Cordell Hull Excitation AMD-006 Specifications.pdf

Solicitation # W912P519R0001

US Army Corps Of Engineers Nashville District

Excitation Replacement

Cordell Hull Power Plant Smith County, Tennessee

Technical Specifications- Amendment 006

August 2020

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Excitation Replacement Cordell Hull W912P519R0001_AMD 006 Smith County, TN

PROJECT TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

01 33 00 SUBMITTAL PROCEDURES

01 78 00 CLOSEOUT SUBMITTALS

PROJECT TABLE OF CONTENTS Page 1

01 35 26 GOVERNMENTAL SAFETY REQUIREMENTS

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 SUMMARY

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

1.2.2 Approving Authority

1.2.3 Work

1.3 SUBMITTALS

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Designer of Record Approved (DA)

1.4.2 Government Approved (G)

1.4.3 For Information Only

1.5 PREPARATION

1.5.1 Transmittal Form

1.5.2 Source Drawings for Shop Drawings

1.5.2.1 Terms and Conditions

1.5.3 Electronic File Format

1.6 QUANTITY OF SUBMITTALS

1.6.1 Number of Samples SD-04 Samples

1.7 INFORMATION ONLY SUBMITTALS

1.8 SUBMITTAL REGISTER

1.8.1 Use of Submittal Register

1.8.2 Contractor Use of Submittal Register

1.8.3 Approving Authority Use of Submittal Register

1.8.4 Copies Delivered to the Government

1.9 VARIATIONS

1.9.1 Considering Variations

1.9.2 Proposing Variations

1.9.3 Warranting that Variations are Compatible

1.9.4 Review Schedule Extension

1.10 SCHEDULING

1.11 GOVERNMENT APPROVING AUTHORITY

1.11.1 Review Notations

1.12 DISAPPROVED SUBMITTALS

1.13 APPROVED SUBMITTALS

1.14 APPROVED SAMPLES

1.15 WITHHOLDING OF PAYMENT

1.16 STAMPS

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

SECTION 01 33 00 Page 1

Appendix A - Submittal Register

Appendix B ENG Form 4025-R

-- End of Section Table of Contents --

SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 SUMMARY

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

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

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

Contractor's Quality Control (CQC) System Manager 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 Safety Data Sheets (SDS) and in compliance with existing laws and regulations.

A submittal register showing items of equipment and materials for when submittals are required by the specifications is provided as "Appendix A - Submittal Register".

1.2 DEFINITIONS

1.2.1 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, equipment, or components to be used in the work.

Certificates of insurance

SECTION 01 33 00 Page 3

Surety bonds

List of proposed Subcontractors

List of proposed products

Construction progress schedule

Network Analysis Schedule (NAS)

Submittal register

Schedule of prices or Earned Value Report

Health and safety plan

Work plan

Quality Control(QC) plan

Environmental protection plan

SD-02 Shop Drawings

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

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

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

SD-03 Product Data

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

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

SD-05 Design Data

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

SD-06 Test Reports

Report signed by authorized official of testing laboratory that a Canmaterial, product or system identical to the material, product or system to be provided has been tested in accord with specified requirements. Unless specified in another section, 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

SECTION 01 33 00 Page 4 for the project before shipment to job site.

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

Investigation reports.

Daily logs and checklists.

Final acceptance test and operational test procedure.

SD-07 Certificates

Statements printed on the manufacturer's letterhead and signed by responsible officials of manufacturer of product, system or material attesting that the 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 document purpose is to further promote the orderly progression of a portion of the work by documenting procedures, acceptability of methods, or personnel qualifications.

Confined space entry permits.

Text of posted operating instructions.

SD-08 Manufacturer's Instructions

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

SD-10 Operation and Maintenance Data

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

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.

Submittals required for Guiding Principle Validation (GPV) or Third Party Certification (TPC).

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

SECTION 01 33 00 Page 5 of construction on a multi-phase contract.

1.2.2 Approving Authority

Office or designated person authorized to approve submittal.

