Specifications_W9127N17R0047.pdf

REQUEST FOR PROPOSALS

W9127N-17-R-0047

VARIOUS LOCATIONS

WILLAMETTE VALLEY AND LOST CREEK TURBINE

MTC PLATFORM REPLACEMENT

PROJECT MANUAL

TOC-1

WILLAMETTE VALLEY AND LOST CREEK

TURBINE MTC PLATFORM REPLACEMENT

VARIOUS LOCATIONS

TABLE OF CONTENTS

A SOLICITATION/CONTRACT/ORDER FORM (SF 33)

B SUPPLIES OR SERVICE AND PRICES

C DESCRIPTION/SPECIFICATIONS

GENERAL AND TECHNICAL SPECIFICATION REQUIREMENTS

D PACKAGING AND MARKING - NOT USED

E INSPECTION AND ACCEPTANCE TERMS - NOT USED

F DELIVERIES OR PERFORMANCE - NOT USED

G CONTRACT ADMINISTRATION DATA - NOT USED

H SPECIAL CONTRACT REQUIREMENTS - NOT USED

I CONTRACT CLAUSES - NOT USED

J LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS

J1: Submittal Register (ENG FORM 4288-R)

J2: Transmittal Form (ENG FORM 4025-R)

J3: Construction Project Identification Form

J4: Spill Emergency - Initial Report Form

J5: Oregon Wage Rates - NOT USED

J6: Washington Wage Rates - NOT USED

K REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF OFFERORS

- NOT USED

L INSTRUCTIONS, CONDITIONS, AND NOTICES TO BIDDERS - NOT USED

M EVALUATION FACTORS FOR AWARD - NOT USED

Willamette Valley and Lost Creek Turbine MTC Platform Replacement

PROJECT TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

01 10 00.00 25 CONTRACT ADMINISTRATION DATA

01 10 10.00 25 CONTRACTOR'S OPERATIONS AND REQUIREMENTS

01 11 00.00 25 SUMMARY OF WORK

01 33 00 SUBMITTAL PROCEDURES

01 35 26.00 25 GOVERNMENTAL SAFETY REQUIREMENTS

01 42 00 SOURCES FOR REFERENCE PUBLICATIONS

01 45 00.15 25 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM)

01 78 23.00 25 OPERATION AND MAINTENANCE DATA

01 78 39.00 25 PROJECT RECORD DOCUMENTS

DIVISION 05 - METALS

05 14 00.13 26 WELDING STRUCTURAL ALUMINUM

05 50 03.00 26 METALWORK FABRICATION, MACHINE WORK, AND MISCELLANEOUS

PROVISIONS

05 50 05.00 26 TURBINE MAINTENANCE PLATFORM

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 10 00.00 25

CONTRACT ADMINISTRATION DATA

PART 1 GENERAL

1.1 REFERENCES

1.2 MEANING OF TERMS

1.3 CONTRACT ADMINISTRATION

1.4 CONTRACTING OFFICER

1.5 SERIAL LETTER CORRESPONDENCE

1.5.1 Numbering

1.5.2 Subcontractors

1.5.3 Transmittals

1.6 EM 385-1-1 SAFETY AND HEALTH REQUIREMENTS MANUAL

1.7 PROJECT-SPECIFIC MANAGEMENT PLAN

1.8 LETTERS OF AUTHORITY

1.9 VETERANS EMPLOYMENT EMPHASIS FOR U.S. ARMY CORPS OF ENGINEERS

CONTRACTS

PART 2 PRODUCTS - NOT USED

PART 3 EXECUTION - NOT USED

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SECTION 01 10 00.00 25 Page 1

SECTION 01 10 00.00 25

CONTRACT ADMINISTRATION DATA

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 in the text by basic designation only.

U.S. ARMY CORPS OF ENGINEERS (USACE)

EM 385-1-1 (2014) Safety and Health Requirements Manual

1.2 MEANING OF TERMS

a. Specification Sections of this Contract are generally written in the imperative mood. In sentences using the imperative mood, the subject, "the Contractor," is implied. Also implied in this language are "shall," "shall be," "must," or similar words and phrases. In material specifications, the subject may also be the supplier, fabricator, or manufacturer supplying material, products, or equipment for use on the project.

b. Wherever "directed," "required," "prescribed," or other similar words are used, the "direction," "requirement," or "order" of the Contracting Officer is intended. Similarly, wherever "approved," "acceptable," "suitable," "satisfactory," or similar words are used, the words mean "approved by," "acceptable to," or "satisfactory to" the Contracting Officer.

c. The word "will" generally pertains to decisions or actions of the Contracting Officer.

d. The word "construction," "pre-construction," or similar words and phrases shall be implied to mean "fabrication," "pre-fabrication," or the like.

1.3 CONTRACT ADMINISTRATION

This Contract will be administered by the Office or Person(s) listed in this contract.

