Technical Sections_Amd 0002.pdf

Bonneville Powerhouse I Main Unit Breaker Replacement

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 32 01.00 25

PROJECT SCHEDULE

PART 1 GENERAL

1.1 SUBMITTALS

1.2 QUALITY CONTROL

1.3 GENERAL REQUIREMENTS

1.4 BASIS FOR PAYMENT AND COST LOADING

1.5 SOFTWARE REQUIREMENTS

1.5.1 Critical Path Method

1.5.2 Milestones

1.5.3 Level of Detail Required

1.5.3.1 Activity Durations

1.5.3.2 Procurement Activities

1.5.3.3 Critical Activities

1.5.3.4 Government Activities

1.5.3.5 Responsibility

1.5.3.6 Contract Line Item Number (CLIN)

1.5.3.7 Definable Features of Work

1.5.3.8 Modification or Claim Number

1.5.4 Scheduled Project Completion and Activity Calendars

1.5.4.1 Project Start Date

1.5.4.2 Constraint of Last Activity

1.5.4.3 Early Project Completion

1.5.5 Interim Completion Dates

1.5.5.1 Start Phase

1.5.5.2 End Phase

1.5.5.3 Phase "X" Hammock

1.5.6 Default Progress Data Disallowed

1.5.7 Out-of-Sequence Progress

1.5.8 Negative Lags and Start to Finish Relationships

1.5.9 Calculation Mode

1.6 SUBMISSIONS

1.6.1 Initial Schedule

1.7 SUBMISSION REQUIREMENTS

1.7.1 Data Submission

1.7.2 Narrative Report

1.7.3 Approved Changes Verification

1.7.4 Schedule Reports

1.7.4.1 Activity Report

1.7.4.2 Logic Report

1.7.4.3 Total Float Report

1.7.4.4 Earnings Report by CLIN

1.7.5 Gantt Chart

1.7.5.1 Continuous Flow

1.7.5.2 Project Milestone Dates

1.7.5.3 Critical Path

1.7.5.4 Banding

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AMD #0002

1.7.5.5 S-Curves

1.8 PERIODIC PROGRESS MEETINGS

1.8.1 Update Submission Following Progress Meeting

1.8.2 Status of Activities

1.8.2.1 Start and Finish Dates

1.8.2.2 Remaining Duration

1.8.2.3 Cost Completion

1.8.2.4 Percent Complete

1.8.2.5 Logic Changes

1.8.2.6 Other Changes

1.9 REQUESTS FOR TIME EXTENSIONS

1.9.1 Justification of Delay

1.9.2 Extension Submission Requirements

1.9.3 Additional Submission Requirements

1.10 DIRECTED CHANGES

1.11 OWNERSHIP OF FLOAT

1.12 PAYMENT

PART 2 PRODUCTS - NOT USED

PART 3 EXECUTION - NOT USED

-- End of Section Table of Contents --

SECTION 01 32 01.00 25 Page 2

SECTION 01 32 01.00 25

PROJECT SCHEDULE

PART 1 GENERAL

1.1 SUBMITTALS

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

submittals not having a "G" designation are for information only. When used, a designation following the "G" designation identifies the office that will review the submittal for the Government. Submit the following in accordance with Section 01 33 00, SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Initial Schedule; G ECCC

Schedule Impact Analysis

1.2 QUALITY CONTROL

Designate an authorized representative who must be responsible for the preparation of the schedule and all required updating (activity status) and preparation of reports. The authorized representative must be experienced in scheduling projects similar in nature and complexity to this project and must be experienced in the use of the scheduling software that meets the requirements of this specification.

1.3 GENERAL REQUIREMENTS

a. Prepare for approval a Project Schedule, as described herein, pursuant to Contract Clause 52.236-15, SCHEDULES FOR CONSTRUCTION CONTRACTS. Show in the schedule the sequence in which the Contractor proposes to perform the work and dates on which the Contractor contemplates starting and completing all schedule activities. The scheduling of the entire project is required. Scheduling of work are the responsibility of the Contractor. Contractor management personnel must actively participate in its development. Subcontractors and suppliers working on the project must also contribute in developing and maintaining an accurate Project Schedule. Coordinate with other Contractor's work at or near the site of the work under this Contract in accordance with Contract Clause 52.236-8, OTHER CONTRACTS.

b. The approved Project Schedule must be used to measure the progress of the work, to aid in evaluating time extensions, and to provide the basis of all progress payments.

