in the text by basic designation only.

U.S. ARMY CORPS OF ENGINEERS (USACE)

ER 1110-1-1901 (1999) Project Geotechnical and Concrete

Materials Completion Report for Major

USACE Projects

U.S. ARMY CORPS OF ENGINEERS, SACRAMENTO DISTRICT (CESPK)

CESPK INSP05L0 (2004) Preparing As-Built Drawings

1.3 DEFINITIONS

1.3.1 Submittal Descriptions (SD)

Submittals requirements are specified in the technical sections.

01 33 00 - 4

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

SD-01 Preconstruction Submittals

Submittals which are required prior to start of construction (work) 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

List of proposed Subcontractors

List of proposed products

Construction Progress Schedule

Network Analysis Schedule (NAS)

Submittal register

Schedule of prices

Health and safety plan

Work plan

Quality Control (QC) plan

Environmental protection plan

SD-02 Shop Drawings

Drawings, diagrams and schedules specifically prepared to illustrate some portion of the work.

Diagrams and instructions from a manufacturer or fabricator for use in producing the product and as aids to the Contractor for integrating the product or system into the project.

Drawings prepared by or for the Contractor to show how multiple systems and interdisciplinary work will be coordinated.

SD-03 Product Data

Catalog cuts, illustrations, schedules, diagrams, performance charts, instructions and brochures illustrating size, physical appearance and other characteristics of materials, systems or equipment for some portion of the work.

Samples of warranty language when the contract requires extended product warranties.

SD-06 Test Reports

01 33 00 - 5

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. (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 product, system or material meets specification requirements. Must be dated after award of project contract and clearly name the project.

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

Confined space entry permits.

Text of posted operating instructions.

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-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

01 33 00 - 6 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.

Interim "DD Form 1354" with cost breakout for all assets 30 days prior to facility turnover.

1.3.2 Approving Authority

Office or designated person authorized to approve submittal.

1.3.3 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.

1.4 SUBMITTALS

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

submittals not having a "G" designation are for Contractor QC approval.

Submit the following in accordance with this section.

SD-01 Preconstruction Submittals

Submittal Register; G

1.5 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.5.1 Designer of Record Approved (DA)

Designer of Record (DOR) approval is required for extensions of design, critical materials, any deviations from the solicitation, the accepted proposal, or the completed design, 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 entitled, "Specifications and Drawings for Construction," they are considered to be

"shop drawings." Contractor to provide the Government with the number of copies designated hereinafter of all DOR approved submittals. The government may review any or all Designer of Record approved submittals for conformance to the Solicitation, Accepted Proposal and the completed design. The government will review all submittals designated as deviating from the Solicitation or Accepted Proposal, as described below. Design submittals to be in accordance with Section 01 33 16 DESIGN AFTER AWARD.

Generally, design submittals should be identified as SD-05 Design Data submittals.

1.5.2 Government Approved (G)

Government approval is required for any deviations from the Solicitation or

Accepted Proposal and other items as designated by the Contracting Officer.

Within the terms of the Contract Clause entitled, "Specifications

01 33 00 - 7 and Drawings for Construction," they are considered to be "shop drawings."

1.5.3 Government Conformance Review of Design (CR)

The government will review all intermediate and final design submittals for conformance with the technical requirements of the solicitation. Section

01 33 16 DESIGN AFTER AWARD covers the design submittal and review process in detail. Review will be only for conformance with the applicable codes, standards and contract requirements. Design data includes the design documents described in Section 01 33 16 DESIGN AFTER AWARD. Generally, design submittals should be identified as SD-05 Design Data submittals.

1.5.4 Designer of Record Approved/Government Conformance Review (DA/CR)

1.5.4.1 Deviations to the Accepted Design

Designer of Record approval and the government's concurrence are required for any proposed deviation from the accepted design which still complies with the contract before the Contractor is authorized to proceed with material acquisition or installation. Within the terms of the Contract

Clause entitled, "Specifications and Drawings for Construction", they are considered to be "shop drawings." If necessary to facilitate the project schedule, the Contractor and the DOR may discuss a submittal proposing a deviation with the Contracting Officer's Representative prior to officially submitting it to the government. However, the government reserves the right to review the submittal before providing an opinion, if deemed necessary. In any case, the government will not formally agree to or provide a preliminary opinion on any deviation without the DOR's approval or recommended approval. The government reserves the right to non-concur with any deviation from the design, which may impact furniture, furnishings, equipment selections or operations decisions that were made, based on the reviewed and concurred design.

1.5.4.2 Substitutions

Unless prohibited or provided for otherwise elsewhere in the Contract, where the accepted contract proposal named products, systems, materials or equipment by manufacturer, brand name and/or by model number or other specific identification, and the Contractor desires to substitute manufacturer or model after award, submit a requested substitution for

Government concurrence. Include substantiation, identifying information and the DOR's approval, as meeting the contract requirements and that it is equal in function, performance, quality and salient features to that in the accepted contract proposal. If the Contract otherwise prohibits substitutions of equal named products, systems, materials or equipment by manufacturer, brand name and/or by model number or other specific identification, the request is considered a "variation" to the contract.