1.4 CONTRACTING OFFICER

The Contracting Officer (CO) who signed this Contract is the primary Contracting Officer for the Contract. Nevertheless, any CO assigned to the Portland District and acting within his/her authority may take formal action on this Contract when a Contract action needs to be taken and the primary Contracting Officer is unavailable. All correspondence must be through the Contracting Officer or, upon notification, their authorized Representative (COR).

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1.5 SERIAL LETTER CORRESPONDENCE

All letters must be electronically submitted to the Government and must be sent to designated parties via email and exported via the RMS interface.

All letters must be signed in accordance with the letters of authority.

Send any documents requiring original hardcopy/signatures to: Eugene Resident Office, 211 E 7th Avenue, Suite 220, Eugene, OR 97401.

1.5.1 Numbering

All serial letter correspondence must be independently numbered sequentially with no numbers missing or duplicated, commencing with number one (1). Each letter must show the Contract number, description, and subject matter. Only one subject should be covered in the same letter.

1.5.2 Subcontractors

Subcontractors must not correspond with either the Resident or District offices; the Prime Contractor must handle all correspondence.

1.5.3 Transmittals

Transmittals of signed pay estimates, submittals, and other similar correspondence will not require a Serial Letter; use of a commercial transmittal form or speed letter is encouraged.

1.6 EM 385-1-1 SAFETY AND HEALTH REQUIREMENTS MANUAL

The latest version in effect on the date of the Solicitation for this Contract (in accordance with EM 385-1-1 Paragraph 4 General, subparagraphs b.(1) and c.) will be contractually binding as part of this Contract. The latest version, including all errata and changes, must be used for this Contract and is obtainable at http://www.publications.usace.army.mil/Portals/76/Publications/EngineerManuals /EM_385-1-1.pdf.

1.7 PROJECT-SPECIFIC MANAGEMENT PLAN

Submit SD-01, Preconstruction Submittals (listed on the preliminary submittal register, Attachment A1, and defined in Section 01 33 00, SUBMITTAL PROCEDURES). The listed components of the Project-Specific Management Plan (PSMP) must be submitted separately under the appropriate specifications section. Upon approval, the components must be combined into a single PSMP binder that will be kept onsite. Update the PSMP whenever the plans contained within are updated or amended. The COR will periodically review the onsite copy of the PSMP. If a current version of the PSMP is not available and up to date, site work may be stopped until deficiencies are corrected. Acceptance of the PSMP is required prior to mobilization.

The PSMP must include:

a. Section I - Accident Prevention Program.

(1) Accident prevention plan (EM 385-1-1 and Section 01 35 26.00 25, GOVERNMENTAL SAFETY REQUIREMENTS).

(2) Drug-free workplace policy.

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(3) Global Harmonization program (EM 385-1-1). Note: Replaces hazard communication program.

(4) Activity hazard analysis (EM 385-1-1).

(5) Equipment certification.

b. Section II - Quality Control System (Section 01 45 00.00 25, QUALITY CONTROL).

(1) Contractor's quality control (CQC) plan.

(2) CQC Daily Report form.

c. Project Work Plan. The following are examples:

(1) Roadway Access Agreement.

(2) Temporary electrical systems.

(3) Welder qualifications.

(4) Welding procedures.

(5) Bolt pre-tensioning procedure.

d. Schedule for Fabrication and Delivery.

e. Submittal Register.

1.8 LETTERS OF AUTHORITY

a. To authenticate actions required under terms of this Contract, furnish a letter of authority to the CO and Contracting Officer's Representative that indicates the names of an individual or individuals who are authorized to perform the following functions on behalf of the company:

(1) Sign progress payment estimates.

(2) Sign final payment estimate.

(3) Accept Government-furnished property (if applicable).

(4) Sign Contract modifications.

(5) Monitor and report on the environmental protection plan, management plan, quality control plan, and safety plan.

(6) Supervise the field activities.

(7) Sign Release of Claims.

(8) Sign Correspondence.

b. This letter of authority must bear the typewritten names and the handwritten signatures of each individual and be signed by the person whose signature appears on the final Contract.

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1.9 VETERANS EMPLOYMENT EMPHASIS FOR U.S. ARMY CORPS OF ENGINEERS CONTRACTS

U.S. Army Corps of Engineers (USACE) contractors and subcontractors at all tiers are encouraged to promote the training and employment of U.S.

veterans while performing under a USACE contract. While no set-aside, evaluation preference, or incentive applies to the solicitation or performance under the resultant contract, USACE contractors are encouraged to seek out highly qualified veterans to perform services under this contract. The following resources are available to assist USACE contractors in their outreach efforts:

a. U.S. Department of Labor Veterans employment: www.vets.gov/

b. Federal veteran employment information:

www.fedshirevets.gov/index.aspx

c. Veterans' Employment and Training Service (VETS):

http://www.dol.gov/vets/

d. Veterans Opportunity to Work (VOW) Program:

http://benefits.va.gov/vow/

e. U.S. Army Warrior Transition Command Employment Index:

wtc.army.mil/modules/employers/index.html

f. Hiring Our Heroes initiative:

www.uschamberfoundation.org/hiring-our-heroes

g. Guide to Hiring Veterans:

www.whitehouse.gov/sites/default/files/docs/white_house_business_counc il_-_guide_to_hiring_veterans_0.pdf