1.4 BASIS FOR PAYMENT AND COST LOADING

Use the schedule as the basis for determining Contract earnings during each update period and therefore the amount of each progress payment.

Lack of an approved schedule update, or qualified scheduling personnel, will result in the inability of the Contracting Officer (CO) to evaluate Contractor's progress for the purposes of payment. Failure of the Contractor to provide all required information will result in the

SECTION 01 32 01.00 25 Page 3 disapproval of the initial and subsequent schedule updates. In the event schedule revisions have been directed by the CO and those revisions have not been included in subsequent revisions or updates, the CO may hold retainage up to the maximum allowed by Contract, each payment period, until such revisions to the Project Schedule have been made. Activity cost loading must be reasonable, as determined by the CO. The aggregate value of all activities coded to a Contract Line Item Number (CLIN) must equal the value of the CLIN on the Schedule.

1.5 SOFTWARE REQUIREMENTS

The schedule must be compatible with either Primavera P6 Professional v16.2 or MS Project 2016 scheduling software.

1.5.1 Critical Path Method

Use the Critical Path Method (CPM) of network calculation to generate the Project Schedule.

1.5.2 Milestones

Include milestone activities for each significant project event including but not limited to:

a. Notice to Proceed (NTP)

b. Contractually required work windows

c. Contract complete

1.5.3 Level of Detail Required

Include an appropriate level of detail in the Project Schedule. Failure to develop or update the Project Schedule or provide data at the appropriate level of detail, as determined by the CO, will result in its disapproval. The CO will consider, but is not limited to, the following characteristics and requirements to determine the appropriate level of detail:

1.5.3.1 Activity Durations

Submissions must follow the direction of the CO regarding reasonable activity durations. Reasonable durations are those that allow the progress of activities to be accurately determined between payment periods. Procurement activities are defined herein. Less than two percent of all non-procurement activities must have Original Durations (OD) greater than 20 work days or 30 calendar days.

1.5.3.2 Procurement Activities

Include activities associated with the submittal, approval, procurement, fabrication and delivery of long lead materials, equipment, fabricated assemblies, and supplies. Long lead materials and equipment are those materials that have a procurement cycle of over 90 calendar days. A typical procurement sequence includes the string of activities: submit, approve, procure, fabricate, and deliver.

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1.5.3.3 Critical Activities

The following must be included and properly scheduled:

a. Submission and approval of O&M manuals.

b. Submission and approval of Record (As-built) drawings.

c. Submission and approval of all required testing and commissioning (i.e. systems, fire protection, TAB, and HVAC).

d. Testing and commissioning (i.e. systems, fire protection, TAB, and

HVAC).

e. Contractor's punch-out inspection.

f. Correction of punchlist from Contractor's punch-out inspection.

g. Government's pre-final inspection.

h. Correction of punch list from Government's pre-final inspection.

i. Final acceptance inspection.

1.5.3.4 Government Activities

Government and other agency activities that could impact progress must be shown. These activities include, but are not limited to:

a. Submittal reviews

b. Approvals

c. Environmental permit approvals

d. Inspections

e. Lockout/tagout procedures

f. utility tie-in

g. Government-Furnished Equipment (GFE)

h. NTP for phasing requirements

1.5.3.5 Responsibility

Identify all activities in the Project Schedule by the party responsible to perform the work. Responsibility includes, but is not limited to: the subcontractor, the Prime Contractor, or Government agency performing a given task. The responsible party for each activity must be identified by the Responsibility Code. Activities must not have more than one Responsibility Code.

1.5.3.6 Contract Line Item Number (CLIN)

Code all activities to the CLIN on the Contract Line Item Schedule to which the activity belongs. CLIN Item code all activities, even when an activity is not cost loaded. An activity must not contain more than one

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CLIN Item Code.

1.5.3.7 Definable Features of Work

Assign a Definable Feature of Work Code to appropriate activities based on the definable feature of work to which the activity belongs. Definable Feature of Work is defined in Specification Section 01 45 00.00 25, QUALITY CONTROL. An activity must not have more than one Definable Feature of Work Code. Not all activities are required to be Definable Feature of Work Coded.

1.5.3.8 Modification or Claim Number

Assign an Activity code to any activity or sequence of activities added to the schedule as a result of a Contract modification, when approved by the CO. Any activity that is added or changed by Contract modification or used to justify claimed time must be identified by a Mod or Claim Number that changed the activity. Activities must not belong to more than one modification or claim item. Approval to add these activities does not necessarily mean the Government accepts responsibility and, therefore, liability for such activities and any associated impacts to the schedule, but rather the Government recognizes such activities are appropriately added to the schedule for the purposes of maintaining a realistic and meaningful schedule. Such activities must not be Responsibility Coded to the Government unless approved. Existing activities must not normally be changed to reflect modifications.