1.2.3 Work

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

1.3 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

1.4 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.4.1 Designer of Record Approved (DA)

Designer of Record (DOR) approval is required for extensions of design, critical materials, any deviations from the solicitation, the accepted proposal, or the completed design, equipment whose compatibility with the entire system must be checked, and other items as designated by the Contracting Officer. Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are considered to be "shop drawings." Contractor to provide the Government with the number of copies designated hereinafter of all DOR approved submittals. The Government may review any or all Designer of Record approved submittals for conformance to the Solicitation, Accepted Proposal and the completed design. The Government will review all submittals designated as deviating from the Solicitation or Accepted Proposal, as described below.

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

1.4.2 Government Approved (G)

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 SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are considered to be "shop drawings."

1.4.3 For 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

SECTION 01 33 00 Page 6

Contract Clause referred to above.

1.5 PREPARATION

1.5.1 Transmittal Form

Use the attached sample transmittal form in Appendix B ENG Form 4025-R 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.

1.5.2 Source Drawings for Shop Drawings

The entire set of Source Drawing files (DWG) will not be provided to the Contractor. Only those requested by the Contractor to prepare shop drawings may be provided. Request the specific Drawing Number only for the preparation of Shop Drawings. These drawings may only be provided after award.

1.5.2.1 Terms and Conditions

Data contained on these electronic files must not be used for any purpose other than as a convenience in the preparation of construction data for the referenced project. Any other use or reuse shall be at the sole risk of the Contractor and without liability or legal exposure to the Government. The Contractor must make no claim and waives to the fullest extent permitted by law, any claim or cause of action of any nature against the Government, its agents or sub consultants that may arise out of or in connection with the use of these electronic files. The Contractor must, to the fullest extent permitted by law, indemnify and hold the Government harmless against all damages, liabilities or costs, including reasonable attorney's fees and defense costs, arising out of or resulting from the use of these electronic files.

These electronic Source Drawing files are not construction documents.

Differences may exist between the Source Drawing files and the corresponding construction documents. The Government makes no representation regarding the accuracy or completeness of the electronic Source Drawing files, nor does it make representation to the compatibility of these files with the Contractor hardware or software. In the event that a conflict arises between the signed and sealed construction documents prepared by the Government and the furnished Source Drawing files, the signed and sealed construction documents govern. The Contractor is responsible for determining if any conflict exists. Use of these Source Drawing files does not relieve the Contractor of duty to fully comply with the contract documents, including and without limitation, the need to check, confirm and coordinate the work of all contractors for the project. If the Contractor uses, duplicates or modifies these electronic Source Drawing files for use in producing construction data related to this contract, remove all previous indicia of ownership (seals, logos, signatures, initials and dates).

SECTION 01 33 00 Page 7

1.5.3 Electronic File Format

Provide submittals in electronic format, with the exception of material samples required for SD-04 Samples items. Compile the submittal file as a single, complete document, to include the Transmittal Form described within. Name the electronic submittal file specifically according to its contents, coordinate the file naming convention with the Contracting Officer. Electronic files must be of sufficient quality that all information is legible. Use PDF as the electronic format, unless otherwise specified or directed by the Contracting Officer. Generate PDF files from original documents with bookmarks so that the text included in the PDF file is both searchable and can be copied. If documents are scanned, Optical Character Resolution (OCR) routines are required. Index and bookmark files exceeding 30 pages to allow efficient navigation of the file. When required, the electronic file must include a valid electronic signature, or scan of a signature.

Email electronic submittal documents fewer than 10MB to an email address as directed by the Contracting Officer. Provide electronic documents over 10MB on an optical disc, or through an electronic file sharing system such as the AMRDEC SAFE Web Application located at the following website:

https://safe.amrdec.army.mil/safe/ .

Provide hard copies of submittals when requested by the Contracting Officer. Up to 2 additional hard copies of any submittal may be requested at the discretion of the Contracting Officer, at no additional cost to the Government.

1.6 QUANTITY OF SUBMITTALS

1.6.1 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 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.

SECTION 01 33 00 Page 8

1.8 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 provided as an attachment. This list may not be all inclusive and additional submittals may be required. Maintain a submittal register for the project in accordance with Section 01 45 00.15 10 RESIDENT MANAGEMENT SYSTEM CONTRACTOR MODE (RMS CM)). 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.

1.8.1 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.

1.8.2 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

SECTION 01 33 00 Page 9

Contractor's review when forwarding submittals to QC.

Column (l) List date of submittal transmission.

