14R0008_MATOC_TSpecs.pdf

RFP No. W912P5-14-R-0008

US Army Corps Of Engineers

Nashville District

MULTIPLE-AWARD TASK ORDER

CONTRACT (MATOC)

Tennessee and Kentucky

MATOC Technical Specifications

May 2014

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Multiple Award Task Order Contract Tennessee and Kentucky

PROJECT TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

01 00 00 GENERAL REQUIREMENTS

01 33 00 SUBMITTAL PROCEDURES

01 35 26 GOVERNMENTAL SAFETY REQUIREMENTS

01 42 00 SOURCES FOR REFERENCE PUBLICATIONS

01 45 01 QUALITY CONTROL

01 45 02 QUALITY CONTROL SYSTEM (QCS)

01 57 20 ENVIRONMENTAL PROTECTION

01 78 00 CLOSEOUT SUBMITTALS

01 78 23 OPERATION AND MAINTENANCE DATA

01 95 00 FORMS AND ATTACHMENTS

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PROJECT TABLE OF CONTENTS Page 1

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SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 00 00

GENERAL REQUIREMENTS

PART 1 GENERAL

1.1 PRECEDENCE

1.2 SCOPE

1.3 REFERENCES

1.4 SUBMITTALS

1.5 PROJECT SIGNS

1.6 ACCIDENT PREVENTION

1.7 PARTNERING

1.8 PROJECT SITE SECURITY REQUIREMENTS

1.8.1 General

1.8.2 Pre-Screening Contractor's On-Site Employees

1.8.3 Long-Term Employees Security Requirements

1.8.4 Short-Term Employees Security Requirements

1.8.5 Pre-Bid Meetings and Site Visits

1.8.6 Foreign Nationals

1.8.7 Convict Labor

1.8.8 Security Requirement Amendments

1.9 EVALUATION OF CONTRACTOR PERFORMANCE

1.10 MEASUREMENT AND PAYMENT

PART 2 PRODUCTS (Not Used)

PART 3 EXECUTION

3.1 PROJECT SCHEDULE

3.2 AVAILABILITY AND USE OF UTILITY SERVICES

3.2.1 Contractor Responsibilities

3.2.2 Alterations to Utilities

3.2.3 Interruptions of Utilities

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SECTION 01 00 00 Page 1

SECTION 01 00 00

GENERAL REQUIREMENTS

PART 1 GENERAL

1.1 PRECEDENCE

WHERE THE REQUIREMENTS OF THIS SECTION DIFFER FROM REQUIREMENTS ESTABLISHED

BY A SPECIFIC TASK ORDER, THE TASK ORDER REQUIREMENTS SHALL GOVERN.

1.2 SCOPE

This section comprises an explanation of the general contract requirements needed to accomplish the work for the items described in the bidding schedule. This section is not intended to be all encompassing in the descriptions. All work specified herein shall be accomplished in accordance with the procedures prescribed the specifications and contract drawings.

1.3 REFERENCES

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

U.S. ARMY CORPS OF ENGINEERS (USACE)

EP 310-1-6a (2006) Sign Standards Manual, VOL 1

EP 310-1-6b (2006) Sign Standards Manual, VOL 2, Appendices

ER 380-1-18 (1996) Technology Transfer, Disclosure of Information and Contacts with Foreign Representatives

ER 415-1-17 (2012) Construction Contractor Performance Evaluations

1.4 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. The following shall be submitted, when required by a task order, in accordance with Section

01 33 00 SUBMITTAL PROCEDURES

SD-01 Preconstruction Submittals

Verified/Eligible On-Site Employees Employee Identification and Control Procedure; G Investigation Package Foreign Nationals

SECTION 01 00 00 Page 2

Project Schedule; G

1.5 PROJECT SIGNS

a. General. The Contractor shall furnish and erect within 30 days after issuance of each Task Order, at the location directed, a PROJECT IDENTIFICATION SIGN and a SAFETY PERFORMANCE SIGN. The signs shall be lettered on one side only and shall conform to EP 310-1-6a, EP 310-1-6b, and to the details and colors indicated in the sketches attached at the end of Section 01 95 00 FORMS AND ATTACHMENTS. The name of the project shall be indicated in each Task Order.

b. Materials. The sign shall be constructed with a face sheet of 3/4 inch exterior grade plywood mounted on a substantial framework of treated 4-inch by 4-inch material. Screws shall be commercial quality and of sizes shown.

c. Painting. The signs and posts shall be given one prime coat and two finish coats of exterior oil paint before lettering. Letters and trim shall be applied to one side only using one coat of enamel of color, style, and size shown.

d. Erection and Maintenance. The signs shall be erected at the designated locations. Signs shall be plumb and backfill of post holes shall be well tamped to properly support the signs out the life of the contract.

