Attachment 3 draft RFP Lower Embankments.pdf

Request for Qualifications (Phase I) Lock and Dam #3 Lower Embankment Improvements

Design‐Build Procurement

July 2009

Attachment 3 – DRAFT RFP (STAGE II) DOCUMENTS For Information Only

U.S. ARMY CORPS OF ENGINEERS

St. Paul District

W912ES‐09‐R‐0026

THIS PAGE INTENTIONALLY LEFT BLANK

Request for Proposals (Phase II)

<<For Reference Only: Draft RFP Document – Subject To Change>>

USACE St. Paul District July 2009

RFP Lock and Dam #3 Lower Embankment Improvements Solicitation No. W912ES‐09‐R‐0026 Table of Contents, Page ii

TABLE OF CONTENTS

Cover

Transmittal Letter

SF 1442

DIVISION 00 ‐ BIDDING REQUIREMENTS, CONTRACT FORMS AND CONTRACT CONDITIONS

Section Title 00 01 00 Solicitation, Offer and Award – SF‐1442 Bid Schedule 00 05 50 Proposers Check list 00 10 50 Instructions to Offerors 00 11 50 Submission Requirements and Evaluation Factors 00 12 50 Evaluation Methodology and Procedures 00 60 00 Representations and Certifications 00 70 00 Contract Clauses 00 80 00 Special Contract Requirements 00 83 00 Attachments

DIVISION 01 ‐ GENERAL REQUIREMENTS

Section Title 01 11 00.00 23 Summary Of Work ‐ Design/Build 01 11 00.01 23 General 01 11 01.00 23 Geotechnical Requirements‐ Design/Build 01 11 02.00 23 Structural requirements –Design/Build 01 11 03.00 23 Hydrologic requirements – Design Build

01.14 00.00 13 Work Restrictions 01 22 00.00 13 Measurement And Payment 01 32 01.00 13 Project Schedule – Design/Build 01 33 00. Submittal Procedures Design/Build 01 35 29 Safety and Occupational Health Requirements 01 41 26.00 13 Pollutant Discharge Elimination System (Wisconsin) 01 42 00. Sources For Reference Publications 01 45 02.00 10 Quality Control System (Qcs) – Design/Build 01 45 04.00 13 Contractor Quality Control – Design/Build 01 50 02.00 13 Temporary Construction Facilities 01 57 20.00 13 Environmental Protection – Design/Build 01 57 23.00 13 Storm Water Pollution Prevention Measures – Design/Build 01 71 23.00 13 Contractor Surveys 01 78 02.00 23 Closeout Submittals Design/Build

RFP Lock and Dam #3 Lower Embankment Improvements Solicitation No. W912ES‐09‐R‐0026 Table of Contents, Page iii

DIVISION 02 ‐ 30

(Not Applicable)

DIVISION 31 – EARTHWORK

Section Title 31 00 00.00 13 Earthwork

DIVISION 32– DIVISION 34

(Not Applicable)

DIVISION 35 – WATERWAY AND MARINE CONSTRUCTION

Section Title 35 31 10.00 13 Stone Protection (Riprap)

DIVISION 36– DIVISION 48

(Not Applicable)

Request for Proposal (Phase II)

Section 00 01 00 – Solicitation Contract Form

Lock and Dam #3 Lower Embankment Improvements Solicitation No. W912ES‐09‐R‐0026 Section 00 01 00, Page 2

Section 00 01 00 – PROPOSAL SCHEDULE

ITEM NO SUPPLIES/SERVICES QUANTITY UNIT UNIT PRICE AMOUNT

0001 1 Lump Sum Design ‐ Lower Embankment Improvements Includes all material, labor, and equipment required to design all lower embankment modifications and related work.

0002 1 Lump Sum Construction ‐ Lower Embankment Improvements Includes all material, labor, and equipment required to perform all lower embankment modifications and related work. Includes, but is not limited to, mobilization, clearing, grubbing, demolition, site grading, excavation, fill, erosion control, mitigation, seeding, waste and unsuitable material removal and clean‐up.

TOTAL SCHEDULE ‐ $ _________________

Request for Qualifications (Phase I)

Section 00 10 50 – Instructions to Offerors – RFP

FOR REFERENCE ONLY: DRAFT RFP DOCUMENT‐ Subject to Change

SECTION 00 10 50

INSTRUCTIONS TO OFFERORS – RFP (PHASE II)

Table of Contents

1.1 INTRODUCTION

1.2 GENERAL DESCRIPTION OF WORK

1.3 CONTRACT COST CEILING LIMITATION (CCL) FOR DESIGN AND CONSTRUCTION COSTS

1.4 GOVERNMENT SECURITY REQUIREMENTS

1.5 COPIES OF SOLICITATION DOCUMENTS AND AMENDMENTS

1.6 OFFEROR'S QUESTIONS AND COMMENTS

1.7 NORTH AMERICAN INDUSTRY CLASSIFICATION SYSTEM (NAICS)

1.8 REQUEST FOR PROPOSAL (RFP) EXPENSES AND PRE‐CONTRACT COSTS

1.9 PRE‐RFP CONFERENCE

1.10 METHOD OF PROCUREMENT

1.11 RFP SUBMITTALS

1.12 RFP FORMAT

1.12.1 General Requirements

1.12.2 Written Submission

1.12.3 Text

1.12.4 Font Size

1.12.5 Format

1.12.6 Binding

1.12.7 Content

1.12.8 Page Limitations

1.13 JOINT VENTURE REQUEST FOR PROPOSAL REQUIREMENTS

1.14 SUBCONTRACTING PLAN/SUBCONTRACTING GOALS REGARDING THE UTILIZATION OF

SMALL BUSINESS CONCERNS

ATTACHMENT 1 Amendment Acknowledgment Sheet

Section 00 10 50, Page 2

1.1 INTRODUCTION

The United States Army Corps of Engineers, St. Paul District (Government) is soliciting a Request for Proposals (RFQ) for the Lock and Dam #3 Navigation Improvements Project (Project) as Phase II of a two‐phase design‐build selection procedure. A two‐phase procurement structure is being used for the Project, consisting of a Phase I Request for Qualifications (RFQ) and a subsequent Phase II Request for Proposals (RFP). The Phase I RFQ was issued in July 2009 to identify a shortlist of qualified and capable design‐build teams. The Government has evaluated the RFQ responses and has shortlisted XX design‐build teams and invited the teams to submit technical/price proposals for the Project. The Phase II Offerors have 45 calendar days for submittal of Phase II proposal requirements. The responses to the RFP will be evaluated by the Government to select the design‐ build contractor for the project.