1.5.4 Scheduled Project Completion and Activity Calendars

The schedule interval must extend from NTP date to the required final physical completion and Contract end dates. The Contract completion activity (End Project) must finish based on the required Contract duration in the accepted Contract proposal, as adjusted for any approved Contract time extensions. The first scheduled work period must be the day after NTP is received by the Contractor. Schedule activities on a calendar to which the activity logically belongs. Activities may be assigned to a seven day calendar when the Contract assigns calendar day durations for the activity such as a Government Acceptance activity. If the Contractor intends to perform physical work less than seven days per week, schedule the associated activities on a calendar with non-work periods identified including weekends and holidays. Assign the Category of Work Code - Weather Sensitive Installation to those activities that are weather sensitive. Original durations must account for anticipated normal adverse weather. The Government will interpret all work periods not identified as non-work periods on each calendar as meaning the Contractor intends to perform work during those periods.

1.5.4.1 Project Start Date

Start the schedule no earlier than the date on which the NTP was acknowledged. Include as the first activity in the Project Schedule an activity called "Start Project." The "Start Project" activity must have an early start "ES" constraint date, equal to the date that the NTP was acknowledged, and a zero-day duration.

1.5.4.2 Constraint of Last Activity

Completion of the last physical activity in the schedule must be constrained by final work completion date. Submission and acceptance of

SECTION 01 32 01.00 25 Page 6 the last transmittal in the schedule must be constrained by the Contract end date. Schedule calculations must result in a negative float when the calculated early finish date of the last activity is later than the Contract end date. Include as the last activity in the Project Schedule an activity called "End Project". The "End Project" activity must have a late finish "LF" constraint date equal to the Contract end date for the project, and a zero day duration or by using the "project must finish by" date in the scheduling software. The schedule must have no constrained dates other than those specified in the Contract. There must only be two open ended activities:

a. Start Project (or NTP) with no predecessor logic

b. End Project with no successor logic.

1.5.4.3 Early Project Completion

In the event the Project Schedule shows completion of the project prior to the final work completion and Contract end date, identify those activities that it intends to accelerate and those activities that are scheduled in parallel to support the Contractor's "early" completion. Specifically address each of the activities noted in the narrative report at every Project Schedule update period to assist the CO in evaluating the Contractor's ability to actually complete prior to the Contract period.

The last activity must have a late finish constraint equal to the Contract end date and the schedule must calculate positive float. The Government will not approve an early completion schedule with zero float on the longest path. The Government is under no obligation to accelerate activities for which it is responsible to support a proposed early Contract completion.

1.5.5 Interim Completion Dates

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

1.5.5.1 Start Phase

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 must have an "ES" constraint date equal to the date on which the NTP was acknowledged, and a zero day duration.

1.5.5.2 End Phase

Include as the last activity in a project phase an activity called "End Phase X" where "X" refers to the phase of work. The "End Phase X" activity must have an "LF" constraint date equal to the date on which the NTP was acknowledged, and a zero day duration.

1.5.5.3 Phase "X" Hammock

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

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1.5.6 Default Progress Data Disallowed

Actual Start (AS) and Actual Finish (AF) dates must not be automatically updated by default mechanisms that may be included in the scheduling software systems. AS and AF dates assigned during the updating process must match those dates provided from Contractor Quality Control Reports.

Failure of the Contractor to document the AS and AF 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 must result in the disapproval of the Contractor's schedule and the inability of the CO to evaluate Contractor progress for payment purposes. Updating of the percent complete and the remaining duration of any activity must be independent functions. Program features which calculate one of these parameters from the other must be disabled.

1.5.7 Out-of-Sequence Progress

Activities that have progressed before all preceding logic has been satisfied (Out-of-Sequence Progress) will be allowed only on a case-by-case basis subject to approval by the CO. 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. Correct out of sequence progress that continues for more than two update cycles by logic revision, as approved by the CO.

1.5.8 Negative Lags and Start to Finish Relationships

Lag durations contained in the Project Schedule must not have a negative value. Do not use Start to Finish (SF) relationships.