The signs shall be maintained in good condition until completion of the contract, shall remain the property of the Contractor, and shall be removed from the site upon final acceptance of the contract work.

1.6 ACCIDENT PREVENTION

Accident prevention requirements for this project are stated in Section

01 35 26 GOVERNMENTAL SAFETY REQUIREMENTS.

1.7 PARTNERING

In order to most effectively accomplish this contract, the Government urges the contractor to join the Government in establishing a cohesive and professional project management team. Through this "partnering" relationship both entities would strive to draw on the strengths of each organization for the ultimate goal of assuring that the project's intended results are achieved, within budget and on schedule. This endeavor seeks an environment that nurtures team building, cooperation and trust between the Government and the Contractor. The partnering relationship would be bilateral in make-up, and participation will be totally voluntary.

At the discretion of each entity, a joint project management team "partnering" conference will be scheduled. The conference will be attended by multiple officers from each organization representing management and the key jobsite staff of each entity. An appointed individual would chair the conference and the Contractor will be responsible to establish its agenda and distribute minutes of the meeting. A professional facilitator acceptable to both parties would lead the participants of the session, through the steps of team building and the formation of a problem solving mechanism within the group. The conference duration would be no more than one day. Location and accommodations for the conference would be agreed upon by both entities. All costs in connection with rented facilities and the facilitator would be shared equally by the Government and the Contractor. Each organization would pay other costs of its respective

SECTION 01 00 00 Page 3 employees attending the conference.

Additional partnering sessions would be held intermittently.

Implementation of the partnering concept and philosophy would be an on-going process.

1.8 PROJECT SITE SECURITY REQUIREMENTS

All Contractor employees (U.S. citizens and Non-U.S. citizens) working under this contract or applicable task orders who require unescorted access in or around hydropower plants, navigation locks, or other facilities deemed necessary by the Nashville District Security Officer, must meet the security requirements listed in the paragraphs listed below.

1.8.1 General

An employee identification and control procedure shall be submitted for approval for identification and control of employees entering or leaving each project site. It is expected that this will include a unique photo identification card for each contractor and subcontractor employees working at the Barkley Lock project site. Depending upon the level of security threat, some Project areas may or may not be open to the Contractor and Contractor employees. The security of the Contractor's property and items furnished under this contract, until items are accepted by the Government, are the Contractor's responsibility whether stored inside or outside the site.

The Contractor, subcontractors and their employees are not authorized to work on-site unless they have been approved by the Nashville District Security Office. The Contractor is responsible for advance scheduling of background investigations and complying with any other security requirements through the Nashville District Security Office, (615) 736-7397, or (615) 736-2185.

1.8.2 Pre-Screening Contractor's On-Site Employees

The Contractor must pre-screen on-site employees, for each task order, using the E-verify Program website (http://www.dhs.gov/E-Verify) to meet the established employment eligibility requirements. The Contractor must ensure that each on-site employee has two valid forms of Government issued identification prior to ensuring the correct information is entered into the E-verify system. An initial list of verified/eligible on-site employees must be provided to the COR no later than 3 business days after issuance of each task order.

1.8.3 Long-Term Employees Security Requirements

All Contractor and subcontractor employees (hereinafter "CSEs"), both U.S.

citizens and *Non-U.S. citizens, working under this contract or applicable task orders who require access in or around Nashville District facilities and surrounding grounds (i.e. hydropower plants, navigation locks, construction projects, etc.), must have or obtain a favorable background investigation in accordance with Homeland Security Presidential Directive 12 (HSPD-12) by obtaining a National Agency Check with Inquiries (NACI) utilizing a Standard Form 85 (SF-85), Questionnaire for Non-Sensitive Positions. The investigation must be completed by a Department of Defense (DOD) approved investigation agency, such as Office of Personnel Management (OPM) or the Defense Security Service (DSS). Contractors shall submit an investigation package for each CSE to the Nashville District Security

SECTION 01 00 00 Page 4

Management Office within three (3) working days after award of any contract or task order, OR prior to the individual being permitted unescorted access in or around all district facilities. Contractors that have a Facility Security Clearance through the Defense Security Service shall process the NACIs and forward results to the Nashville District Security Management Office. For those contractors that do not have a Facility Security Clearance, the Nashville District Security Management Office will process the investigation in coordination with the contractor and the contractor's employees. (Note: if a CSE has reason to believe he/she may already have a completed investigation, they can contact the Security Management Office prior to completing the forms and we can check with the Office of Personnel Management and the Joint Personnel Adjudication System (JPAS) for verification.)