1.2 GENERAL DESCRIPTION OF WORK

Lock and Dam #3 is a navigation dam and lock on the Mississippi River approximately 6 miles upstream from Red Wing, Minnesota. Its position on a bend in the river makes down bound navigation difficult because of an out draft current that tends to sweep towboats and barges away from the lock toward the gated part of the dam. The out draft current has resulted in many accidents, including 11 incidents since 1968 when tows have collided with the gated part of the dam.

A related problem is with the low and weak embankments on the Wisconsin side of the river.

Navigation accidents can render the four roller gates inoperable, resulting in overtopping and erosion of the Wisconsin embankments. The Wisconsin side embankment system divides the 8‐foot head at the dam into three steps and works together as part of Lock and Dam #3. Failure of the embankment system could result in accidental drawdown of Pool 3 with significant economic and environmental consequences.

An Environmental Impact Statement was completed in November 2006, and a Record of Decision was signed on April 3, 2007 and endorsed by Corps Headquarters. The Record of Decision approved a project to address the navigation safety problem and strengthen the embankments. The Office of Management and Budget made a positive determination of budgetability on May 5, 2008. The recommended plan includes strengthening the Wisconsin embankments and constructing an extended landward guide wall with channel modifications to improve navigation safety. The lower embankment improvements are the subject of this RFP. The upper embankment work will be procured by a separate construction contract, and the guide wall and the associate channel modifications will be procured by a separate design‐build contract.

Section 00 10 50, Page 3

1.3 CONTRACT COST CEILING LIMITATION (CCL) FOR DESIGN AND CONSTRUCTION

COSTS

<<To Be Determined Later>>

1.4 GOVERNMENT SECURITY REQUIREMENTS

Offeror(s) must ensure that ALL mail sent to the St. Paul District, U.S. Army Corps of Engineers, either pre‐contract or post‐contract award, has a return mailing address on the outside of the envelope, package, box, etc. ANY MAIL addressed to the U.S. Army Corps of Engineers, including but not limited to bids, modifications to bids, proposals, revised proposals, bonds, correspondence, etc., will be REJECTED by the US Army Corps of Engineers if it does not contain a return mailing address.

There will be no exceptions.

The mail room facility is located at:

US Army Corps of Engineers Sibley Square at Mears Park 190 5th Street East, Suite 401 St. Paul, MN 55101‐1638

1.5 COPIES OF SOLICITATION DOCUMENTS AND AMENDMENTS

Copies of the solicitation are available by INTERNET ACCESS ONLY. All solicitation documents will be posted to the FedBizzOps website via access through the Army Single Face to Industry/FedBizOpps websites. The website address is:

http://www.fbo.gov/

All amendments will be posted to this website via access through the Army Single Face to Industry/FedBizOpps websites. It shall be the contractor’s responsibility to check the websites for any amendments. The Offeror shall acknowledge any amendments by subsequently returning Attachment 1 (Section 00 10 50) to the Government point of contact (POC) in 1.6; this requirement is necessary for each amendment. The Offeror shall submit in the RFP all requested information specified in this solicitation. There will be no public opening of the proposals received as a result of this solicitation.

1.6 OFFEROR'S QUESTIONS AND COMMENTS

Questions and/or comments relative to these documents should be submitted via e‐mail or mailed to:

William J. Hurley (Contract Specialist) – Primary POC US Army Corps of Engineers, St. Paul District

Lock and Dam #3 Lower Embankment Improvements Solicitation No. W912ES‐09‐R‐0026 Section 00 10 50, Page 4 http://www.fbo.gov/

Sibley Square at Mears Park ATTN: William Hurley 190 5th Street East, Suite 401 St. Paul, MN 55101‐1638 Phone: 651‐290‐5416 E‐mail: William.J.Hurley@usace.army.mil

Note: All questions and/or comments should reach the above referenced Contracting Office no later than twelve (12) calendar days prior to the due date for receipt of all RFP materials (see 1.12), in order that they may be given consideration prior to receipt of offers.

Section 00 10 50, Page 5 mailto:William.J.Hurley@usace.army.mil

1.7 NORTH AMERICAN INDUSTRY CLASSIFICATION SYSTEM (NAICS)

In accordance with Section 23 of the NAICS Manual, the work in this solicitation is assigned classification code 237990. The small business size standard for this procurement is $33.5M in gross annual receipts for the preceding 3 years.

1.8 REQUEST FOR PROPOSAL (RFP) EXPENSES AND PRE‐CONTRACT COSTS

This Request for Proposal (RFP) does not commit the Government to pay any costs incurred in the preparation and submission of materials or for any other costs incurred by any firm submitting materials in response to this solicitation for Phase II. A stipend will not be paid to those short‐listed firms invited to submit proposals in Phase II who are not awarded a contract. Finally, the Government will not pay for or subsidize any costs incurred for attendance at the pre‐proposal conference.

1.9 PRE‐RFP CONFERENCE

A pre‐proposal conference and site visit is scheduled approximately 15 days after the issuance of the Request for Proposal. All interested Offerors are urged to attend. During this conference, the requirements set forth in the solicitation will be reviewed and discussed, with part of the conference to include a question and answer period. All interested Offerors are urged to attend.

1.10 METHOD OF PROCUREMENT

(a) The Government intends to conduct this acquisition in accordance with the provisions set forth in the Request for Proposal (RFP). The Government has selected a shortlist of Offerors to be selected in Phase I (RFQ) that are determined to be most advantageous to the Government. These Offerors will submit materials for Phase II (RFP).

(b) Note specifically that the Offeror will not be participating in a sealed bid procurement process under this acquisition method. Issuance of this Request for Proposal does not constitute an award commitment on the part of the Government.

(c) Proposal submittals must set forth full, accurate, and complete information as required by this RFP, (including attachments). The penalty for making false statements is prescribed in 18 U.S.C.

1001.