1.5.9 Calculation Mode

Schedule calculations must retain the logic between predecessors and successors even when the successor activity starts and the predecessor activity has not finished. Software features that in effect sever the tie between predecessor and successor activities when the successor has started and the predecessor logic is not satisfied ("progress override") will not be allowed.

1.6 SUBMISSIONS

Provide the submissions as described below. The data, reports, and network diagrams required for each submission must be in accordance with Paragraph entitled SUBMISSION REQUIREMENTS.

1.6.1 Initial Schedule

a. Submit the Initial Schedule for approval within 30 calendar days after NTP. Provide a reasonable and realistic sequence of activities which represent all work through the entire Contract performance period. The Initial Schedule must be at a reasonable level of detail as determined by the CO.

b. Periodic Schedule Updates - Based on the result of progress meetings, specified in Paragraph entitled PERIODIC PROGRESS MEETINGS, submit periodic schedule updates. These submissions will enable the CO to assess Contractor's progress. If the Contractor fails or refuses to furnish the information and Project Schedule data, which in

SECTION 01 32 01.00 25 Page 8 the judgment of the CO is necessary for verifying the Contractor's progress, the Contractor must be deemed not to have provided an estimate upon which progress payment may be made.

1.7 SUBMISSION REQUIREMENTS

Submit the following items for the Initial Schedule, and every Periodic Schedule update throughout the life of the project:

1.7.1 Data Submission

Provide the Project Schedule via email or file transfer site as required by the COR. Name files indicating the type of schedule: (Initialor Update), Contract number, and Data Date.

1.7.2 Narrative Report

Provide a Narrative Report with the initial and each update of the Project Schedule, as the basis of the Contractor's progress payment request.

Include: a description of activities along the two 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 required to be taken. The narrative report is expected to communicate 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. Identify and explain why any activities that, based on their calculated late dates, should have either started or finished during the update period, but did not.

1.7.3 Approved Changes Verification

Include only those project schedule changes in the schedule submission that have been previously approved by the CO. Specifically reference, on an activity by activity basis, all changes made since the previous period and relate each change to documented, approved schedule changes.

1.7.4 Schedule Reports

a. The format for each activity for the schedule reports listed below must contain:

(1) Activity Numbers

(2) Activity Description

(3) Original Duration

(4) Remaining Duration

(5) Early Start Date

(6) Early Finish Date

(7) Late Start Date

(8) Late Finish Date

(9) Total Float

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(10) AS Date

(11) AF Date

(12) Percent Complete

b. The following lists typical reports that will be requested, of which one or more may be requested for each schedule submission:

1.7.4.1 Activity Report

A list of all activities sorted according to activity number.

1.7.4.2 Logic Report

A list of detailed Preceding and Succeeding activities for every activity in ascending order by activity number.

1.7.4.3 Total Float Report

A list of all incomplete activities sorted in ascending order of total float. List activities which have the same amount of total float in ascending order of Early Start Dates. Do not show completed activities on this report.

1.7.4.4 Earnings Report by CLIN

a. A compilation of the Contractor's Total Earnings on the project from the NTP to the data date. This report must reflect the Earnings of specific activities based on the agreements made in the field and approved between the Contractor and CO at the most recent Monthly Progress Meeting. Provided that the Contractor has provided a complete schedule update, this report must serve as the basis of determining Contractor progress payments. Group activities by CLIN and sorted by activity numbers. This report must:

(1) Sum all activities coded to a particular CLIN and provide a CLIN item percent earned value.

(2) Complete and sum all CLIN items to provide a total project percent complete.

b. Printed report must contain, for each activity:

(1) Activity Number

(2) Activity Description

(3) Original Budgeted Amount

(4) Total Quantity

(5) Quantity to Date

(6) Percent Complete (based on cost)

(7) Earnings to Date

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1.7.5 Gantt Chart

The Gantt Chart is required for the Initial and Periodic Updates. Depict and display the order and interdependence of activities and the sequence in which the work is to be accomplished. The CO will use, but is not limited to, the following conditions to review compliance with this Paragraph:

1.7.5.1 Continuous Flow

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

1.7.5.2 Project Milestone Dates

Show dates on the diagram for start of project, any Contract required interim completion dates, and final work completion and Contract end dates.

1.7.5.3 Critical Path

Clearly show the two critical paths.

1.7.5.4 Banding

Organize activities as directed to assist in the understanding of the activity sequence. Typically, this flow will group activities by category of work, work area, and responsibility.

1.7.5.5 S-Curves

Show earnings curves for projected early and late earnings and earnings to date.