All contractor and all associated sub-contractors employees shall comply with applicable installation, facility and area commander installation/facility access and local security policies and procedures (provided by government representative). The Contractor shall also provide all information required for background checks or background investigation and to meet installation/facility access requirements to be accomplished by installation Provost Marshal Office, Director of Emergency Services or Security Office. Contractor workforce must comply with all personal identity verification requirements as directed by DOD, HQDA and/or local policy. In addition to the changes otherwise authorized by the changes clause of this contract, should the Force Protection Condition (FPCON) at any installation or facility change, the Government may require changes in Contractor security matters or processes.

The investigation package which needs to be submitted to the Nashville District Security Management Office for long-term approval consists of:

a. Nashville District Corps of Engineers Security Access Form

b. SF-85, Questionnaire for Non-sensitive Positions (typed with original date/signatures)

c. OF-306, Declaration for Federal Employment (ONLY Questions 1, 2, 8-13, 16 and 17a) (typed with original date/signatures)

d. I-9, Employment Eligibility Verification (completed by the CSE and the contractor) OR a printout from E-Verify (or immigration status is appropriately verified for those individuals not working for the Federal Government through the USCIS Systematic Alien Verification for Entitlements (SAVE) system.) (A photocopy is acceptable)

e. FD-258, Contractor Fingerprint Card (1 card for digital prints, 2 for ink prints) (Note: Prints must be taken by a trained/qualified individual; ORI block on FD-258 must be USOPM000Z)

The Security Access Form will be provided electronically by the Security Office upon request by the Contractor.

The SF-85 and OF-306 can be printed from the following website:

http://www.opm.gov/forms/

The I-9 can be printed from the following website:

http://www.uscis.gov/files/form/i-9.pdf

The Contractor Fingerprint Cards (FD-258) can be obtained by contacting the Nashville District Security Management Office at (615) 736-5567 or 7397.

Copies of all investigation package forms are attached at the back of Section 01 95 00 FORMS AND ATTACHMENTS.

SECTION 01 00 00 Page 5

Contractors are encouraged to work closely with the Nashville District Security Management Office to ensure the forms are completed properly and to minimize time delays. Incomplete forms, illegible forms, etc., will be returned for correction and will delay the CSE from beginning work. Note:

CSEs will not be permitted to access the site until approved by the Nashville District Security Management Office.

Once the required paperwork has been submitted, the District Security Management Office will conduct an initial screening to include a basic criminal check based on the information provided, and if there are no issues, temporary approval to begin work pending the fingerprint results will be provided in writing to the contractor and district points of contact. The Government will provide a determination (temp approval, disapproval, etc.) no later than ten (10) working days after receipt of all required documentation. Notification will also be provided when the fingerprint results and/or the final investigation results are received.

All approvals, approvals with restrictions, or disapprovals provided by the Government shall be considered final with no appeal rights for the contractor or the individual under review.

1.8.4 Short-Term Employees Security Requirements

All contractor and subcontractor employees working under this contract for an anticipated or actual period of less than or equal to 6 months total during the course of this contract at the project site must submit the following information, as described in the Nashville District Security Access Form, to the Nashville District Security Office prior to the individual being permitted access to the project site:

a. Less than One Week

(1) Submit a Nashville District Security Access Form

(2) Photocopies of two government IDs

b. Up to One Month

(1) Requires all of the the above

(2) OF-306, Declaration for Federal Employment (Photocopies acceptable)

(3) I-9, Employment Eligibility Verification (Photocopies acceptable)

c. More than One Month and up to Six Months

(1) Requires all of the the above

(2) FD-258, Contractor Fingerprint Card, One if Digital and Two if

Done in Ink. (Contact the Security Office if you need fingerprint cards).

If requested, the temporary contractor will be required to submit a completed SF-85 and the investigation package will be forwarded to OPM for processing before approval to begin work will be granted.

Note: Contractors are not authorized to work more than a total of six months without submitting a complete packet for long-term approval.

1.8.5 Pre-Bid Meetings and Site Visits

Any pre-bid meeting which will cover anything other than public domain information should be limited to US citizens. Foreign nationals wishing to attend a pre-bid meeting or site visit, which will include information not provided to the general public, need to provide the information listed in the paragraph above to the Nashville District Security Management Office at

SECTION 01 00 00 Page 6 least two weeks in advance to obtain required approval. Exceptions to the two-week requirement will be considered on a case-by-case basis, but will be limited.