(d) For Phase II, the Government reserves the right to discuss aspects of proposals with Offerors in the competitive range, which may be limited for efficiency (FAR Part 15.306I(2)), and to award a contract to other than the Offeror submitting the lowest priced offer. Offerors are advised that the Government may make award without discussions, clarifications or any contact concerning the proposals received (FAR Part 15.306(a)(2)). Therefore, proposals should be submitted initially on the

Section 00 10 50, Page 6 most favorable terms from a price and technical standpoint. Do not assume that Offerors will be contacted or afforded an opportunity to clarify, discuss or revise their proposals.

1.11 RFP SUBMITTALS

Offerors who have their proposal hand‐delivered shall contact William Hurley (ph: 651‐290‐5416) prior to delivering to the address shown below. On the date specified, and thirty minutes prior to the time specified below, a Contracting representative will be in the 2nd floor lobby near the U.S.

Army Corps of Engineers, St. Paul District elevators to accept proposal materials. At the time specified below it will be announced that receipt of proposals is closed. Official time will be established by the clock located in the area where the proposals are received. Offers determined to be late shall be rejected.

As stated on Standard Form SF 1442: Proposals will be received until 2:00PM on (date to be determined) at:

U.S. Army Corps of Engineers, St. Paul District Sibley Square at Mears Park ATTN: William J. Hurley 190 5th Street East, Suite 401 St. Paul, MN 55101‐1638

The packaging that contains the Proposals shall be marked:

“Proposals for Solicitation Number: W912ES‐09‐R‐0026, DO NOT OPEN”

1.12 RFP FORMAT

1.12.1 General Requirements

General requirements regarding proposal submission formats for Phase II of this solicitation are described below. See Section 00 11 50 for detailed RFP submission requirements. The following table summarizes the major RFP items:

Phase II (RFP) Item Description Location

Factor 1 – SF 1442/CLIN/Price Information/Assumptions

TAB A

Separate Envelope

Representations and Certifications (Section 00 60 00) TAB B

Factor 2 – Management Approach Subfactor 2a – Key Personnel

TAB C

Section 00 10 50, Page 7

Subfactor 2b – Quality Control and Safety Plan Subfactor 2c – Communication Approach Factor 3 – Schedule Management Plan TAB D

Factor 4 – Project Solutions Subfactor 4a – Technical Solutions Subfactor 4b – Construction Narrative

TAB E

Factor 5 – Small Business Subcontracting Approach TAB F

1.12.2 Written Submission

Number of Copies: Offerors shall submit an original and six (6) copies of their proposal as described herein. An electronic version of the entire submission shall also be included in PDF format on a CD.

1.12.3 Text

Text shall be at least single spaces, on 8 ½” x 11” paper, with a minimum one‐inch margin all around and contained in one volume. Pages shall be numbered consecutively. Additional pages submitted in excess of the stated maximum will not be evaluated. A page printed on both sides shall be counted as two pages. Submission as double‐spaced printing/copying on recycled paper is encouraged.

Include a detailed table of contents, numbered pages, and tabbed sections for each of the evaluation criteria. For drawing sheets, use 22” x 33.1” for full size drawings; half‐size sheets are also acceptable (11”x17”).

1.12.4 Font Size

Print shall be a minimum of 11‐point font size. Bolding, underlining, and italics may be used to identify topic demarcations or points of emphasis. Graphic representations, including tables, while not subject to the same font size and spacing requirements, shall have spacing and text that is easily readable.

1.12.5 Format

Provide a Tab or other means to clearly identify each individual section of the submission. Provide an individual section for each of the evaluation criteria. Section covers or tabs used only to identify individual sections are not included in page limits.

1.12.6 Binding

The original and each of the copies should be submitted as individual documents using tabbed, 3‐ ring binders. Note that Factor 1 (see above) material shall be submitted separately in a closed manila envelope.

1.12.7 Content

Do not submit any materials not required by this solicitation (such as company brochures and marketing material). The Government will utilize the required data listed below for evaluation and for the determination of a Merit Rating System.

Section 00 10 50, Page 8

1.12.8 Page Limitations

Page limitations include all text, figures, tables, and graphics. Refer to the following table for page limitations:

Volume Title Page Limit

RFP TAB A

Separate Envelope

Factor 1 – Price Information Separate Envelope – As needed.

RFP TAB B Representations and Certifications As needed.

RFP TAB C Factor 2 – Management Approach

RFP TAB C Subfactor 2a – Narrative 5 pages

RFP TAB C Subfactor 2a – Resumes 5 pages

RFP TAB C Subfactor 2a – Organizational Structure & Chart 2 pages, can be 11x17.

RFP TAB C Subfactor 2a – Staffing for Quality and Safety Management Narrative

5 pages

RFP TAB C Subfactor 2b – Quality Narrative 5 pages

RFP TAB C Subfactor 2b – Safety Narrative 5 pages

RFP TAB C Subfactor 2c – Communication Narrative 5 pages

RFP TAB D Factor 3 – Schedule Management

RFP TAB D CPM Schedule No limit of schedule plots.

RFP TAB D CPM Schedule Narrative 5 pages

RFP TAB E Factor 4 – Project Solutions

RFP TAB E Subfactor 4a – Channel Modifications Narrative 5 pages w/ max. 2‐3 11 x 17 sheets of illustrations (if any)

RFP TAB E Subfactor 4a – Drawings No limit.

RFP TAB E Subfactor 4a – Supporting Documentation No limit.

RFP TAB E Subfactor 4a – Technical Discussion 20 pages

RFP TAB E Subfactor 4b – Construction Narrative 20 pages

RFP TAB F Subfactor 5 – Small Business Subcontracting Approach 1 page

Section 00 10 50, Page 9

1.13 JOINT VENTURE REQUEST FOR PROPOSAL REQUIREMENTS

When proposing as a joint venture, all members of the joint venture must sign the SF 1442 and the bond unless a written agreement by the joint venture is furnished with the qualifications designating one firm with the authority to bind the other member(s) of the joint venture. In addition, a copy of the joint venture agreement must be submitted with the proposal. Failure to comply with the foregoing requirements may eliminate the proposal from further consideration.