Column (q) List date approval received.

1.8.3 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.

1.8.4 Copies Delivered to the Government

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

1.9 VARIATIONS

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

1.9.1 Considering Variations

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

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

1.9.2 Proposing Variations

When proposing variation, deliver written request to the Contracting Officer, with documentation of the nature and features of the variation and why the variation is desirable and beneficial to 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.

SECTION 01 33 00 Page 10

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 Review Schedule Extension

In addition to normal submittal review period, a period of 10 working days will be allowed for consideration by the Government of submittals with variations.

1.10 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."

1.11 GOVERNMENT APPROVING AUTHORITY

When approving authority is Contracting Officer, the Government will:

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 REVIEW NOTATIONS and with markings appropriate for action indicated.

Upon completion of review of submittals requiring Government approval, stamp and date submittals. Two copies of the submittal will be retained by the Contracting Officer and one copie of the submittal will be returned

SECTION 01 33 00 Page 11 to the Contractor. If the Government performs a conformance review of other Designer of Record approved submittals, the submittals will be so identified and returned, as described above.

1.11.1 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. Submittals marked "approved" or "accepted" authorize the Contractor to proceed with the work covered.

b. Submittals marked "approved as noted" or "approved, except as noted, resubmittal not required," authorize the Contractor to proceed with the work covered provided he takes no exception to the corrections.

c. Submittals marked "not approved" or "disapproved," or "revise and resubmit," 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.

d. Submittals marked "not reviewed" will indicate submittal has been previously reviewed and approved, is not required, does not have evidence of being reviewed and approved by Contractor, or is not complete. A submittal marked "not reviewed" will be returned with an explanation of the reason it is not reviewed. Resubmit submittals returned for lack of review by Contractor or for being incomplete, with appropriate action, coordination, or change.

1.12 DISAPPROVED SUBMITTALS

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 FAR clause entitled CHANGES, is 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, 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.

1.13 APPROVED SUBMITTALS

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

SECTION 01 33 00 Page 12

After submittals have been approved or accepted 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.

1.14 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 equipment delivered on the site or in place may be taken by the Contracting Officer for testing. Samples failing to meet contract requirements will automatically void previous approvals. Contractor to replace such materials or equipment to meet contract requirements.

Approval of the Contractor's samples by the Contracting Officer does not relieve the Contractor of his responsibilities under the contract.

1.15 WITHHOLDING OF PAYMENT

Payment for materials incorporated in the work will not be made if required approvals have not been obtained.

1.16 STAMPS

Stamps used by the Contractor on the submittal data to certify that the submittal meets contract requirements is to be similar to the following:

SECTION 01 33 00 Page 13

| CONTRACTOR |

| (Firm Name) | | _____ Approved | | _____ Approved with corrections as noted on submittal data and/or | | attached sheets(s) |

| SIGNATURE: __________________________________________________________ |

| TITLE: ______________________________________________________________ |

| DATE: _______________________________________________________________ |

PART 2 PRODUCTS

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PART 3 EXECUTION

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-- End of Section --

SECTION 01 33 00 Page 14

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 35 70

CYBERSECURITY

PART 1 GENERAL

1.1 REFERENCES

1.2 SUBMITTALS

1.3 CYBERSECURITY REQUIREMENTS

1.3.1 Cybersecurity

1.3.2 Secure Configurations of Computer Operating Systems (OS) and

Network Devices

1.3.3 Security Configuration Automation Protocol (SCAP) Tool

1.3.4 Unnecessary Software and Services

1.3.5 Complete Software Listing

1.3.6 Complete Hardware Listing

1.3.7 Ports, Protocols, and Services List

1.3.8 Default Passwords

1.3.9 Principle of Least Privilege

1.3.10 Account Management

1.3.11 Basic Input/Output System (BIOS) Protection

1.3.12 Antivirus/Antimalware Software

1.3.13 Logging and Auditing

1.3.14 Communications

1.3.15 Application Separation

1.3.16 System Network Documentation

1.3.17 Control Device Code Protection

1.3.18 Initial Backups

1.3.19 Contractor Personnel Qualifications

PART 2 PRODUCTS

PART 3 EXECUTION

SECTION 01 35 70 Page 1

SECTION 01 35 70

CYBERSECURITY

PART 1 GENERAL

1.1 REFERENCES

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

U.S. DEPARTMENT OF DEFENSE (DOD)