1.8.6 Foreign Nationals

All non-U.S. Citizens, including permanent residents who work on Corps of Engineers' contracts or task orders shall be approved by the Headquarters US Army Corps of Engineers (HQUSACE) Foreign Disclosure Officer or higher before beginning work on the contract/task order (see ER 380-1-18). This includes subcontractor employees. The contractor shall submit to the Nashville District Security Management Office a Nashville District Corps of Engineers Foreign National Security Form on each foreign national proposed for performance under this contract/task order, along with documentation to verify that he/she was legally admitted into the United States and has authority to work in the U.S. In addition to the completed Nashville District Corps of Engineers Foreign National Security Form, one of the following documents must be provided to show the individual's legal work and immigration status:

a. U.S. Passport (unexpired or expired)

b. Certificate of U.S. Citizenship (INS Form N-560 or N-561)

c. Certificate of Naturalization (INS Form N-550 or N-570)

d. Unexpired foreign passport, with I-551 stamp or attached INS Form I-94 indicating unexpired employment authorization

e. An Alien Registration Receipt Card with photograph (INS Form I-151 or

I-551)

f. Unexpired Temporary Resident Card (INS Form I-688)

g. Unexpired Employment Authorization Card (INS Form I-688A)

h. Unexpired Reentry Permit (INS Form I-327)

i. Unexpired Refugee Travel Document (INS Form I-571)

j. Unexpired Employment Authorization Document issued by the INS which contains a photograph (INS Form I-688B)

All foreign nationals shall be escorted at all times by a cleared federal employee unless approved by the Nashville District Security Management Office on a case-by-case basis.

NOTE: In addition to the requirements listed for Foreign Nationals above, all non-U.S. citizens who have lived in the United States for at least three years AND recently appointed U.S. citizens (i.e. U.S. citizens with less than five (5) years of U.S. citizenship) proposed for work under this contract for more than six (6) months must also submit the complete investigation package for Long-Term Approval listed above.

1.8.7 Convict Labor

Because the Powerhouse is a restricted area, there are restrictions on use of persons either imprisoned or previously convicted of a felony.

The Contractor shall not employ in the performance of this contract any person undergoing a sentence of imprisonment imposed by any court of a State, the District of Columbia, Puerto Rico, the Northern Mariana Islands, American Samoa, Guam, or the U.S. Virgin Islands, or the US Federal Government.

The Contractor shall not employ in the performance of this contract any person who has been convicted of a felony imposed by any court of a State, the District of Columbia, Puerto Rico, the Northern Mariana Islands, SECTION 01 00 00 Page 7

American Samoa, Guam, the U.S. Virgin Islands, or the US Federal Government.

1.8.8 Security Requirement Amendments

Security requirements are subject to change in accordance with HSPD-12, OPM, Regulation or Policy changes, etc. Amendments will be added as a modification to the contract and forwarded to the Contractor by the Contracting Office or the Contracting Officer's Representative (COR).

1.9 EVALUATION OF CONTRACTOR PERFORMANCE

The Contractor's performance will be evaluated in accordance with FAR Part 36 and ER 415-1-17 (MAR 1993). Evaluation will be based on quality of work, timely performance, effectiveness of management, and compliance with safety and labor standards. The format for the evaluation will be DD FORM 2626 and the Contractor will be rated either outstanding, above average, satisfactory, marginal, or unsatisfactory. A copy of DD FORM 2626 is attached at the end of Section 01 95 00 FORMS AND ATTACHMENTS.

Following initial completion by the Government, the Contractor will have thirty (30) calendar days to review, comment, and return the evaluation.

If the Contractor desires a meeting to discuss the evaluation, it must be requested in writing to the Contracting Officer no later than seven calendar days following receipt of the evaluation. This meeting will be held during the 30 day review period.

The Contractor's review of the evaluation shall be completed electronically at the CPARS / CCASS website, http://www.cpars.navy.mil. Upon contract award, the Contractor shall provide the Contracting Officer with the name and e-mail address of the Contractor's Reviewing Representative to be registered into the system. Due to security provisions, the Contractor shall be required to purchase and utilize a valid DoD PKI (Public Key Infrastructure) certificate to access the CPARS / CCASS website. This requirement applies to DoD contractors who operate computer equipment that is not the property of the Government. The DoD PKI certificate shall be purchased from an External Certificate Authority (ECA) or an Interim External Certificate Authority (IECA). Because the IECA offers only interim certificates, it is recommended to purchase certificate(s) from ECAs. Contractors accessing CPARS / CCASS will need an Identity Certificate only; an Encryption Certificate is not required. Contractors will need to purchase a separate certificate for each computer used to access the system.