1.14 SUBCONTRACTING PLAN/SUBCONTRACTING GOALS REGARDING THE UTILIZATION

OF SMALL BUSINESS CONCERNS

NOTICE TO LARGE BUSINESS: The U.S. Army Corps of Engineers, St. Paul District, is committed to participation of Small Business, Small Disadvantaged Business and Women‐Owned Small Business in the performance of work under this solicitation and resultant contract. Your attention is directed to the solicitation clauses 52.219‐8 entitled "Utilization of Small Business Concerns", 52.219‐9 entitled "Small Business Subcontracting Plan," and 252.219‐7003 entitled "Small, Small Disadvantaged and Women‐Owned Small Business Subcontracting Plan (DOD Contracts)".

If you are a large business and the apparent low bidder with a bid exceeding $1,000,000, submission of a Subcontracting Plan in accordance with above clauses will be required. The Contracting Officer will review the plan using the following goals to assure that it represents your best efforts to maximize subcontracting opportunities. Award will not be made until the Contracting Officer approves the Subcontracting Plan.

The following subcontracting goals are informational only and not legally binding but are considered reasonable and achievable during the resultant contract from this solicitation. The goals expressed in percent of total planned subcontracting dollars are:

Small Business 70.0%

Small Disadvantaged Business 6.2%

Women‐Owned Small Business 7.0%

HUBZone Small Business 9.8%

Veteran‐Owned Small Business 3.0%

Service‐Disabled Veteran‐Owned Small Business 0.9%

Subcontract Reporting (SF 294 & SF 295) 100.0%

For purposes of the clause entitled “52.219‐4 ‐‐ Notice of Price Evaluation Preference for HUBZone Small Business Concerns (Jan 1999)”, the term “otherwise successful offer” means the lowest

Section 00 10 50, Page 10 responsive bid from a responsible bidder prior to the application of any evaluation preference required by this clause.

The solicitation clause FAR 52.219‐4 expressed that Small Disadvantaged Business (SDB) firms would receive both the HUBZone and SDB evaluation preference adjustments (See FAR clause 52.219‐23).

Guidance from the Office of the Under Secretary of Defense provides that DOD contracting activities, including the Department of the Army, shall suspend the use of price evaluation adjustments for SDB businesses in DOD Acquisitions, as prescribed in FAR subpart 19.11. Therefore the clause 52.219‐23 is not contained in this solicitation and no SDB evaluation preference adjustment will be utilized.

Section 00100 ‐ Bidding Schedule/Instructions to Bidders

CLAUSES INCORPORATED BY REFERENCE

52.214‐34 Submission Of Offers In The English Language APR 1991

52.214‐35 Submission Of Offers In U.S. Currency APR 1991

52.215‐1

52.215‐20 Alt IV

Instructions to Offerors‐‐Competitive Acquisition

Requirements for Cost or Pricing Data or Information

Other than Cost or Pricing Data (Oct 1997)

JAN 2004

Oct 1997

52.216‐1 Type Of Contract APR 1984

52.222‐5 Davis‐Bacon Act‐‐Secondary Site of the Work JUL 2005

52.222‐23 Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity for Construction

FEB 1999

52.225‐24 Notice of Required Use of American Iron, Steel, and other Manufactured Goods‐‐Buy American Act‐‐ Construction Materials under Trade Agreements

MAR 2009

52.233‐2 Service Of Protest SEP 2006

52.236‐27 Site Visit (Construction) FEB 1995

52.236‐28 Preparation of Proposals‐‐Construction OCT 1997

52.236‐4002

252.204‐7004 Alt A

Work Performed by the Contractor

Central Contractor Registration (52.204‐7) Alternate

A

JAN 2000

SEP 2007

Section 00 10 50, Page 11

Lock and Dam #3 Lower Embankment Improvements Solicitation No. W912ES‐09‐R‐0026 Section 00 10 50, Page 12

ATTACHMENT 1

AMENDMENT ACKNOWLEDGEMENT SHEET

The following information must be completed by the Offeror and submitted upon receipt of communications by the Government indicating that an amendment to the request for proposal (RFP) has been released. This sheet must be submitted after each amendment is released by the Government. This sheet is to be returned to the Contracting Officer for the project at the address listed in subsection 1.6 of Section 00 10 50. A scanned version of this document sent as an e‐mail attachment to the Contracting Officer is acceptable.

Block No. 1. Name and Address of Offeror

Block No. 2. Telephone Number: ______________________________________________

Block No. 3. Title of Project: __________________________________________________

Block No. 4. Amendments (Number and Date of Acknowledgement)

No.: ________________________ Date: _________________________

No.: ________________________ Date: _________________________

No.: ________________________ Date: _________________________

No.: ________________________ Date: _________________________

No.: ________________________ Date: _________________________

No.: ________________________ Date: _________________________

END OF SECTION

DRAFT Section 00 60 00 Representations and Certifications

For Reference Only: Draft RFP Document Lock and Dam #3 Lower Embankment Improvements Solicitation No. W912ES‐09‐R‐0025

Section 00 60 00, Page 1

Section 00 60 00 ‐ Representations & Certifications

52.204‐8 Annual Representations and Certifications FEB 2009

252.209‐7001 Disclosure of Ownership or Control by the Government of a Terrorist Country

JAN 2009

DRAFT Section 00 70 00 Contract Clauses

Section 00 70 00, Page 1

Section 00 70 00 ‐ Contract Clauses

52.202‐1 Definitions JUL 2004

52.203‐3 Gratuities APR 1984

52.203‐5 Covenant Against Contingent Fees APR 1984

52.203‐6 Restrictions On Subcontractor Sales To The Government

SEP 2006

52.203‐7 Anti‐Kickback Procedures JUL 1995

52.203‐8 Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity

JAN 1997

52.203‐10 Price Or Fee Adjustment For Illegal Or Improper Activity JAN 1997

52.203‐12 Limitation On Payments To Influence Certain Federal Transactions

SEP 2007

52.203‐13 Contractor Code of Business Ethics and Conduct DEC 2008

52.203‐14 Display of Hotline Poster(s) DEC 2007

52.203‐15 Whstleblower Protections Under the American Recovery and Reinvestment Act of 2009

MAR 2009

52.204‐4 Printed or Copied Double‐Sided on Recycled Paper AUG 2000

52.204‐11 American Recovery and Reinvestment Act‐‐Reporting Requirements

MAR 2009

52.209‐6 Protecting the Government's Interest When Subcontracting With Contractors Debarred, Suspended, or Proposed for Debarment