DOD 8500.01 (2014) Cybersecurity

DOD 8510.01 (2014; Change 1-2016) Risk Management Framework (RMF) for DoD Information Technology (IT)

DOD 8570.01-M (2005; Change 4, 2015) Information Assurance Workforce Improvement Program

DOD Directive 8570.01 (2008) Certification Requirements

1.2 SUBMITTALS

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

submittals not having a "G" designation are for information only. Submit the following in sufficient detail to show full compliance with this specification, applicable codes, and in accordance with Section 01 33 00

SUBMITTAL PROCEDURES:

SD-02 Shop Drawings

Network Diagram; G

SD-03 Product Data

Complete Software Listing; G Complete Hardware Listing; G Ports, Protocols, and Services List; G Comprehensive Password List (Encrypted); G Comprehensive Account List (Encrypted); G Initial Backups; G

SD-05 Design Data

Network Configuration Files; G

SD-06 Test Reports

SCAP Tool Scan Scan shall include the latest STIG and OVAL.

Antivirus/Antimalware Scan

SECTION 01 35 70 Page 2

SD-07 Certificates

Contractor Personnel Qualifications; G

1.3 CYBERSECURITY REQUIREMENTS

1.3.1 Cybersecurity

Cybersecurity consists of ensuring the security posture of the components delivered by the Contractor are at an acceptable level. Cybersecurity will be done in accordance with DoD requirements as well as in accordance with all applicable current cybersecurity regulations, policies, and processes. Reference Attachment DOD 8500.01 and DOD 8510.01 for details.

The Contractor shall assist the Information System Owner (ISO) by providing any applicable artifacts necessary for the ISO to obtain a System Authority to Operate (ATO) via the Risk Management Framework (RMF) process in relation to the Information Technology (IT) hardware (HW) and software (SW) the Contractor is providing per this contract. The Contractor shall provide timely patches for vulnerabilities (vendor specific as well as globally published vulnerabilities), adhere to Information Assurance Vulnerability Alerts (IAVAs), and adhere to Industrial Control Systems Cyber Emergency Response Team (ICS-CERT) alerts and notifications for all IT HW and SW provided by the Contractor within 30 days of notification. I f a pat ch i s known t o have a negat i ve i mpact t o t he syst em, t hen i t does not have t o be i nst al l ed but i t must be documented.

1.3.2 Secure Configurations of Computer Operating Systems (OS) and Network Devices

The OS shall be configured following the principle of least privilege and application separation as described below. The OS and network devices shall be configured per the latest Security Technical Implementation Guides (STIGs) as released by the Defense Information Security Agency (DISA) and install the most current security-relevant software and firmware updates. The Contractor may utilize the USACE-provided Army Gold Master image for Windows based operating systems utilized in the excitation system. Provide Network Configuration Files.

1.3.3 Security Configuration Automation Protocol (SCAP) Tool

Any deviations from the STIGs required for proper system operation shall be documented by the Contractor, including the reason why the STIG requirements cannot be met. The Contractor shall utilize the Security Configuration Automation Protocol(SCAP) tool, or similar scanning tool or manual check, to scan the computers using the latest benchmarks released by DISA for the OS and network devices provided. The SCAP Tool Scan results shall be provided by the contractor to demonstrate the secure configuration of all devices.

1.3.4 Unnecessary Software and Services

The Contractor shall insure that any unnecessary software not required for the operation and maintenance of the excitation system is removed from all computers on the system. Software related to games, entertainment, unnecessary diagnostic packages, etc. shall not be installed on the system computers. The Contractor shall remove or disable thru software all services and ports on the supplied computers which are not required for normal, emergency, or troubleshooting operations. Unnecessary services on

SECTION 01 35 70 Page 3 the automation hardware to be provided, such as web servers, shall be disabled in configuration when not required for normal or emergency operations or troubleshooting.

1.3.5 Complete Software Listing

The Contractor shall provide a comprehensive software listing for each computer on the excitation system. The listing shall include the software name, vendor, and version number at a minimum.