It shall be the Contractor's responsibility to monitor up-to-date information on obtaining PKI certificate(s) including price, application procedures, and renewal processes. A list of ECAs is provided below.

Updates on the list of ECAs along with additional, useful information is available at http://www.cpars.navy.mil/pki_info.htm. Frequently asked questions on the subject of ECA can be found at http://iase.disa.mil/pki/eca/index.html

Approved ECA vendors:

Operational Research Consultants, Inc. (ORC) http://www.eca.orc.com

VeriSign, Inc. http://www.symantec.com/verisign/shared-service-pki

IdenTrust, Inc. http://www.identrust.com/certificates/eca/index.html

SECTION 01 00 00 Page 8

1.10 MEASUREMENT AND PAYMENT

No separate payment will be made for the work covered under this section.

The costs thereof shall be included in the item to which the work most closely pertains.

PART 2 PRODUCTS (Not Used)

PART 3 EXECUTION

3.1 PROJECT SCHEDULE

The Contractor shall provide a project schedule in accordance with Contract Clause 52.236-15 SCHEDULES FOR CONSTRUCTION CONTRACTS.

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

3.2 AVAILABILITY AND USE OF UTILITY SERVICES

3.2.1 Contractor Responsibilities

a. The Contractor shall be responsible for the availability of utilities for use on the project. Unless otherwise provided in the contract, the amount of each utility service consumed shall be charged to and paid for by the Contractor. The Contractor shall carefully conserve any utilities furnished without charge.

b. The Contractor, at its expense and in a workmanlike manner satisfactory to the Contracting Officer, shall install and maintain all necessary temporary connections and distribution lines, and all meters required to measure the amount of each utility used for the purpose of determining charges. Before final acceptance of the work by the Government, the Contractor shall remove all the temporary connections, distribution lines, meters, and associated paraphernalia.

c. The Contractor is responsible for providing restroom and drinking water facilities for all personnel associated with this contract.

3.2.2 Alterations to Utilities

a. Where changes and relocations of utility lines are noted to be performed by others, the Contractor shall give the Contracting Officer at least thirty (30) days written notice in advance of the time that the change or relocation is required. In the event that, after the expiration of thirty (30) days after the receipt of such notice by the Contracting Officer, such utility lines have not been changed or relocated and delay is occasioned to the completion of the work under contract, the Contractor will be entitled to a time extension equal to the period of time lost by the Contractor after the expiration of said thirty (30) day period. Any modification to existing or relocated lines required as a result of the Contractor's method of operation shall be made wholly at the Contractor's expense and no additional time will be allowed for delays incurred by such modifications.

SECTION 01 00 00 Page 9

b. Separate payment will not be made for alterations or relocations of utilities.

3.2.3 Interruptions of Utilities

a. No utility services shall be interrupted by the Contractor to make connections, to relocate, or for any purpose without approval of the Contracting Officer.

b. Request for Permission to shut down services shall be submitted in writing to the Contracting Officer not less than seventeen (17) days prior to date of proposed interruption. The request shall give the following information:

(1) Nature of Utility (Gas, L.P. or H.P., Water, etc.)

(2) Size of line and location of shutoff.

(3) Buildings and services affected.

(4) Hours and date of shutoff.

(5) Estimated length of time services will be interrupted.

c. Services shall not be shutoff until receipt of approval of the proposed hours and date from the Contracting Officer.

d. Shutoffs which will cause interruption of Government work operations as determined by the Contracting Officer shall be accomplished during regular non-work hours or on non-work days of the Using Agency.

e. Operation of valves on water mains will be by Government personnel.

Where shutoff of water lines interrupts service to fire hydrants or fire sprinkler systems, the Contractor shall arrange his operations and have sufficient material and personnel available to complete the work without undue delay or to restore service without delay in event of emergency.