SEP 2006

52.211‐10 Alt I Commencement, Prosecution, and Completion of Work (Apr 1984) ‐ Alternate I

APR 1984

52.211‐12 Liquidated Damages‐‐Construction SEP 2000

52.211‐18 Variation in Estimated Quantity APR 1984

Section 00 70 00, Page 2

52.215‐2 Alt I Audit and Records‐‐Negotiation (Mar 2009) Alternate I MAR 2009

52.215‐21 Alt IV Requirements for Cost or Pricing Data or Information Other Than Cost or Pricing Data‐‐Modifications (Oct 1997) ‐ Alternate IV

OCT 1997

52.219‐4 Notice of Price Evaluation Preference for HUBZone Small Business Concerns

JUL 2005

52.219‐8 Utilization of Small Business Concerns MAY 2004

52.219‐9 Small Business Subcontracting Plan (Apr 2008) APR 2008

52.219‐16 Liquidated Damages‐Subcontracting Plan JAN 1999

52.219‐25 Small Disadvantaged Business Participation Program‐‐ Disadvantaged Status and Reporting

APR 2008

52.219‐28 Post‐Award Small Business Program Rerepresentation APR 2009

52.222‐1 Notice To The Government Of Labor Disputes FEB 1997

52.222‐3 Convict Labor JUN 2003

52.222‐4 Contract Work Hours and Safety Standards Act ‐ Overtime Compensation

JUL 2005

52.222‐6 Davis Bacon Act JUL 2005

52.222‐7 Withholding of Funds FEB 1988

52.222‐8 (Dev) Payrolls and Basic Records (Deviation) FEB 1988

52.222‐9 Apprentices and Trainees JUL 2005

52.222‐10 Compliance with Copeland Act Requirements FEB 1988

52.222‐11 Subcontracts (Labor Standards) JUL 2005

52.222‐12 Contract Termination‐Debarment FEB 1988

52.222‐13 Compliance with Davis‐Bacon and Related Act Regulations.

FEB 1988

52.222‐14 Disputes Concerning Labor Standards FEB 1988

52.222‐15 Certification of Eligibility FEB 1988

52.222‐21 Prohibition Of Segregated Facilities FEB 1999

52.222‐26 Equal Opportunity MAR 2007

Section 00 70 00, Page 3

52.222‐27 Affirmative Action Compliance Requirements for Construction

FEB 1999

52.222‐35 Equal Opportunity For Special Disabled Veterans, Veterans of the Vietnam Era, and Other Eligible Veterans

SEP 2006

52.222‐36 Affirmative Action For Workers With Disabilities JUN 1998

52.222‐37 Employment Reports On Special Disabled Veterans, Veterans Of The Vietnam Era, and Other Eligible Veterans

SEP 2006

52.222‐39 Notification of Employee Rights Concerning Payment of Union Dues or Fees

DEC 2004

52.222‐50 Combating Trafficking in Persons FEB 2009

52.222‐54 Employment Eligibility Verification SEP 2009

52.223‐5 Pollution Prevention and Right‐to‐Know Information AUG 2003

52.223‐6 Drug‐Free Workplace MAY 2001

52.223‐14 Toxic Chemical Release Reporting AUG 2003

52.225‐13 Restrictions on Certain Foreign Purchases JUN 2008

52.225‐23 Required Use of American Iron, Steel, and Other Manufactured Goods‐‐Buy American Act‐‐Construction Materials Under Trade Agreements

MAR 2009

52.227‐1 Authorization and Consent DEC 2007

52.227‐2 Notice And Assistance Regarding Patent And Copyright Infringement

DEC 2007

52.227‐4 Patent Indemnity‐Construction Contracts DEC 2007

52.228‐1 Bid Guarantee SEP 1996

52.228‐2 Additional Bond Security OCT 1997

52.228‐5 Insurance ‐ Work On A Government Installation JAN 1997

52.228‐11 Pledges Of Assets FEB 1992

52.228‐12 Prospective Subcontractor Requests for Bonds OCT 1995

52.228‐14 Irrevocable Letter of Credit DEC 1999

52.228‐15 Performance and Payment Bonds‐‐Construction NOV 2006

Section 00 70 00, Page 4

52.229‐3 Federal, State And Local Taxes APR 2003

52.232‐5 Payments under Fixed‐Price Construction Contracts SEP 2002

52.232‐17 Interest OCT 2008

52.232‐23 Assignment Of Claims JAN 1986

52.232‐27 Prompt Payment for Construction Contracts OCT 2008

52.232‐33 Payment by Electronic Funds Transfer‐‐Central Contractor Registration

OCT 2003

52.233‐1 Disputes JUL 2002

52.233‐3 Protest After Award AUG 1996

52.233‐4 Applicable Law for Breach of Contract Claim OCT 2004

52.236‐1 Performance of Work by the Contractor APR 1984

52.236‐2 Differing Site Conditions APR 1984

52.236‐3 Site Investigation and Conditions Affecting the Work APR 1984

52.236‐4 Physical Data APR 1984

52.236‐5 Material and Workmanship APR 1984

52.236‐6 Superintendence by the Contractor APR 1984

52.236‐7 Permits and Responsibilities NOV 1991

52.236‐8 Other Contracts APR 1984

52.236‐9 Protection of Existing Vegetation, Structures, Equipment, Utilities, and Improvements

APR 1984

52.236‐10 Operations and Storage Areas APR 1984

52.236‐11 Use and Possession Prior to Completion APR 1984

52.236‐12 Cleaning Up APR 1984

52.236‐13 Alt I Accident Prevention (Nov 1991) ‐ Alternate I NOV 1991

52.236‐15 Schedules for Construction Contracts APR 1984

52.236‐16 Alt I Quantity Surveys (Apr 1984) ‐ Alternate I APR 1984

52.236‐21 Specifications and Drawings for Construction FEB 1997

52.236‐25 Requirements for Registration of Designers JUN 2003

52.236‐26 Preconstruction Conference FEB 1995

Section 00 70 00, Page 5

52.242‐13 Bankruptcy JUL 1995

52.242‐14 Suspension of Work APR 1984

52.243‐4 Changes JUN 2007

52.244‐6 Subcontracts for Commercial Items MAR 2009

52.246‐12 Inspection of Construction AUG 1996

52.248‐3 Value Engineering‐Construction SEP 2006

52.249‐2 Alt I Termination for Convenience of the Government (Fixed‐Price) (May 2004) ‐ Alternate I