1.3.6 Complete Hardware Listing

The Contractor shall provide to the Government a complete listing of all hardware devices to be utilized on the excitation system. The listing shall include all PLCs and related components, computers, network devices, interface converters, and similar devices. The listing shall include the device firmware version where applicable. The listing shall include the Manufacture, Model Number, Firmware Version Number, and Installation Location at a minimum.

1.3.7 Ports, Protocols, and Services List

The Contractor shall provide a comprehensive listing of the Ports, Protocols, and Services necessary for normal operations, emergency operations, and troubleshooting of the excitation system.

1.3.8 Default Passwords

The Contractor shall change any default passwords on the equipment provided under this contract, including any PLCs, HMI, and network devices. A comprehensive listing of the passwords required to properly operate, maintain, and troubleshoot the system shall be provided to the Government. If a default password that cannot be changed is present on any configurable device provided under this contract, it shall be disclosed to the Government in writing.

1.3.9 Principle of Least Privilege

The Contractor shall configure the system using the principle of least privilege, including operating system permissions, file access, user accounts, and application-to-application communications. The excitation system shall be configured using a role-based scheme so that normal operations occur using an Operator level account with minimum privileges required to operate the system. The Contractor shall document the minimum privileges required for the Operator level account. Administration-level (privileged access) accounts shall be required to perform any configuration changes on the system. Separate administration-level accounts shall be provided for each administrator on the system. Removable media devices and USB ports (with the exception of keyboard and mouse) shall be disabled for Operator level accounts. The availability of the USB ports and removable media devices shall be configurable using the accounts on the system. Unnecessary/unused accounts shall be removed from the excitation system. Any "guest-level" accounts that are created on the System by default shall be disabled.

1.3.10 Account Management

The Contractor shall provide a Comprehensive Password List (Encrypted) and Comprehensive Account List (Encrypted) for each configurable device on the

SECTION 01 35 70 Page 4 excitation system. This includes any application accounts, OS accounts, network device accounts, or communications accounts. The listing shall provide the unique username and password for each account on each device on the system. The username and account information is sensitive and shall be protected by the Contractor. The listing shall be provided in encrypted form to the COR. Passphrases required to decrypt the data shall be provided to the COR in a separate communication.

1.3.11 Basic Input/Output System (BIOS) Protection

A protection mechanism shall be provided to prevent unwanted changes to the system BIOS for all devices on the system where feasible. A password meeting DISA STIG requirement shall be utilized. The passwords used for BIOS protection shall be provided to the Government to allow access by system engineering/administrative personnel after initial commissioning of the system.

1.3.12 Antivirus/Antimalware Software

The computers on the SCADA system shall include DoD approved antivirus software with up to date signatures. McAfee VirusScan Enterprise V8.8 is the current DoD approved software. The Contractor shall verify that the Antivirus/antimalware software will not negatively affect the operation of the excitation system. A complete Antivirus/Antimalware Scan of the computers to be provided for usage on the excitation system shall be run with up-to-date signatures within 10-days of deployment of the computers on the excitation system. Evidence of a clean scan shall be provided to the government prior to installing a computer onto the excitation system.

1.3.13 Logging and Auditing

The excitation system shall log critical events and operator actions related to the operation of the excitation system. The Log of operator actions shall not be accessible via any accounts on the system without privileged level access. The operations log shall include a time stamp, the control action taken, and the account via which the action was initiated. OS logging shall be configured per the STIG requirement without exception, including the specified minimum log sizes defined in the STIGs.

1.3.14 Communications

Communications using either the public switched telephone network, leased lines, or any wireless between the different locations and between different facilities on the same location shall be protected via FIPS 140-2 compliant encryption methods. Virtual Private Network IPSec tunnels shall be established between the different facilities using approved network devices to include all wireless devices. Certificates are the preferred method, passphrases and/or pre-shared keys utilized for encryption shall meet DoD minimum standards. Firewalls shall be provided to control communications between sites. The proposed network and wireless devices shall be Cisco components, or Government equivalent found on DISA’s approved product list (APL). Publicly accessible DISA APL link:

https://aplits.disa.mil/processAPList

1.3.15 Application Separation

The concept of application separation consists of the operating system on the primary partition of the hard drive. An application database shall be

SECTION 01 35 70 Page 5 installed on a different partition. A web server shall be installed on a different partition. Web servers and database servers should not be installed on the same computer. In the case of virtual machines, the virtual machines would be separate computers and the communications path would be required to communicate to physical switch ports for each computer.