Variations are discussed below in paragraphs: "Designer of Record

Approved/Government Approved" and "VARIATIONS"

1.5.5 Designer of Record Approved/Government Approved (DA/GA)

In addition to the above stated requirements for proposed deviations to the accepted design, both Designer of Record and Government Approval and, where applicable, a contract modification are required before the Contractor is authorized to proceed with material acquisition or installation for any proposed variation to the contract (the solicitation and/or the accepted proposal), which constitutes a change to the contract terms. Within the terms of the Contract Clause entitled, "Specifications and Drawings for

01 33 00 - 8

Construction," they are considered to be "shop drawings." The government reserves the right to accept or reject any such proposed deviation at its discretion.

1.5.6 Information Only

Submittals not requiring government approval will be for information only.

For Design-build construction all submittals not requiring Designer of

Record or 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.

1.6 PREPARATION

1.6.1 Transmittal Form

Use the transmittal form (ENG Form 4025) for submitting both government approved and information only submittals in accordance with the instructions on the reverse side of the form. These forms will be furnished to the Contractor. Properly complete this form by filling out all the heading blank spaces and identifying each item submitted. Exercise special care to ensure proper listing of the specification paragraph and sheet number of the contract drawings pertinent to the data submitted for each item.

1.7 QUANTITY OF SUBMITTALS

1.7.1 Number of Copies of SD-02 Shop Drawings

Submit six copies of submittals of shop drawings requiring review and approval only by QC organization and seven copies of shop drawings requiring review and approval by Contracting Officer.

1.7.2 Number of Copies of SD-03 Product Data and SD-08 Manufacturer's

Instructions

Submit in compliance with quantity requirements specified for shop drawings.

1.7.3 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.

1.7.4 Number of Copies SD-05 Design Data and SD-07 Certificates

Submit in compliance with quantity requirements specified for shop drawings.

1.7.5 Number of Copies SD-06 Test Reports and SD-09 Manufacturer's Field

Reports

Submit in compliance with quantity and quality requirements specified for shop drawings other than field test results that will be submitted with QC reports.

1.7.6 Number of Copies of SD-10 Operation and Maintenance Data

01 33 00 - 9

Submit five copies of O&M Data to the Contracting Officer for review and approval.

1.7.7 Number of Copies of SD-01 Preconstruction Submittals and SD-11

Closeout Submittals

Unless otherwise specified, submit three sets of administrative submittals.

1.8 INFORMATION ONLY SUBMITTALS

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

The government reserves the right to require the Contractor to resubmit any item found not to comply with the contract. This does not relieve the

Contractor from the obligation to furnish material conforming to the plans and specifications; will not prevent the Contracting Officer from requiring removal and replacement of nonconforming material incorporated in the work;

and does not relieve the Contractor of the requirement to furnish samples for testing by the government laboratory or for check testing by the government in those instances where the technical specifications so prescribe. For design-build construction the government will retain 2 copies of information only submittals.

1.9 VARIATIONS

Variations from contract requirements require both Designer of Record (DOR) and government approval pursuant to contract Clause FAR 52.236-21 and will be considered where advantageous to the government.

1.9.1 Considering Variations

Discussion with Contracting Officer prior to submission, after consulting with the DOR, 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 the government, including the DOR's written analysis and approval. 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.

01 33 00 - 10

Clearly mark the proposed variation in all documentation.

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

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

1.9.3 Warranting That Variations Are Compatible

When delivering a variation for approval, the Contractor, including its

Designer(s) of Record, 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 Is Modified

In addition to normal submittal review period of 35 calendar days, a period of 10 working days will be allowed for consideration by the Contracting

Officer of submittals with variations.

1.10 SUBMITTAL REGISTER (Note, revise SR at Attachment to fit task order)

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 00.10 QUALITY CONTROL SYSTEM

(QCS). The government will provide the initial submittal register in electronic format with the following fields completed, to the extent that will be required by the government during subsequent usage.

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

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

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

Thereafter, 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.

The Designer of Record shall develop a complete list of submittals during design and identify required submittals in the specifications, and use the list to prepare the Submittal Register. The list may not be all inclusive and additional submittals may be required by other parts of the contract.

The Contractor is required to complete the submittal register and submit it to the Contracting Officer for approval within 35 calendar days for

Government Approval and 14 calendar days for information only after Notice to Proceed. The approved submittal register will serve as a scheduling document for submittals and will be used to control submittal actions throughout the contract or task order period. Coordinate the submit dates and need dates with dates in the Contractor prepared progress schedule.

Submit monthly or until all submittals have been satisfactorily completed, updates to the submittal register showing the Contractor action codes and

01 33 00 - 11 actual dates with government action codes. Revise the submittal register when the progress schedule is revised and submit both for approval.

1.10.1 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.

1.10.2 Contractor Use of Submittal Register

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

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

Column (j) Action Code (k): Date of action used to record

Contractor's review when forwarding submittals to QC.

Column (l) List date of submittal transmission.

Column (q) List date approval received.

1.10.3 Approving Authority Use of Submittal Register

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

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

Column (l) List date of submittal receipt.

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

Column (q) List date returned to Contractor.

1.10.4 Copies Delivered to the Government

Deliver one copy…