SEP 1996

52.249‐10 Default (Fixed‐Price Construction) APR 1984

52.252‐2 Clauses Incorporated By Reference FEB 1998

52.253‐1 Computer Generated Forms JAN 1991

252.201‐7000 Contracting Officer's Representative DEC 1991

252.203‐7000 Requirements Relating to Compensation of Former DoD Officials

JAN 2009

252.203‐7001 Prohibition On Persons Convicted of Fraud or Other Defense‐Contract‐Related Felonies

DEC 2008

252.203‐7002 Requirement to Inform Employees of Whistleblower Rights

JAN 2009

252.204‐7003 Control Of Government Personnel Work Product APR 1992

252.205‐7000 Provision Of Information To Cooperative Agreement Holders

DEC 1991

252.209‐7001 Disclosure of Ownership or Control by the Government of a Terrorist Country

JAN 2009

252.209‐7004 Subcontracting With Firms That Are Owned or Controlled By The Government of a Terrorist Country

DEC 2006

252.219‐7003 Small Business Subcontracting Plan (DOD Contracts) APR 2007

252.223‐7004 Drug Free Work Force SEP 1988

252.223‐7006 Prohibition On Storage And Disposal Of Toxic And Hazardous Materials

APR 1993

252.225‐7012 Preference For Certain Domestic Commodities DEC 2008

252.225‐7014 Preference For Domestic Specialty Metals JUN 2005

Section 00 70 00, Page 6

252.225‐7030 Restriction On Acquisition Of Carbon, Alloy, And Armor Steel Plate

DEC 2006

252.227‐7022 Government Rights (Unlimited) MAR 1979

252.227‐7033 Rights in Shop Drawings APR 1966

252.232‐7003 Electronic Submission of Payment Requests and Receiving Reports

MAR 2008

252.232‐7010 Levies on Contract Payments DEC 2006

252.236‐7000 Modification Proposals‐Price Breakdown DEC 1991

252.236‐7001 Contract Drawings, and Specifications AUG 2000

252.236‐7002 Obstruction of Navigable Waterways DEC 1991

252.236‐7008 Contract Prices‐Bidding Schedules DEC 1991

252.243‐7001 Pricing Of Contract Modifications DEC 1991

252.243‐7002 Requests for Equitable Adjustment MAR 1998

252.244‐7000 Subcontracts for Commercial Items and Commercial Components (DoD Contracts)

JAN 2009

252.247‐7023 Transportation of Supplies by Sea MAY 2002

252.247‐7024 Notification Of Transportation Of Supplies By Sea MAR 2000

Lock and Dam #3 Navigation Improvements

DRAFT Section 00 80 00 Special Contract Requirements

W912ES‐09‐R‐0025

Section 00 80 00, Page 1

Section 00 80 00 ‐ Special Contract Requirements

CLAUSES INCORPORATED BY FULL TEXT

52.000‐4004 PARTNERING

The Government proposes to form a partnering relationship with the contractor. This partnering relationship will strive to facilitate communication and draw on the strengths of each organization in an effort to achieve a quality project, within budget, and on schedule.

Participation will be totally voluntary. Partnering will not alter or supersede any provision of this contract nor will it provide either party with any additional contractual rights or obligations.

Participation in partnering will not affect award of this contract. Any cost associated with this partnering will be agreed to by both parties and will be shared equally, with no change in contract price.

52.202‐4001 DEFINITIONS (MAY 1995) EFARS Part 2.101

"Chief of Contracting Office" means the Chief of the Contracting Division at a District, or the Director of Contracting at a Division, Center, Laboratory, or other support activity.

"Command" means each USACE Division, each USACE District, The U.S. Army Engineering and Support Center (HNC), Transatlantic Programs Center (TAC), Transatlantic Programs Center (Europe) (TAE), Topographic Engineer Center (TEC), Cold Regions Research and Engineering Laboratory (CRREL), Construction Engineering Research Laboratory (CERL), Humphreys Engineering Center Support Activity (HECSA), and Waterways experiment Station (WES).

"Commander" means the commanding officer of each USACE district and each USACE division, and the director or commander of HNC, TAC, TAE, ETL, CRREL, CERL, HECSA and WES.

"Head of Contracting Activity (HCA)" for USACE means the Chief of Engineers.

Section 00 80 00, Page 2

Centers. For determining contracting authority levels for this regulation, Centers (HNC, and TAC) will equate to a Division. As a subordinate unit to TAC, TAE’s contracting authority will therefore equate to that of a district.

Level higher than the contracting officer. When a District or TAE chief of contracting is the contracting officer, a "level higher than the contracting officer" means the Division or Center Director of Contracting. When an operating Division, Center or Laboratory Director/Chief of Contracting is the contracting officer a "level higher than the contracting officer" means the

PARC.

Local Cooperation Agreements (LCAs). See Project Cooperation Agreements.

Project Cooperation Agreements. Formerly referred to as Local Cooperation Agreements, these are agreements under 31 U.S.C. 6305 and 42 U.S.C. 1962d‐5b. They are not contracts as defined by the FAR.

“USACE and HQUSACE" means the United States Army Corps of Engineers and its headquarters, respectively.

52.211‐5000 EVALUATION OF SUBDIVIDED ITEMS (MAR 1995)‐‐EFARS

Item Nos.__________are subdivided into two or more estimated quantities and are to be separately priced. The Government will evaluate each of these items on the basis of total price of its sub‐items.

(End of provision)

52.211‐5001 VARIATIONS IN ESTIMATED QUANTITIES, SUBDIVIDED ITEMS

(MAR 1995)‐‐EFARS

Section 00 80 00, Page 3

This variation in estimated quantities clause is applicable only to Items Nos.__________.

(a) Variation from the estimated quantity in the actual work performed under any second or subsequent sub‐item or elimination of all work under such a second or subsequent sub‐item will not be the basis for an adjustment in contract unit price.