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PART 3 EXECUTION - NOT USED

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DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 10 10.00 25

CONTRACTOR'S OPERATIONS AND REQUIREMENTS

PART 1 GENERAL

1.1 DESCRIPTION OF WORK

1.2 SUBMITTALS

1.3 PREFABRICATION AND DELIVERY SUBMITTALS

1.4 PERMITS AND RESPONSIBILITIES

1.5 WORK BY THE GOVERNMENT CONCURRENT WITH CONTRACTOR WORK

1.6 CONTRACTOR EMPLOYEES

1.7 SECURITY PROCEDURES

1.7.1 Project Security

1.7.2 Verification of Employment Eligibility

1.7.3 Identification of Employees

1.7.4 Non - US Citizen Employees

1.7.5 Identification of Contractor Vehicles

1.7.6 Use of Private Vehicles

1.8 SECURITY TRAINING

1.9 UTILITIES

1.10 PROTECTION OF MATERIAL AND WORK

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PART 3 EXECUTION - NOT USED

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SECTION 01 10 10.00 25

CONTRACTOR'S OPERATIONS AND REQUIREMENTS

PART 1 GENERAL

1.1 DESCRIPTION OF WORK

This Section covers general requirements applicable to specific Contractor's operations and equipment.

1.2 SUBMITTALS

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

submittals not having a "G" designation are for information only. Submit the following in accordance with Section 01 33 00, SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Prefabrication and Delivery Submittals; G

Security Procedures; G

Security Training; G

1.3 PREFABRICATION AND DELIVERY SUBMITTALS

Miscellaneous fabrication and delivery submittals include but are not limited to: schedules, tabular lists of data, or tabular list including location, features, or other pertinent information regarding products, materials, equipment, or components to be used in the work. The submittal register, specific work plans, list of proposed products, and list of proposed subcontractors and suppliers.

1.4 PERMITS AND RESPONSIBILITIES

Obtain all permits and licenses for the work as required. Obtaining these permits and licenses is the sole responsibility of the Contractor.

1.5 WORK BY THE GOVERNMENT CONCURRENT WITH CONTRACTOR WORK

The Government will limit interference with the Contractor's work to the maximum reasonable extent and the Government and Contractor must coordinate as necessary.

1.6 CONTRACTOR EMPLOYEES

Ensure that all employees are capable of demonstrating adequate knowledge of tools, supplies, equipment, and techniques necessary to competently perform the work. All personnel employed by the Contractor must be fully qualified in their respective fields to render the services necessary. The Government may require the Contractor to discontinue using any employee in the performance of the work specified in this Contract determined by the Government to be unsatisfactory. Contractor employees will not be permitted to bring guests, family members, or non-employees to the job site at any time.

SECTION 01 10 10.00 25 Page 2

1.7 SECURITY PROCEDURES

1.7.1 Project Security

a. The Project is not open to the public. The security gates and powerhouse doors must remain closed and locked unless being actively traversed. Submit a procedure for approval for identification and control of employees entering or leaving the Project during the hours of closure.

b. Arrangement and scheduling of working hours and crews must be coordinated through the CO with the Project Staff. The working hours of the Project Staff are Mondays through Thursdays from 6:30 a.m. until 5:00 p.m. Fridays are non-working days. Big Cliff, Detroit, Foster, Green Peter, Cougar, and Lost Creek are remotely operated facilities.

Project Staff availability may be limited to 8:00 AM to 3:30 PM to allow for travel time. Working hours that extend past 5:00 p.m.

weekdays or on weekends and holidays must be coordinated through the CO and approved by the Project Staff. Submit the intended working hours of staff on site and identify any employees working in any capacity in accordance with the subparagraph entitled Identification of Employees.

c. Security of the Contractor's property and items furnished under this Contract, until the Government accepts items, are the Contractor's responsibility whether stored inside or outside.

d. All Contractor personnel, subcontractor personnel, suppliers, etc.

must comply with the Project's security policies. Salespersons or personnel seeking employment will not be permitted inside the Project.

Costs associated with Contractor failure to comply with the Project security policies must be at the expense of the Contractor.

e. Signs may be erected outside the project containing instructions for personnel seeking the Contractor. The content and location of the signs will be approved by the CO prior to erection. Posts or other means of support, if required, must be provided by the Contractor and removed when the Contract is completed. Any open post holes must be suitably backfilled, prior to the end of the shift in which posts are removed, and any other damage must be repaired to prefabrication and delivery conditions.

1.7.2 Verification of Employment Eligibility

The Contractor is responsible to pre-screen Contractor and subcontractor personnel using the E-Verify Program at http://www.uscis.gov/E-verify to meet the established employment eligibility requirements. Two valid forms of Government issued identification will be required per individual to ensure the correct information is entered into the E-verify system. Submit a roster of Contractor and subcontractor personnel with verified or eligible employment eligibility to the CO within three days of Notice to Proceed.