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SECTION 01 00 00 Page 10

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 PRECEDENCE

1.2 SUMMARY

1.3 DEFINITIONS

1.3.1 Submittal Descriptions (SD)

1.3.2 Approving Authority

1.3.3 Work

1.4 SUBMITTALS

1.5 SUBMITTAL CLASSIFICATION

1.5.1 Government Approved

1.5.2 Information Only

1.6 PREPARATION

1.6.1 Transmittal Form

1.7 QUANTITY OF SUBMITTALS

1.7.1 Number of Copies of SD-02 Shop Drawings

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

Manufacturer's Instructions

1.7.3 Number of Samples SD-04 Samples

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

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

Field Reports

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

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

Closeout Submittals

1.8 INFORMATION ONLY SUBMITTALS

1.9 VARIATIONS

1.9.1 Considering Variations

1.9.2 Proposing Variations

1.9.3 Warranting That Variations Are Compatible

1.9.4 Environmental Assessment of Variations

1.9.5 Review Schedule Is Modified

1.10 SUBMITTAL REGISTER

1.10.1 Use of Submittal Register

1.10.2 Contractor Use of Submittal Register

1.10.3 Approving Authority Use of Submittal Register

1.10.4 Copies Delivered to the Government

1.11 SCHEDULING

1.12 GOVERNMENT APPROVING AUTHORITY

1.12.1 Review Notations

1.13 DISAPPROVED SUBMITTALS

1.14 APPROVED SUBMITTALS

1.15 APPROVED SAMPLES

1.16 WITHHOLDING OF PAYMENT

1.17 STAMPS

SECTION 01 33 00 Page 1

PART 2 PRODUCTS

PART 3 EXECUTION

SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 PRECEDENCE

WHERE THE REQUIREMENTS OF THIS SECTION DIFFER FROM REQUIREMENTS ESTABLISHED

BY A SPECIFIC TASK ORDER, THE TASK ORDER REQUIREMENTS SHALL GOVERN.

1.2 SUMMARY

All required submittals shall be provided in both hard copy and electronic format (PDF).

The Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections.

Units of weights and measures used on all submittals are to be the same as those used in the contract drawings.

Each submittal is to be complete and in sufficient detail to allow ready determination of compliance with contract requirements.

Contractor's Quality Control (CQC) System Manager to check and approve all items prior to submittal and stamp, sign, and date indicating action taken. Proposed deviations from the contract requirements are to be clearly identified. Include within submittals items such as:

Contractor's, manufacturer's, or fabricator's drawings; descriptive literature including (but not limited to) catalog cuts, diagrams, operating charts or curves; test reports; test cylinders; samples; O&M manuals (including parts list); certifications; warranties; and other such required submittals.

Submittals requiring Government approval are to be scheduled and made prior to the acquisition of the material or equipment covered thereby. Pick up and dispose of samples not incorporated into the work in accordance with manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.

1.3 DEFINITIONS

1.3.1 Submittal Descriptions (SD)

Submittals requirements are specified in the technical sections.

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

SD-01 Preconstruction Submittals

Submittals which are required prior to or the start of the next major phase of the construction on a multi-phase contract, includes schedules, tabular list of data, or tabular list including location, features, or other pertinent information regarding products, materials, SECTION 01 33 00 Page 3 equipment, or components to be used in the work.

Certificates of insurance

Surety bonds

List of proposed Subcontractors

List of proposed products

Construction progress schedule

Network Analysis Schedule (NAS)

Submittal register

Schedule of prices

Health and safety plan

Work plan

Quality Control(QC) plan

Environmental protection plan

SD-03 Product Data

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

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

SD-06 Test Reports

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

Report which includes findings of a test required to be performed by the Contractor on an actual portion of the work or prototype prepared for the project before shipment to job site.

Report which includes finding of a test made at the job site or on sample taken from the job site, on portion of work during or after installation.

Investigation reports.

Daily logs and checklists.

Final acceptance test and operational test procedure.

SD-07 Certificates

SECTION 01 33 00 Page 4

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

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

Confined space entry permits.

Text of posted operating instructions.

SD-08 Manufacturer's Instructions

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

SD-10 Operation and Maintenance Data

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

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

SD-11 Closeout Submittals

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

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

1.3.2 Approving Authority

Office or designated person authorized to approve submittal.

1.3.3 Work

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

SECTION 01 33 00 Page 5

1.4 SUBMITTALS

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

submittals not having a "G" designation are for information only. When used, a designation following the "G" designation identifies the office that will review the submittal for the Government. Submit the following in accordance with this section.

SD-01 Preconstruction Submittals

Submittal Register; G

1.5 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.5.1 Government Approved

Government approval is required for extensions of design, critical materials, deviations, equipment whose compatibility with the entire system must be checked, and other items as designated by the Contracting Officer.

Within the terms of the Contract Clause entitled, "Specifications and Drawings for Construction," they are considered to be "shop drawings."

1.5.2 Information Only

Submittals not requiring Government approval will be for information only.

They are not considered to be "shop drawings" within the terms of the Contract Clause referred to above.

1.6 PREPARATION

1.6.1 Transmittal Form

Use the sample transmittal form (ENG Form 4025), attached to the end of Section 01 95 00 FORMS AND ATTACHMENTS, for submitting both Government approved and information only submittals in accordance with the instructions on the reverse side of the form. These forms are included in the QCS software that the Contractor is required to use for this contract.