(b) Where the actual quantity of work performed for Items Nos.____________ is less than 85% of the quantity of the first sub‐item listed under such item, the contractor will be paid at the contract unit price for that sub‐item for the actual quantity of work performed and, in addition, an equitable adjustment shall be made in accordance with the clause FAR 52.211‐18, Variation in Estimated Quantities.

(c) If the actual quantity of work performed under Items Nos. ____________ exceeds 115% or is less than 85% of the total estimated quantity of the sub‐item under that item and/or if the quantity of the work performed under the second sub‐item or any subsequent sub‐item under Items Nos.__________ exceeds 115% or is less than 85% of the estimated quantity of any such sub‐item, and if such variation causes an increase or a decrease in the time required for performance of this contract the contract completion time will be adjusted in accordance with the clause FAR 52.211‐18, Variation in Estimated Quantities.

(End of clause)

52.212‐4003 TIME EXTENSIONS FOR UNUSUALLY SEVERE WEATHER (OCT 1989) ER 415‐1‐15

a. This provision specifies the procedure for the determination of time extensions for unusually severe weather in accordance with the CONTRACT CLAUSES: DEFAULT (FIXED‐PRICE CONSTRUCTION). In order for the Contracting Officer to award a time extension under this clause, the following conditions must be satisfied:

1) The weather experienced at the project site during the contract period must be found to be unusually severe, that is, more severe than the adverse weather anticipated for the project location during any given month.

Section 00 80 00, Page 4

2) The unusually severe weather must actually cause a delay to the completion of the project.

The delay must be beyond the control and without the fault or negligence of the contractor.

b. The following schedule of monthly anticipated adverse weather delays is based on National Oceanic and Atmospheric Administration (NOAA) or similar data for the project location and will constitute the base line for monthly weather time evaluations. The weather stations selected for this analysis were Red Wing Dam 3 (precipitation) which has a period of record of 60 years (1948‐2007), and Zumbrota (temperature) which has a period of record of 76 years (1932‐2007).

Data shown is for precipitation of 0.1 inch or more and maximum daily terperatures less than 32 degrees Fahrenheit. The Actual number have been multiplied by 5/7 to account for the work week.. The contractor's progress schedule must reflect these anticipated adverse weather delays in all weather dependent activities.

MONTHLY ANTICIPATED ADVERSE WEATHER DELAY

WORKDAYS BASED ON (5) DAY WORKWEEK.

GEOGRAPHIC LOCATION ‐‐ Diamond Bluff, Pierce County, Wisconsin

Month JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC

Days 16 12 7 4 5 5 4 5 4 3 5 14

c. Upon acknowledgment of the Notice to Proceed (NTP) and continuing throughout the contract, the contractor will record on the daily CQC report, the occurrence of adverse weather and resultant impact to normally scheduled work. Actual adverse weather delay days must prevent work on critical activities for 50 percent or more of the Contractor's scheduled workday.

The number of actual adverse weather delay days shall include days impacted by actual adverse weather (even if adverse weather occurred in previous month), be calculated chronologically from the first to the last day of each month, and be recorded as full days. If the number of actual adverse weather delay days exceeds the number of days anticipated in paragraph b, above, the Contracting Officer will convert any qualifying delays to calendar days, giving full consideration for equivalent fair weather work days, and issue a modification in accordance with the CONTRACT CLAUSES: DEFAULT (FIXED‐PRICE CONSTRUCTION).

Section 00 80 00, Page 5

52.214‐5000 ARITHMETIC DISCREPANCIES – EFARS

(a) For the purpose of initial evaluation of bids, the following will be utilized in resolving arithmetic discrepancies found on the face of bidding schedule as submitted by the bidder:

(1) Obviously misplaced decimal points will be corrected;

(2) Discrepancy between unit price and extended price, the unit price will govern;

(3) Apparent errors in extension of unit prices will be corrected;

(4) Apparent errors in addition of lump sum and extended prices will be corrected.

(b) For the purpose of bid evaluation, the government will proceed on the assumption that the bidder intends his bid to be evaluated on basis of the unit prices, the totals arrived at by resolution of arithmetic discrepancies as provided above and the bid will be so reflected on the abstract of bids.

(c) These correction procedures shall not be used to resolve any ambiguity concerning which bid is low.

Section 00 80 00, Page 6

(End of statement)

52.222‐4005 DAVIS‐BACON WAGE DETERMINATION ‐ CONFLICTING SCHEDULES

MINNESOTA AND WISCONSIN

Work under this contract will be performed in both Minnesota and Wisconsin. Wage determinations for both Minnesota and Wisconsin are included as attachments in Section 00830 of the specifications. Some work under this contract may require members of the contractor's work force to perform work in both states. The contractor shall segregate the work performed in each state and under each wage determination on its payrolls. In the event that it is impracticable to segregate an employee's work, or in the event of a conflict as to the place of performance of that work, the wage classification (and rate) resulting in the highest rate of pay/fringe benefits to that employee will apply.

52.222‐4005 DAVIS‐BACON WAGE DETERMINATION ‐ CONFLICTING SCHEDULES

MINNESOTA AND WISCONSIN

Work under this contract will be performed in both Minnesota and Wisconsin. Wage determinations for both Minnesota and Wisconsin are included as attachments in Section 00830 of the specifications. Some work under this contract may require members of the contractor's work force to perform work in both states. The contractor shall segregate the work performed in each state and under each wage determination on its payrolls. In the event that it is impracticable to segregate an employee's work, or in the event of a conflict as to the place of performance of that work, the wage classification (and rate) resulting in the highest rate of pay/fringe benefits to that employee will apply.

Section 00 80 00, Page 7

52.228‐4002 INSURANCE

As referenced in Contract Clause: INSURANCE‐‐WORK ON A GOVERNMENT INSTALLATION, the following types and amounts of insurance are required under this contract.

Type Amount

Worker's Compensation and Employer's

Liability Insurance:

Coverage A Compliance with States of Minnesota and Wisconsin

Worker's Compensation Worker's Compensation Law

Coverage B $ 100,000

Employer's Liability

General Liability Insurance:

Bodily Injury $1,000,000 per occurrence

Property Damage Not Required

Automobile Liability Insurance (Comprehensive Policy Form):

Bodily Injury $ 500,000 per person and

$1,000,000 per occurrence

Property Damage $ 100,000 per occurrence

Section 00 80 00, Page 8

52.231‐5000 EQUIPMENT OWNERSHIP AND OPERATING EXPENSE SCHEDULE

MAR 1995)—EFARS

(a) This clause does not apply to terminations. See 52.249‐5000, Basis for Settlement of Proposals and FAR Part 49.