1.7.3 Identification of Employees

a. Submit a complete, dated and signed, list of all Contractor and subcontractor personnel and their titles who will be working on the project at the Weekly Coordination Meeting. This listing must be revised and resubmitted when personnel changes occur.

SECTION 01 10 10.00 25 Page 3

b. Government-prescribed cards/keys:

No cards/keys will be given as part of this contract.

1.7.4 Non - US Citizen Employees

Submit photocopies of the Permanent Resident Card or passport to the CO of all Contractor employees who are foreign born and are non-US citizens. The CO shall provide the Portland District Security Office the submitted photocopies at least one month (30 calendar days) in advance of the start of work by the employees. Contractor personnel who are non-US citizens shall not be permitted access to the Project until the Foreign Visitor Authorization is received from HQUSACE. Contractor personnel who are non-US citizens shall not be permitted to work on the contract at all until Foreign Visitor Authorization is received.

1.7.5 Identification of Contractor Vehicles

All Contractor vehicles used for prosecuting the work must have a Contractor sign or other permanent identification and must carry the required insurance. Private vehicles not owned by the Prime Contractor or subcontractors must not be used for prosecuting the work.

1.7.6 Use of Private Vehicles

Private vehicles of the Contractor and its employees must enter and leave the project as directed. Restrict parking to approved areas.

1.8 SECURITY TRAINING

Costs associated with the following execution of training and verification requirements must be at the expense of the Contractor. Facilitate the following training and submit:

a. AT Level 1 Training - Thirty calendar days prior to mobilization, all Contractor employees, to include subcontractor employees, requiring access to army installations, facilities, and controlled access areas must complete AT Level 1 Training. Submit a roster of training completion for each Contractor employee and subcontractor employee to the CO within five calendar days after completion of training of all employees and subcontractor personnel. Obtain training DVD from the CO through the Portland District Security Office. (Estimated training time is ten minutes per individual).

b. iWATCH or CorpsWatch Training - Thirty calendar days prior to mobilization, all Contractor employees, to include subcontractor employees, requiring access to army installations, facilities, and controlled access areas must complete iWatch or CorpsWatch Training.

Submit a roster of training completion for each Contractor employee and subcontractor employee to the CO within five calendar days after completion of training of all employees and subcontractor personnel.

Obtain training DVD from the CO through the Portland District Security Office. (Estimated training time is five minutes per individual).

c. Operations Security (OPSEC) Training - Thirty calendar days prior to mobilization, all Contractor employees, to include subcontractor employees, requiring access to army installations, facilities, and controlled access areas must complete OPSEC Training. Submit a roster

SECTION 01 10 10.00 25 Page 4 of training completion for each Contractor employee and subcontractor employee to the CO within five calendar days after completion of training of all employees and subcontractor personnel. Obtain training DVD from the CO through the Portland District Security Office.

(Estimated training time is 15 minutes per individual).

1.9 UTILITIES

Provide utilities required for the performance of work under this Contract.

No Government utlities will be provided as part of this contract.

1.10 PROTECTION OF MATERIAL AND WORK

All materials, supplies, tools, equipment and Government property (including all tools, equipment, and special devices supplied by the Contractor and to be turned over to the Government at the end of the Contract) must at all times be protected and preserved in an approved manner. If material, equipment, supplies, and work performed are not adequately protected, such property may be protected by the Government and the cost thereof will be charged to the Contractor or deducted from any payment due.

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PART 3 EXECUTION - NOT USED

SECTION 01 10 10.00 25 Page 5

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 11 00.00 25

SUMMARY OF WORK

PART 1 GENERAL

1.1 SUMMARY

1.2 WORK COVERED BY CONTRACT DOCUMENTS

1.2.1 Project Description

1.2.2 Location

1.3 CONTRACT DRAWINGS

1.4 OCCUPANCY OF PREMISES

1.5 EXISTING WORK

1.6 GOVERNMENT-FURNISHED MATERIAL AND EQUIPMENT

PART 2 PRODUCTS - NOT USED

PART 3 EXECUTION - NOT USED

SECTION 01 11 00.00 25 Page 1

SECTION 01 11 00.00 25

SUMMARY OF WORK

PART 1 GENERAL

1.1 SUMMARY

This Section provides a summary of the various Contract work elements and their relationship to each other. This Section does not provide the technical detail for particular work activities, but describes the work as a whole, providing overall perspective to the separate tasks and their interrelationships. Use this Section in conjunction with all the Specification Sections and the Drawings to establish the total work requirements.

1.2 WORK COVERED BY CONTRACT DOCUMENTS

1.2.1 Project Description

The work includes providing new turbine maintenance platforms, mounting bracket, spare parts, and incidental related work. This effort is to include all associated works required and described within this Contract package.