1.8 PERIODIC PROGRESS MEETINGS

Progress meetings to discuss payment must include a monthly onsite meeting or other regular intervals as determined by CO. During this meeting 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 CO will approve activity progress, proposed revisions, and adjustments as appropriate. The Contractor's Project Manager and Authorized Scheduler must attend the meeting with the CO.

1.8.1 Update Submission Following Progress Meeting

If required by the CO, submit a schedule update, not later than four working days after the monthly progress meeting. Include a complete update of the Project Schedule containing all approved progress, revisions, and adjustments, based on the regular progress meeting, reflecting only those changes made during the previous update meeting.

1.8.2 Status of Activities

Update information, including AS Dates, AF Dates, Remaining Durations (RD), and Percent Complete will be subject to the approval of the CO. As a minimum, address the following items on an activity by activity basis during each progress meeting:

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1.8.2.1 Start and Finish Dates

Accurately show the status of the AS and AF dates for each activity currently in-progress or completed since the last update. Only assign AS dates when actual progress occurs on an activity.

1.8.2.2 Remaining Duration

Update the estimated Remaining Duration for each activity in-progress.

Base time-based progress calculations on Remaining Duration for each activity.

1.8.2.3 Cost Completion

Update 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.

1.8.2.4 Percent Complete

Update the percent complete for each activity started based on the realistic assessment of earned value. Activities which are complete except for remaining minor punch list work and which do not restrain the initiation of successor activities may be declared 100 percent complete.

1.8.2.5 Logic Changes

Specifically identify and discuss 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. The Government will only approve logic revisions for the purpose of keeping the schedule valid in terms of its usefulness in calculating a realistic completion date, correcting erroneous logic ties, and accurately sequencing the work.

1.8.2.6 Other Changes

Other changes required due to delays in completion of any activity or group of activities include:

a. Delays beyond the Contractor's control, such as strikes and unusual weather.

b. Delays encountered due to submittals, Government Activities, deliveries, or work stoppages which make re-planning the work necessary.

c. Changes required to correct a schedule which does not represent the actual or planned prosecution and progress of the work.

1.9 REQUESTS FOR TIME EXTENSIONS

a. In the event the Contractor believes it is entitled to an extension of the Contract performance period, final work completion date, Contract end date, or any interim milestone date, furnish the following for a determination by the CO:

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(1) Justification

(2) Project Schedule data

(3) Supporting evidence as the CO may deem necessary

b. Submission of proof of excusable delay, based on revised activity logic, duration, and costs (updated to the specific date that the delay occurred) is obligatory to any approvals by the Government. In response to each Request For Proposal issued by the Government, submit a schedule impact analysis demonstrating whether or not the change contemplated by the Government impacts the critical path.

1.9.1 Justification of Delay

The Project Schedule must clearly display that the Contractor has used, in full, all the float time available for the work involved with this request. The CO's determination as to the number of allowable days of Contract extension must 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 a calculated schedule delay, will not be a cause for a time extension to the performance period, final work completion date, Contract end date, or any interim milestone date.

1.9.2 Extension Submission Requirements

a. Submit a justification for each request for a change in the final work completion and Contract end dates of less than two weeks based upon the most recent schedule update at the time of the NTP or constructive direction issued for the change. Such a request must be in accordance with the requirements of other appropriate Contract Clauses and must include, as a minimum:

(1) A list of affected activities, with their associated Project Schedule activity number.

(2) A brief explanation of the causes of the change.

(3) An analysis of the overall impact of the changes proposed.

(4) A sub-network of the affected area.

b. Identify activities impacted by a unique activity code contained in the required data file.

1.9.3 Additional Submission Requirements

For any requested time extension of over two weeks, the CO may request an interim update with revised activities for a specific change request.

Provide this within four days of the CO's request.

1.10 DIRECTED CHANGES

If the NTP is issued for changes prior to settlement of price and time, submit proposed schedule revisions within seven calendar days of the NTP being issued. The proposed revisions to the schedule will be approved by the Government prior to inclusion of those changes within the Project

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Schedule. If the Contractor fails to submit the proposed revisions, the CO may furnish the Contractor with suggested revisions to the Project Schedule. 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 CO, advise the CO within one week of receipt of the revisions. Regardless of the objections, continue to update the schedule with the CO's revisions until a mutual agreement in the revisions is reached. If the Contractor fails to submit alternative revisions within one week of receipt of the CO's proposed revisions, the Contractor will be deemed to have concurred with the CO's proposed revisions.