1.3.16 System Network Documentation

The Contractor shall provide a complete System Architecture Diagram to include all excitation system and maintenance components. The diagram must include labels of device type (e.g., workstation, server, PLC, etc.), manufacturer/model, operating system and version number. The contractor shall provide a complete Network Diagram that shows all of the devices on the excitation network that communicate via TCP/IP protocol. Any Vlan segregation of the devices shall be indicated on the diagram. The Contractor shall provide a data flow diagram that indicates the normal system communications among the devices on the network, include the ports and protocols utilized for communications. The diagram shall be provided on 11" X 17" sheets and provided electronically in Microsoft Visio, Microstation and Portable Document Format (PDF). All system date transferred to the Government shall be encrypted with a secondary password.

1.3.17 Control Device Code Protection

The Contractor shall configure and utilize the cyber security features available on the devices to be added to the excitation network. For instance, password protection of logical programming in PLCs, Relays, and other automation equipment shall be utilized to provide a layer of protection for the device if it were accessed by unauthorized persons. Any passwords set to protect code or configuration setting shall be provided to the Government as defined in the Account Management paragraph above.

All programming/code developed under this contract shall be accessible and changeable by the Government upon completion of work under this contract.

Any codes, hardware or software keys, license numbers, etc., required to enable the Government to access or change the programming on any device supplied under this contract shall be provided to the Government at no additional cost.

1.3.18 Initial Backups

The Contractor shall provide complete initial configuration backups of each component. The backups must be generated using Macrium Reflect, stored, and provided on an encrypted external hard drive. The backups must be tested and verified as functional for restoring the system

1.3.19 Contractor Personnel Qualifications

Contractor personnel assigned to Cybersecurity functions under this contract shall possess the proper DOD Directive 8570.01 , Information Assurance Training, Certification, and Workforce Management and DOD 8570.01-M , Information Assurance Workforce Improvement Program certifications at the IAT II level. In accordance with AR 25-2, background investigations are required at the personnel security standard of IT II.

PART 2 PRODUCTS

NOT USED.

SECTION 01 35 70 Page 6

PART 3 EXECUTION

NOT USED.

SECTION 01 35 70 Page 7

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 78 00

CLOSEOUT SUBMITTALS

PART 1 GENERAL

1.1 REFERENCES

1.2 DEFINITIONS

1.2.1 As-Built Drawings

1.2.2 Record Drawings

1.3 SOURCE DRAWING FILES

1.3.1 Terms and Conditions

1.4 SUBMITTALS

1.5 SPARE PARTS DATA

1.6 QUALITY CONTROL

1.7 WARRANTY MANAGEMENT

1.7.1 Warranty Management Plan

1.7.2 Performance Bond

1.7.3 Pre-Warranty Conference

1.7.4 Contractor's Response to Construction Warranty Service

Requirements

1.7.5 Warranty Tags

PART 2 PRODUCTS

2.1 GOVERNMENT FURNISHED MATERIALS

2.2 SYSTEM DESCRIPTION

2.2.1 Additional Drawings

2.2.1.1 Sheet Numbers and File Names

PART 3 EXECUTION

3.1 AS-BUILT DRAWINGS

3.1.1 Markup Guidelines

3.1.2 As-Built Drawings Content

3.2 RECORD DRAWING FILES

3.2.1 Rename the CAD Drawing files

3.3 RECORD DRAWINGS

3.3.1 Final Record Drawing Package

3.4 FINAL APPROVED SHOP DRAWINGS

3.5 CONSTRUCTION CONTRACT SPECIFICATIONS

3.6 AS-BUILT RECORD OF EQUIPMENT AND MATERIALS

3.7 OPERATION AND MAINTENANCE MANUALS

3.8 CLEANUP

SECTION 01 78 00 Page 1

SECTION 01 78 00

CLOSEOUT SUBMITTALS

PART 1 GENERAL

1.1 REFERENCES

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

U.S. ARMY CORPS OF ENGINEERS (USACE)

ERDC/ITL TR-12-1 (2015) A/E/C Graphics Standard, Release 2.0

ERDC/ITL TR-12-6 (2015) A/E/C CAD Standard - Release 6.0

1.2 DEFINITIONS

1.2.1 As-Built Drawings

As-built drawings are developed and maintained by the Contractor and depict actual conditions, including deviations from the Contract Documents. These deviations and additions may result from coordination required by, but not limited to: contract modifications; official responses to Contractor submitted Requests for Information; direction from the Contracting Officer; designs which are the responsibility of the Contractor, and differing site conditions. Maintain the as-builts throughout construction as red-lined hard copies on site and red-lined PDF files . These files serve as the basis for the creation of the record drawings.