1.2.2 Location

The work sites are located at at the followings dams: Big Cliff, Cougar, Detroit, Foster, Green Peter, and Lost Creek. Contractor access to the work site of the following dams will be from:

a. Big Cliff: N Santiam Highway (HWY 22) via the dam access road.

b. Detroit: N Santiam Highway (HWY 22) via the dam access road.

c. Cougar: McKenzie Highway (HWY126) via NF-410.

d. Foster: Santiam Highway (HWY 20) via 53rd Ave. and then 54th Ave.

e. Green Peter: Santiam Highway (HWY 20) via Quartzville Rd., then Quartzville Dr. and then the dam access road.

f. Lost Creek: OR-62 E and then Takelma Drive.

1.3 CONTRACT DRAWINGS

a. The Drawings that accompany these Specifications are a part thereof.

b. Contract drawings, maps, and Specifications will be furnished to the Contractor without charge. Reference publications will not be furnished.

c. Contractor must immediately check furnished drawings and Specifications and notify the Government of any discrepancies.

SECTION 01 11 00.00 25 Page 2

1.4 OCCUPANCY OF PREMISES

a. Buildings will be occupied during performance of work under this Contract.

b. Before work is started, the Contractor must arrange with the Contracting Officer a sequence of procedures, means of access, space for storage of materials and equipment, and use of approaches, corridors, and stairways.

1.5 EXISTING WORK

a. Remove or alter existing work in such a manner as to prevent injury or damage to any portion of the existing work to remain.

b. Upon completion of the work, repair or replace portions of existing work, which have been damaged by Contractor's operations, to prefabrication and delivery conditions at the expense of the Contractor.

1.6 GOVERNMENT-FURNISHED MATERIAL AND EQUIPMENT

No Government-furnished material or equipment will be provided as part of this contract.

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SECTION 01 11 00.00 25 Page 3

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 GENERAL INFORMATION

1.2 SUBMITTALS

1.3 DEFINITIONS

1.3.1 Submittal Descriptions (SD)

1.3.2 Approving Authority

1.3.3 Work

1.4 SUBMITTAL DESIGNATION

1.5 SUBMITTAL REGISTER

1.5.1 Maintain Submittal Register

1.5.2 Use of Submittal Register

1.5.3 Government Approval Submittals

1.5.3.1 Quantity of Submittals

1.5.3.2 Processing of "G" Submittals.

1.5.4 Information Only Submittals

1.5.4.1 General

1.5.4.2 Processing of Information Only Submittals

1.6 SUBMITTAL COORDINATION

1.6.1 Submittal Coordination Meeting

1.6.2 Submittal Register ENG Form 4288-R

1.6.3 Submittal Register Updates

1.7 SCHEDULING

1.8 TRANSMITTAL FORM (ENG FORM 4025-R)

1.9 CROSS-REFERENCE (ENG FORM 4288-R/ENG FORM 4025-R)

1.10 SUBMITTAL PROCEDURES

1.10.1 e-Submittals

1.10.2 Approval of Submittals by the Contractor

1.10.3 Drawings

1.10.3.1 As-Built Drawings

1.10.3.2 Shop Drawing Reproducibles

1.10.3.3 Printed Material

1.11 SAMPLES REQUIRING LABORATORY ANALYSIS

1.12 PURCHASE ORDERS

1.13 CERTIFICATES OF COMPLIANCE

1.14 DISAPPROVED SUBMITTALS

1.15 APPROVED SUBMITTALS

1.16 APPROVED SAMPLES

1.17 CONTRACTOR'S FILES

1.18 PAYMENT

1.19 WITHHOLDING OF PAYMENT

1.20 CONTRACTOR APPROVAL STAMP

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SECTION 01 33 00 Page 1

PART 3 EXECUTION - NOT USED

SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 GENERAL INFORMATION

a. Section E Contract Clauses 52.246-2, INSPECTION OF SUPPLIES--FIXED PRICE (AUG 1996), apply to all submittals.

b. Make submittals as required by the Specifications. The Contracting Officer (CO) may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective Sections.

c. Use the same units of weights and measures on all submittals as those used in the Contract Drawings.

d. Each submittal must be complete and in sufficient detail to allow ready determination of compliance with Contract requirements.

e. The Contractor's Quality Control (CQC) System Manager must check and approve all items prior to submittal and stamp, sign, and date indicating action taken. Proposed deviations from the Contract requirements must be clearly identified. Submittals must include 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.

f. Submittals requiring Government approval must be scheduled and approved prior to the acquisition of the material or equipment covered thereby.

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

h. Submittals requiring professional licensure, signature, and stamp must comply with all State professional licensing and registration requirements.

1.2 SUBMITTALS

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

submittals not having a "G" designation are for information only. Submit the following in accordance with this Section:

SD-01 Preconstruction Submittals

Submittal Register; G

SD-07 Certificates

SECTION 01 33 00 Page 3

Authorized Shop Drawing Approvers

1.3 DEFINITIONS

1.3.1 Submittal Descriptions (SD)

Submittal requirements are specified in the technical Sections and in the preliminary submittal register (ENG Form 4288-R, Attachment A1).

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

SD-01 Preconstruction Submittals

Submittals required prior to start of fabrication and delivery work.

Includes, but not limited to: 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.

List of proposed subcontractors.

List of proposed products.

Submittal register.

Health and safety plans.