Properly complete this form by filling out all the heading blank spaces and identifying each item submitted. Exercise special care to ensure proper listing of the specification paragraph and sheet number of the contract drawings pertinent to the data submitted for each item.

1.7 QUANTITY OF SUBMITTALS

The Contractor shall submit to the Contracting Officer one electronic copy of all submittals required under this contract and identified under the various specifications sections. The electronic copy shall be provided in Acrobat PDF and shall be in addition to the paper copies required below.

1.7.1 Number of Copies of SD-02 Shop Drawings

Submit five copies of submittals of shop drawings requiring review and approval by the Contracting Officer.

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

Submit in compliance with quantity requirements specified for shop drawings.

1.7.3 Number of Samples SD-04 Samples

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

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

c. Submit one sample installation, where directed.

d. Submit one sample of non-solid materials.

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

Submit in compliance with quantity requirements specified for shop drawings.

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

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

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

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

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

Unless otherwise specified, submit five sets of administrative submittals.

1.8 INFORMATION ONLY SUBMITTALS

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

The Government reserves the right to require the Contractor to resubmit any item found not to comply with the contract. This does not relieve the Contractor from the obligation to furnish material conforming to the plans and specifications; will not prevent the Contracting Officer from requiring removal and replacement of nonconforming material incorporated in the work;

and does not relieve the Contractor of the requirement to furnish samples for testing by the Government laboratory or for check testing by the Government in those instances where the technical specifications so prescribe.

1.9 VARIATIONS

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

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1.9.1 Considering Variations

Discussion with Contracting Officer prior to submission, after consulting with the DOR, will help ensure functional and quality requirements are met and minimize rejections and re-submittals. When contemplating a variation which results in lower cost, consider submission of the variation as a Value Engineering Change Proposal (VECP).

Specifically point out variations from contract requirements in transmittal letters. Failure to point out deviations may result in the Government requiring rejection and removal of such work at no additional cost to the Government.

1.9.2 Proposing Variations

When proposing variation, deliver written request to the Contracting Officer, with documentation of the nature and features of the variation and why the variation is desirable and beneficial to Government, including the DOR's written analysis and approval. If lower cost is a benefit, also include an estimate of the cost savings. In addition to documentation required for variation, include the submittals required for the item.

Clearly mark the proposed variation in all documentation.

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

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

1.9.3 Warranting That Variations Are Compatible

When delivering a variation for approval, Contractor, including its Designer(s) of Record, warrants that this contract has been reviewed to establish that the variation, if incorporated, will be compatible with other elements of work.

1.9.4 Environmental Assessment of Variations

Any variations requested by the Contractor, which may have an environmental impact, shall meet the requirements of Section 01 57 20 ENVIRONMENTAL PROTECTION. The Contracting Officer reserves the right to disapprove alternate methods, even if they are more cost effective, if the Contracting Officer determines that the proposed alternate method will have an adverse environmental impact.

1.9.5 Review Schedule Is Modified

In addition to normal submittal review period of 30 calendar days, a period of ten additional working days will be allowed for consideration by the Government of submittals with variations.

1.10 SUBMITTAL REGISTER

Prepare and maintain submittal register, as the work progresses. Do not change data which is output in columns (c), (d), (e), and (f) as delivered by Government; retain data which is output in columns (a), (g), (h), and

(i) as approved. A submittal register showing items of equipment and materials for which submittals are required by the specifications is

SECTION 01 33 00 Page 8 provided as an attachment. This list may not be all inclusive and additional submittals may be required. Maintain a submittal register for the project in accordance with Section 01 45 02 QUALITY CONTROL SYSTEM (QCS). The Government will provide the initial submittal register in electronic format with the following fields completed, to the extent that will be required by the Government during subsequent usage.

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

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

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

Thereafter, the Contractor is to track all submittals by maintaining a complete list, including completion of all data columns, including dates on which submittals are received and returned by the Government.

1.10.1 Use of Submittal Register

Submit submittal register. Submit with QC plan and project schedule.

Verify that all submittals required for project are listed and add missing submittals. Coordinate and complete the following fields on the register submitted with the QC plan and the project schedule:

Column (a) Activity Number: Activity number from the project schedule.

Column (g) Contractor Submit Date: Scheduled date for approving authority to receive submittals.

Column (h) Contractor Approval Date: Date Contractor needs approval of submittal.

Column (i) Contractor Material: Date that Contractor needs material delivered to Contractor control.

1.10.2 Contractor Use of Submittal Register

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

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

Column (j) Action Code (k): Date of action used to record Contractor's review when forwarding submittals to QC.