1.2.2 Record Drawings

The record drawings are the final compilation of actual conditions reflected in the as-built drawings.

1.3 SOURCE DRAWING FILES

Request the full set of electronic drawings, in the source format, for Record Drawing preparation, after award and at least 30 days prior to required use.

1.3.1 Terms and Conditions

Data contained on these electronic files must not be used for any purpose other than as a convenience in the preparation of construction drawings and data for the referenced project. Any other use or reuse shall be at the sole risk of the Contractor and without liability or legal exposure to the Government. The Contractor must make no claim and waives to the fullest extent permitted by law, any claim or cause of action of any nature against the Government, its agents or sub consultants that may arise out of or in connection with the use of these electronic files. The Contractor must, to the fullest extent permitted by law, indemnify and

SECTION 01 78 00 Page 2 hold the Government harmless against all damages, liabilities or costs, including reasonable attorney's fees and defense costs, arising out of or resulting from the use of these electronic files.

These electronic CAD drawing files are not construction documents.

Differences may exist between the CAD files and the corresponding construction documents. The Government makes no representation regarding the accuracy or completeness of the electronic CAD files, nor does it make representation to the compatibility of these files with the Contractor hardware or software. In the event that a conflict arises between the signed and sealed construction documents prepared by the Government and the furnished Source drawing files, the signed and sealed construction documents govern. The Contractor is responsible for determining if any conflict exists. Use of these Source Drawing files does not relieve the Contractor of duty to fully comply with the contract documents, including and without limitation, the need to check, confirm and coordinate the work of all contractors for the project. If the Contractor uses, duplicates or modifies these electronic source drawing files for use in producing construction drawings and data related to this contract, remove all previous indicia of ownership (seals, logos, signatures, initials and dates).

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 Section 01 33 00 SUBMITTAL PROCEDURES:

SD-03 Product Data

Warranty Management Plan

Warranty Tags

Spare Parts Data

SD-08 Manufacturer's Instructions

Posted Instructions

SD-10 Operation and Maintenance Data

Operation and Maintenance Manuals; G

SD-11 Closeout Submittals

As-Built Drawings; G

Record Drawings; G

As-Built Record of Equipment and Materials

Final Approved Shop Drawings

Construction Contract Specifications

SECTION 01 78 00 Page 3

1.5 SPARE PARTS DATA

Submit two copies of the Spare Parts Data list.

a. Indicate manufacturer's name, part number, nomenclature, and stock level required for maintenance and repair. List those items that may be standard to the normal maintenance of the system.

1.6 QUALITY CONTROL

Additions and corrections to the contract drawings must be equal in quality and detail to that of the originals. Line colors, line weights, lettering, layering conventions, and symbols must be the same as the original line colors, line weights, lettering, layering conventions, and symbols.

1.7 WARRANTY MANAGEMENT

1.7.1 Warranty Management Plan

Develop a warranty management plan which contains information relevant to the clause Warranty of Construction in contract. At least 30 days before the planned pre-warranty conference, submit four sets of the warranty management plan. Include within the warranty management plan all required actions and documents to assure that the Government receives all warranties to which it is entitled. The plan must be in narrative form and contain sufficient detail to render it suitable for use by future maintenance and repair personnel, whether tradesmen, or of engineering background, not necessarily familiar with this contract. The term "status" as indicated below must include due date and whether item has been submitted or was accomplished. Warranty information made available during the construction phase must be submitted to the Contracting Officer for approval prior to each monthly pay estimate. Assemble approved information in a binder and turn over to the Government upon acceptance of the work. The construction warranty period will begin on the date of project acceptance and continue for the full product warranty period.