Work plan.

Contractor Quality Control (CQC) 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.

Warranty language when the Contract requires extended product warranties.

SD-05 Design Data

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

SECTION 01 33 00 Page 4

SD-06 Test Reports

Report signed by authorized official of testing laboratory that a material, product, or system identical to the material, product, or system to be provided has been tested in accordance with specified requirements. (Testing must have been within three years of date of Contract award for the project.)

Report 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.

Any reports required by the CO or designated representative to assure successful completion of tasks during the life of the Contract.

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 SDS 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.

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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.

Special requirements necessary to properly close out a supply Contract. For example, Record Drawings and as-built drawings.

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 fabrication and delivery required by Contract documents, including labor necessary to produce submittals (except those SD-01 Pre-Construction Submittals noted above), materials, products, equipment, and systems incorporated or to be incorporated in such fabrication and delivery.

1.4 SUBMITTAL DESIGNATION

Submittals are classified as follows:

a. Government Approved (G).

b. Information Only. Submittals not requiring Government approval will be for information only.

1.5 SUBMITTAL REGISTER

1.5.1 Maintain Submittal Register

a. Prepare and maintain Submittal Register, ENG Form 4288-R, 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. This list may not be all inclusive and additional submittals may be required.

b. The Government will provide the preliminary submittal register in electronic format with the following fields completed, to the extent that will be required by the Government during subsequent usage.

(1) Column (c): Lists Specification Section in which submittal is required.

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

(3) 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.

c. Thereafter, track all submittals by maintaining a complete list, SECTION 01 33 00 Page 6 including completion of all data columns, including dates on which submittals are received and returned by the Government.

1.5.2 Use of Submittal Register

Submit submittal register with project schedule and QC plan. Verify that all submittals required for work are listed and add missing submittals.

Coordinate, update, and complete the fields on the submitted register in RMS CM with the project schedule and QC plan.

1.5.3 Government Approval Submittals

1.5.3.1 Quantity of Submittals

SD-01, SD-02, SD-03, and SD-05 through SD-11 submittals: Upload submittals with corresponding ENG 4025-R transmittal forms (Attachment A2) as outlined in paragraph entitled e-Submittals. SD-04 submittals: Submit two samples of "G" submittals with two corresponding ENG 4025-R transmittal forms, unless otherwise specified. Upon completion of review, "G" submittal copies will be marked with an action code, dated, electronically signed, and electronically returned to the Contractor as specified below:

1.5.3.2 Processing of "G" Submittals.

a. Submittals will be reviewed and processed as follows:

(1) Approved as Submitted (Action Code "A"): Submittals which can be approved without correction will be stamped "Approved" and returned electronically to the Contractor.

(2) Approved, Except as Noted on Drawings (Action Code "B"):

Submittals which have only minor discrepancies will be annotated in red to indicate necessary corrections. Marked material will be stamped "Approved Except as Noted" and returned electronically to the Contractor for correction.

(3) Approved, Except as Noted on Drawings, Resubmission Required (Action Code "C"): Submittals which are incomplete or require more than minor corrections will be annotated in red to indicate necessary corrections. Marked material will be stamped "Approved Except as Noted - Resubmission Required" and returned electronically to the Contractor for correction. Resubmittal of only those items needing correction required.

(4) Will be Returned by Separate Correspondence (Action Code "D"): Submittals will be addressed by Serial Letter and the Contractor must respond according to instructions in the letter.

(5) Disapproved (Action Code "E"): Submittals which are fundamentally in error, cover wrong equipment or fabrication and delivery, or require extensive corrections, will be returned to the Contractor stamped "Disapproved." Submittal will be returned electronically to the Contractor and an explanation will be furnished on the submitted material or on ENG Form 4025-R indicating reason for disapproval. Complete resubmittal required.

(6) Receipt Acknowledged (Action Code "F"): Submittals stamped "Receipt Acknowledged" are complete and returned electronically to the Contractor.

SECTION 01 33 00 Page 7

(7) Other (Specify) (Action Code "G"): Submittals requiring other specific action will be stamped "Other (Specify)" and returned with a description in the Remarks section. Submittal will be returned electronically to the Contractor. Resubmittal of only those items needing correction required.

(8) Receipt Acknowledged, Does Not Comply (Action Code "X"):

Submittals which have been received but do not comply with Contract requirements. Submittal will be returned electronically to the Contractor stamped "Receipt Acknowledged, Does Not Comply" and an explanation will be furnished. Corrective action and resubmittal required.

b. Resubmittal will not be required for approved submittals unless subsequent changes are made by Contractor or by Contract modification.

For submittals required to be resubmitted, make corrections required, note any changes by dating the revisions to correspond with the change request date, and promptly resubmit the corrected material.

Resubmittals must be associated with the "parent" by use of sequential numbers (for example, resubmittal of transmittal 8 will be 8.1, 8.2, etc). Government costs incurred after the first resubmittal may be charged to the Contractor.