Column (l) List date of submittal transmission.

Column (q) List date approval received.

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1.10.3 Approving Authority Use of Submittal Register

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

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

Column (l) List date of submittal receipt.

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

Column (q) List date returned to Contractor.

1.10.4 Copies Delivered to the Government

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

1.11 SCHEDULING

Schedule and submit concurrently submittals covering component items forming a system or items that are interrelated. Include certifications to be submitted with the pertinent drawings at the same time. No delay damages or time extensions will be allowed for time lost in late submittals.

a. Coordinate scheduling, sequencing, preparing and processing of submittals with performance of work so that work will not be delayed by submittal processing. Allow for potential resubmittal of requirements.

b. Submittals called for by the contract documents will be listed on the register. If a submittal is called for but does not pertain to the contract work, the Contractor is to include the submittal in the register and annotate it "N/A" with a brief explanation. Approval by the Contracting Officer does not relieve the Contractor of supplying submittals required by the contract documents but which have been omitted from the register or marked "N/A."

c. Re-submit register and annotate monthly by the Contractor with actual submission and approval dates. When all items on the register have been fully approved, no further re-submittal is required.

d. Carefully control procurement operations to ensure that each individual submittal is made on or before the Contractor scheduled submittal date shown on the approved "Submittal Register."

e. Except as specified otherwise, allow review period, beginning with receipt by approving authority, that includes at least 30 working days for submittals for Contracting Officer approval. Period of review for submittals with Contracting Officer approval begins when Government receives submittal from QC organization.

f. Period of review for each resubmittal is the same as for initial submittal.

1.12 GOVERNMENT APPROVING AUTHORITY

When approving authority is Contracting Officer, the Government will:

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a. Note date on which submittal was received.

b. Review submittals for approval within scheduling period specified and only for conformance with project design concepts and compliance with contract documents.

c. Identify returned submittals with one of the actions defined in paragraph entitled, "Review Notations," of this section and with markings appropriate for action indicated.

Upon completion of review of submittals requiring Government approval, stamp and date approved submittals. Four copies of the approved submittal will be retained by the Contracting Officer and one copy of the submittal will be returned to the Contractor. If the Contractor needs more than one copy, additional copies shall be submitted.

1.12.1 Review Notations

Contracting Officer review will be completed within 30 calendar days after date of submission. Submittals will be returned to the Contractor with the following notations:

A -- Approved as submitted. E --Disapproved (See attached).

B -- Approved, except as noted. F --Receipt acknowledged.

C -- Approved, except as noted, resubmission required.

FX--Receipt acknowledged, does not comply with contract requirements.

D -- Will be returned by separate correspondence.

G --Other

R --Acceptable for release for construction.

a. Submittals marked "Approved as submitted" authorize the Contractor to proceed with the work covered.

b. Submittals marked "Approved, except as noted" authorize the Contractor to proceed with the work covered provided he takes no exception to the corrections.

c. Submittals marked "Approved, except as noted, resubmission required" indicate that part of the submittal is in noncompliance with the contract requirements or design concept, or is incomplete. Resubmit with appropriate changes. No work shall proceed for this item until resubmittal is approved.

d. Submittals marked "disapproved" indicate noncompliance with the contract requirements or design concept, or that submittal is incomplete. Resubmit with appropriate changes. No work shall proceed for this item until resubmittal is approved.

1.13 DISAPPROVED SUBMITTALS

Contractor shall make corrections required by the Contracting Officer. If the Contractor considers any correction or notation on the returned submittals to constitute a change to the contract drawings or specifications; notice as required under the clause entitled, "Changes," is

SECTION 01 33 00 Page 11 to be given to the Contracting Officer. Contractor is responsible for the dimensions and design of connection details and construction of work.

Failure to point out deviations may result in the Government requiring rejection and removal of such work at the Contractor's expense.

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

1.14 APPROVED SUBMITTALS

The Contracting Officer's approval of submittals is not to be construed as a complete check, and indicates only that the general method of construction, materials, detailing and other information are satisfactory.

Approval will not relieve the Contractor of the responsibility for any error which may exist, as the Contractor under the Contractor Quality Control (CQC) requirements of this contract is responsible for dimensions, the design of adequate connections and details, and the satisfactory construction of all work.

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

1.15 APPROVED SAMPLES

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

Match the approved samples for materials and equipment incorporated in the work. If requested, approved samples, including those which may be damaged in testing, will be returned to the Contractor, at his expense, upon completion of the contract. Samples not approved will also be returned to the Contractor at its expense, if so requested.

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

Samples of various materials or…