1.11 OWNERSHIP OF FLOAT

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

1.12 PAYMENT

Include an updated schedule with each progress payment request submitted.

The updated schedule will be used as a basis to evaluate the Contractor's progress for purposes of payment. Lack of an updated schedule will result in an inability of the CO to perform a full evaluation of the Contractor's progress. Failure to provide all information, as specified, must result in the disapproval of the entire Project Schedule submission. The CO may withhold payment until the Contractor's schedule has been approved by the Government. In the case where Project Schedule revisions have been directed by the CO and those revisions have not been included in the Project Schedule, the CO may hold retainage up to the maximum allowed by Contract, each payment period, until revisions to the Project Schedule have been made.

PART 2 PRODUCTS - NOT USED

PART 3 EXECUTION - NOT USED

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SECTION 01 32 01.00 25 Page 14

SECTION TABLE OF CONTENTS

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 Approved 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 Printed Material

1.11 SAMPLES REQUIRING LABORATORY ANALYSIS

1.12 SAMPLES REQUIRING VISUAL INSPECTION

1.13 PURCHASE ORDERS

1.14 CERTIFICATES OF COMPLIANCE

1.15 DISAPPROVED SUBMITTALS

1.16 APPROVED SUBMITTALS

1.17 APPROVED SAMPLES

1.18 CONTRACTOR'S FILES

1.19 PAYMENT

1.20 WITHHOLDING OF PAYMENT

1.21 CONTRACTOR APPROVAL STAMP

PART 2 PRODUCTS - NOT USED

PART 3 EXECUTION - NOT USED

SECTION 01 33 00 Page 1

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SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 GENERAL INFORMATION

a. 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.

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

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

d. 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.

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

f. 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.

g. 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

Authorized Shop Drawing Approvers

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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

a. Submittals required prior to start of construction 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.

b. Certificates of insurance.

c. Surety bonds.

d. List of proposed subcontractors.

e. List of proposed products.

f. Construction Progress Schedule.

g. Submittal register.

h. Schedule of prices.

j. Work plan.

k. Contractor Quality Control (CQC) plan.

l. Environmental protection plan.

SD-07 Certificates

a. 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.

b. 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.

c. Confined space entry permits.

d. Text of posted operating instructions.

1.3.2 Approving Authority

Office or designated person authorized to approve submittal.

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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 SUBMITTAL DESIGNATION

Submittals are classified as follows:

a. Government Approved (G). Government approval is required for critical materials, deviations, an "or equal" decision, equipment whose compatibility with the entire system must be checked, and other items as designated by the CO. Within the terms of Section Contract Clause 52.236-21, SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are considered to be "shop drawings".

b. Information Only. Submittals not requiring Government approval will be for information only. Within the terms of the Contract Clause 52.236-21, SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, these submittals are not considered to be "shop drawings".

1.5 SUBMITTAL REGISTER

1.5.1 Maintain Submittal Register

a. Prepare and maintain Submittal Register, ENG Form 4288-R, see Section 01 45 00.15 25, RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM), 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. Do not preassign transmittal numbers when preparing the submittal register. The preliminary and then the approved submittal register will become the scheduling documents and will be updated monthly and used to control submittals throughout the life of the Contract.

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.

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.

c. 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.

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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 Approved 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 construction, 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.

(7) Other (Specify) (Action Code "G"): Submittals requiring other

SECTION 01 33 00 Page 6 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 preconstruction conference and before any submittals are sent to the CO, to further develop the preliminary submittal register (ENG Form 4288-R). During the meeting identify and

SECTION 01 33 00 Page 7 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 60 days of Notice to Proceed. 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

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Specification Section per transmittal.

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 construction 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 or other secure internet accessible service such as ShareFile, ProCore, Submittal Exchange, or a FTP site that utilize 256-bit SSL encryption and hosted as SAS70 Type II compliant data centers. 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.

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1.10.3 Drawings

Each drawing must be not larger than D size (22 inches high by 34 inches wide), include a title block in lower right hand corner, and a 3- by 4-inch clear area adjacent. The title block must contain vendor's name, Contract number, description of item(s), Contract line item number, and a revision 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 submitted, that is not of satisfactory quality, will be returned and must be corrected and re-submitted.

1.10.3.1 Printed Material

All requirements for shop drawings apply to catalog cuts, illustrations, printed specifications, or other data submitted, except 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 SAMPLES REQUIRING VISUAL INSPECTION

Coordinate…