1.5.4 Information Only Submittals

1.5.4.1 General

Upload submittal with corresponding ENG 4025 forms as outlined in paragraph entitled e-Submittals. Normally information only submittals will not be returned. Government approval is not required on information only submittals. These submittals will be used for information purposes. 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 CO 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.

1.5.4.2 Processing of Information Only Submittals

Submit information only submittals electronically prior to delivery of the material or equipment to the job site. ENG Form 4025-R must be marked with the words "Contractor approved - information copy only" in the REMARKS block of the form. Submittals will be monitored and spot checks made.

When such checks indicate noncompliance, the Contractor will be notified by the same method used for Government Approval submittals. Resubmittal of nonconforming information only submittals must be reclassified Government Approval ("G") and re-submitted electronically for approval.

1.6 SUBMITTAL COORDINATION

1.6.1 Submittal Coordination Meeting

Meet with the CO, after the prefabrication and delivery conference and before any submittals are sent to the CO, to further develop the preliminary submittal register (ENG Form 4288-R). During the meeting

SECTION 01 33 00 Page 8 identify and group all required items into the categories as shown in paragraph entitled SUBMITTAL DESIGNATION.

1.6.2 Submittal Register ENG Form 4288-R

Coordinate the submittal register with the progress schedule and submit within 30 days of Date of Contract Award. In preparing the final document, allow a minimum of 30 days for review and approval, and possible resubmittal of each item on the register.

1.6.3 Submittal Register Updates

The CQC System Manager must review the listing at least every 30 days and take appropriate action to maintain an effective system. Submit copies of updated or corrected listings to the CO at least every 30 days in the quantity specified.

1.7 SCHEDULING

Schedule and submit concurrently submittals covering component items forming a system or items that are interrelated. Adequate time (a minimum of 30 calendar days) must be allowed and shown on the register for Government review and approval. 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 must be listed on the register. Approval by the CO does not relieve the Contractor of supplying submittals required by the Contract documents but which have been omitted from the register.

c. Re-submit register and annotate monthly 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."

1.8 TRANSMITTAL FORM (ENG FORM 4025-R)

Use the sample transmittal form (ENG Form 4025-R, Attachment A2) for submitting both Government Approval and Information Only submittals in accordance with the instructions on the reverse side of the form. These forms are included in the RMS CM software that the Contractor is required to use for this Contract, per Section 01 45 00.15 25, RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM). Fill forms in completely prior to submittal. Exercise special care to ensure proper listing of the specification paragraph number(s) and Contract Drawing sheet number(s) pertinent to the data submitted for each item. List each submittal item separately on the form, naming subcontractor, supplier, or manufacturer;

applicable specification paragraph number(s); drawing/sheet number; pay item number; and any other information needed to identify the item, define its use, and locate it in the work. One or more ENG 4025-R forms may be used per Specification Section, however, DO NOT include more than one Specification Section per transmittal.

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1.9 CROSS-REFERENCE (ENG FORM 4288-R/ENG FORM 4025-R)

To provide a cross-reference between the approved submittal register and transmittal forms, the Contractor must record the "transmittal numbers" assigned when submitting items in column "Transmittal No." of the ENG Form 4288-R. The numbers in column "Transmittal No." of the submittal register must correspond to the column "Item No." on ENG Form 4025-R.

1.10 SUBMITTAL PROCEDURES

Upload submittals in accordance with subparagraphs entitled Government Approved Submittals and Information Only Submittals, unless indicated otherwise in the technical specifications. Submit a complete collated "reviewers copy" with one ENG 4025-R form and attachments (not originals).

Submit hard copy and electronic copies of Record (as-built) Drawings and O&M Manuals in accordance with the applicable Specification Sections.

1.10.1 e-Submittals

The intent of electronic submittals is to expedite the process by reducing paperwork, improving information flow, and decreasing turnaround time.

Transmit all submittals, including either an electronically signed or signed scanned copy of form ENG 4025, to the Government electronic (PDF) format via email. Submittals must be entered and tracked using RMS CM (see Section 01 45 00.15 25, RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM). At completion of Contract closeout, provide a minimum of two archival discs (DVD-R) that include all documents and tracking logs. Color samples, color charts, or physical material samples shall not be transmitted electronically. E-Submittals will not relieve the Contractor from following all applicable requirements within this and other Specifications Sections and Contract Clauses.

1.10.2 Approval of Submittals by the Contractor

a. Submit names and titles of Contractor Authorized Shop Drawing Approvers to the CO with the ENG Form 4288-R. Supplier or subcontractors certifications are not acceptable as meeting this requirement.

b. Before submittal to the CO, the Contractor's Authorized Shop Drawing Approvers must review and correct shop drawings prepared by subcontractors, suppliers, and itself, for completeness and compliance with Drawings and Specifications. Do not use red markings for correcting material to be submitted. Red markings are reserved for CO's use.

c. Submittals for Government Approval must first be Contractor-approved and stamped, see paragraph entitled CONTRACTOR APPROVAL STAMP.

d. Submittals not conforming to the requirements of this Section will be returned to the Contractor for correction and resubmittal.