(b) Allowable cost for construction and marine plant and equipment in sound workable condition owned or controlled and furnished by a contractor or subcontractor at any tier shall be based on actual cost data for each piece of equipment or groups of similar serial and series for which the Government can determine both ownership and operating costs from the contractor's accounting records. When both ownership and operating costs cannot be determined for any piece of equipment or groups of similar serial or series equipment from the contractor's accounting records, costs for that equipment shall be based upon the applicable provisions of EP 1110‐1‐8, Construction Equipment Ownership and Operating Expense Schedule, Region IV. Working conditions shall be considered to be average for determining equipment rates using the schedule unless specified otherwise by the contracting officer. For equipment not included in the schedule, rates for comparable pieces of equipment may be used or a rate may be developed using the formula provided in the schedule. For forward pricing, the schedule in effect at the time of negotiations shall apply. For retroactive pricing, the schedule in effect at the time the work was performed shall apply.

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

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

Section 00 80 00, Page 9

52.232‐4004 INVOICE PROCEDURES

In accordance with CONTRACT CLAUSE titled "PROMPT PAYMENT FOR CONSTRUCTION CONTRACTS", the contractor shall submit invoices as follows:

a. In order to qualify for a periodic payment, the Contractor must submit a proper invoice (request for payment) to the Contracting Officer's Representative (COR) and a determination must be made that supplies or services conform to the contract requirements.

This determination will be made for the sole purpose of processing progress payments and will not constitute formal acceptance. The due date for making progress payments shall be as stated in the contract clause: PROMPT PAYMENT FOR CONSTRUCTION CONTRACTS.

b. The submitted request for payment must be accompanied with documentation adequate to substantiate the amount requested. Substantiation shall be consistent will the clauses in the solicitation titled Quantity Surveys, Purchase Orders, Invoices, etc. satisfactory to the COR.

c. The Contractor must also include with the payment request a certification as described in the Clause "PAYMENT UNDER FIXED‐PRICE CONSTRUCTION CONTRACTS".

d. Payment requests will be reviewed for propriety by the COR. Defective invoices will be returned to the Contractor for resolution with defects identified. Along with the returned invoice, the COR may include, at its option, an ENG FORM 93‐PAYMENT ESTIMATE reflecting the substantiated and uncontested payment amount. The Contractor will then be given the option of signing and returning the FORM 93 for payment along with the original invoice and certification or resubmitting a revised invoice and certification. To expedite payment, the Contractor may request in writing that the COR retain the defective invoice and immediately process the payment request at the amount determined to be acceptable to the Government.

Section 00 80 00, Page 10

52.236‐4005 UNAVAILABILITY OF UTILITY SERVICES

The responsibility shall be upon the Contractor to provide and maintain at its expense, adequate utilities for its use for construction and domestic consumption, and to install and maintain necessary connections and lines for same, but only at such locations and in such manner as may be approved by the Contracting Officer. Before final acceptance, temporary connections and lines installed by the Contractor shall be removed in a manner satisfactory to the Contracting Officer.

52.236‐4006 SAFETY AND HEALTH REQUIREMENTS MANUAL INTERIM CHANGES, EM 385‐1‐1

(JAN 2009)

This paragraph applies to contracts and purchase orders that require the contractor to comply with EM 385‐1‐1 (e.g., contracts that include the Accident Prevention clause at FAR 52.236‐13 and/or other safety provisions). EM 385‐1‐1 and its changes are available at http://www.usace.army.mil/CESO/Pages/EM385‐1‐1,2008NEW!.aspx at the HQ homepage, select Safety and Occupational Health). The Contractor shall be responsible for complying with the current edition and all changes posted on the web as of the effective date of this solicitation.

52.236‐4014 PURCHASE ORDERS

Two legible copies of each purchase order issued by the Contractor or the Contractor's subcontractors for materials and equipment to be incorporated into the project, shall be furnished the Contracting Officer as soon as issued. Each purchase order shall (1) be clearly identified with applicable Department of Army contract number, (2) carry and identifying http://www.usace.army.mil/CESO/Pages/EM385-1-1,2008NEW!.aspx

Section 00 80 00, Page 11 number, (3) be in sufficient detail to identify the material being purchased, and (4) indicate a definite delivery date. At the option of the Contractor, the copies of the purchase orders may or may not indicate the price of the articles purchased.

52.236‐4025 FLOATING PLANT EQUIPMENT (MAY 1999)

When mechanized equipment is operated on floating plant, the contractor shall provide positive and acceptable means of preventing this equipment from moving or falling into the water. The type of equipment addressed by this clause includes front‐end loaders, bulldozers, trucks (both on and off‐road), backhoes, trackhoes, and similar equipment. If the Contractor plans to use such equipment on floating plant, an activity hazard analysis must be developed for this feature of work. The plan must include a detailed explanation of the type or types of physical barriers, curbs, structures, etc., which will be incorporated to protect the operator and prevent the equipment from entering the water. Nonstructural warning devices may be considered for situations where the use of structural barriers is determined to be impracticable.

The activity hazard analysis must thoroughly address the procedure and be submitted to the Corps of engineers for review and acceptance prior to start of this feature of work.

52.236‐4061 OBSTRUCTION OF CHANNEL

The Government will not undertake to keep the channel free from vessels or other obstructions, except to the extent of such regulations, if any, as may be prescribed by the Secretary of the Army, in accordance with the Provisions of Section 7 of the River and Harbor Act approved August 8, 1917. The Contractor will be required to conduct the work in such manner as to obstruct navigation as little as possible. The Contractor shall consult with the appropriate Coast Guard office to determine whether a Notice to Mariners will need to be issued for construction‐related activities that might interfere with navigation or be interfered with by such navigation. (Point of Contact: Marine Safety Detachment, St. Paul, Minnesota, 651‐290‐3991) If the Contractor's plant so obstructs the channel as to make difficult or endanger the passage of vessels, said plant shall be promptly moved on the approach of any vessel to such

Section 00 80 00, Page 12 an extent as may be necessary to afford a…