1.10.3 Drawings

Each drawing must be not larger than F size (28 inches high by 42 inches wide), include a title block in lower right hand corner and an adjacent 3-by 4-inch clear area. The title block must contain vendor's name, Contract Number, description of item(s), Contract line item number and a revision

SECTION 01 33 00 Page 10 block. Separate drawings are required for each Contract line item. Where drawings are submitted for assemblies of more than one piece of equipment or systems, of components dependent on each other for compatible characteristics, complete information must be submitted on all such related components at the same time. The information must be complete and the sequence of drawing submittal must be such that all information is available for reviewing each drawing. Drawings for all items and equipment, of special manufacture or fabrication, must consist of complete assembly and detail drawings. All revisions after initial submittal must be shown by number, date and subject in revision block. Any drawing or electronic drawing file submitted, that is not of satisfactory quality, will be returned and must be corrected and re-submitted.

1.10.3.1 As-Built Drawings

Each as-built drawing must maintain the original size, format, and border sheet as provided by the Government, showing final as-constructed conditions. Unless otherwise specified, submit in accordance with Section

01 78 39.00 25 PROJECT RECORD DOCUMENTS.

1.10.3.2 Shop Drawing Reproducibles

Upon completion of the work under this Contract, provide a complete set of:

a. Electronic drawing files, per Section 01 78 39.00 25, PROJECT RECORD DOCUMENTS, for all the drawings as finally approved under this Contract. Show all changes and revisions, including any field changes, made up to the time that the work is accepted. Include all pertinent data files to reproduce the complete set. Record files on CD-ROM, CD-R discs only, or other digital media noted otherwise in this Contract.

b. Full-size, reproducible, hard-copy sets of drawings identical to the electronic drawing files. Show all changes and revisions, including field changes, made up to the time that the work is accepted.

1.10.3.3 Printed Material

All requirements for shop drawings must apply to catalog cuts, illustrations, printed specifications, or other data submitted, except that the 3- by 4-inch clear area adjacent to the title block is not mandatory.

Mark out inapplicable portions of the documents. Applicable items such as model numbers, sizes, and accessories must be indicated by arrow or highlighted.

1.11 SAMPLES REQUIRING LABORATORY ANALYSIS

See Section 01 45 00.00 25, QUALITY CONTROL, for procedures and address for samples requiring Government testing.

1.12 PURCHASE ORDERS

a. Each purchase order issued by the Contractor for materials and equipment to be incorporated into the work must:

(1) Clearly identify the applicable Contract number

(2) Carry an identifying number

(3) Be in sufficient detail to identify the material being

SECTION 01 33 00 Page 11 purchased

(4) Indicate a definite delivery date.

b. Furnish copies of purchase orders to the CO when the Contractor requests assistance for expediting deliveries of equipment or materials, or when requested by the CO for the purpose of quality assurance review.

1.13 CERTIFICATES OF COMPLIANCE

Submit an electronic copy of certificates required for demonstrating proof of compliance of materials with specification requirements. Each certificate must be signed by an official authorized to certify on behalf of the manufacturing company, contain the name and address of the Contractor, the project name and location, and the quantity and date or dates of shipment or delivery to which the certificates apply. Copies of laboratory test reports submitted with certificates must contain the name and address of the testing laboratory and the date or dates of the tests to which the report applies. Certification shall not be construed as relieving the Contractor from furnishing satisfactory material if, after tests are performed on selected samples, the material is found not to meet the specific requirements.

1.14 DISAPPROVED SUBMITTALS

a. Make all corrections required by the CO and promptly furnish a corrected submittal in the form specified for the initial submittal.

If the Contractor considers any correction or notation on the returned submittals to constitute a change to the Contract drawings or Specifications; notice as required under Contract Clause 52.212-4(c), CHANGES, is to be given to the CO. The Contractor must be responsible for the dimensions and design of connection details and fabrication and delivery of work. Failure to point out deviations may result in the Government requiring rejection and removal of such work at the Contractor's expense.

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

1.15 APPROVED SUBMITTALS

a. The CO's approval or acceptance of submittals shall not be construed as a complete check, and indicates only that the general method of fabrication, materials, detailing, and other information are satisfactory.

b. Approval or acceptance will not relieve the Contractor of the responsibility for any error which may exist, as the Contractor under the Contractor Quality Control (CQC) requirements of this Contract must be responsible for dimensions, the design of adequate connections and details, and the satisfactory fabrication and delivery of all work.

c. After submittals have been approved by the CO, no resubmittal for the purpose of substituting materials or equipment will be considered unless accompanied by an explanation of why a substitution is necessary.

SECTION 01 33 00 Page 12

1.16 APPROVED SAMPLES

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

b. If requested, approved and/or disapproved samples, including those which may be damaged in testing, will be returned at the expense of the Contractor upon completion of the Contract.

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

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

Contractor must replace such materials or equipment to meet Contract requirements.

e. Approval of the Contractor's samples by the CO does not relieve the Contractor of his responsibilities under the Contract.

1.17 CONTRACTOR'S FILES

Maintain "Approved as Accepted" and…