Updated W912P5-20-Q-0047_Specs - RTA.pdf

US Army Corps Of Engineers

Nashville District

Solicitation No. W912P520Q0047

Miter Gate Fender Replacement

Kentucky Lock Tennessee River Livingston County, Kentucky

Technical Specifications

Ready to Advertise-RTA

August 2020, Updated September 2020

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Replacement W912P520Q0047

Kentucky Lock Livingston County, KY

PROJECT TABLE OF

CONTENTS DIVISION 01 - GENERAL REQUIREMENTS

01 00 00 GENERAL REQUIREMENTS

01 22 00 PRICE AND PAYMENT PROCEDURES

01 33 00 SUBMITTAL PROCEDURES

01 35 50 PROJECT SITE SECURITY AND AT/OPSEC PROCEDURE

S 01 42 00

DIVISION

SOURCES FOR REFERENCE PUBLICATIONS

METALS

05 50 14 STRUCTURAL METAL FABRICATIONS

05 50 15 CIVIL WORKS FABRICATIONS

DIVISION 09 - FINISHES

09 97 02 PAINTING: HYDRAULIC STRUCTURES

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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 SCOPE

1.2 SUBMITTALS

1.3 Fabrication Schedule

1.4 INSPECTIONS AND ACCEPTANCE OF WORK

1.4.1 General

1.4.2 Access to Work

1.5 FABRICATION SHOP STORAGE

1.6 DELIVERY OF FABRICATIONS

1.7 NON-DISCLOSURE OF GOVERNMENT INFORMATION

1.8 MEDIA FREE OF VIRUSES, ETC

PART 2 PRODUCTS

PART 3 EXECUTION

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SECTION 01 00 00

GENERAL

REQUIREMENTS

1.1 SCOPE

This work involves structural fabrication of assembled fenders comprised of steel, rubber, and UHMW PE.

Fenders are bumpers. They are sacrificial elements used on the downstream faces of miter gates to help lessen damage from incidental impact while barges pass thru the lock.

The contract requires fabrication of two types of fenders; 10 of the first type, weighing approximately 3,000 pounds each, and 28 of the second type, weighing approximately 3,700 pounds each.

Both types of fenders are approximately 58' long each. After fabrication, the steel is required to be blasted to white metal (SSPC SP 5) and painted with the 5-E-Z vinyl paint system. More information for these requirements can be found in section 09 97 02 PAINTING: HYDRAULIC STRUCTURES. The fabricator will deliver the assembled fenders to the Kentucky Lock Maintenance Facility located in Grand Rivers, KY. No installation work is required, or allowed, in this contract.

Refer to the remaining sections of this specification for a full list of requirements.

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 in accordance with Section 01 33 00 SUBMITTAL PROCEDURES:

SD-01 Preconstruction Submittals

Delivery/Shipping Plan; G COR

A plan describing in detail the proposed delivery methods of the fabrications shall be submitted for approval. The plan shall be submitted at least 60 calendar days prior to the proposed delivery of any item. The assembled fenders shall be delivered to the following address:

USACE: Kentucky Lock 265 Kentucky Lock Road

Grand Rivers, KY 42045 Lockmaster: John Caleb Skinner Phone: (270) 362-4226

1.3 Fabrication Schedule

A fabrication and delivery schedule shall be submitted within 30 calendar days of issuance Notice to Proceed (NTP) and monthly thereafter. Schedule shall reflect major milestones for the contract, i.e. material procurement, fabrication of assembled fenders, placing concrete, painting, delivery, etc. Completed work shall be clearly identified on the schedule updates.

Fabricated components shall be delivered no later than March 01, 2021.

1.4 INSPECTIONS AND ACCEPTANCE OF WORK

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1.4.1 General

Not withstanding other provisions of this contract, all materials and work to be performed under this contract shall be inspected and accepted by the Contracting Officer or his authorized representative(s). The Contracting Officer or his authorized representative shall be the individual(s) solely authorized to reject materials, disapprove or approve any work in progress, or order or direct any revision or change to the plans and specifications as presently shown and stated.

1.4.2 Access to Work

The Contractor shall provide safe access to the fabrication facility and any other areas where work on this contract is performed to permit inspection by the Government.

1.5 FABRICATION SHOP STORAGE

Mill steel, fabricated items, and appurtenances shall be stored in a manner to prevent permanent deflection, distortion, or other damage.

1.6 DELIVERY OF FABRICATIONS

Fabricated components shall be delivered to the Kentucky Lock, 265 Kentucky Lock Road Grand Rivers, KY 42045.

The Government will inspect, accept (or reject),all deliveries. Contractor personnel and equipment will be used in all unloading and storing operations. All fabrications shall be delivered by truck.

The contractor is required to submit a Delivery/Shipping Plan for approval by the Contracting Officer. The plan shall describe in detail the proposed methods of delivery of fabricated items. The plan shall address equipment, machinery and site limitations identified in the specifications and discussed at a pre-delivery meeting between the Contractor and the Contracting Officer. Additional Delivery/Shipping Plan requirements are described in Section 05 50 14 STRUCTURAL METAL FABRICATIONS. The plan shall be submitted at least 60 calendar days prior to proposed delivery of any item. The plan shall include, but not be limited to the following:

a. Type and size of truck and/or trailer to be used for delivery.

b. Location and description of intermediate assembly or handling areas (if any) between the fabrication location and the delivery location.

c. Cranes and other lifting and positioning equipment to be used for off-loading and staging.

d. Packaging of components.

e. Blocking.

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1.7 NON-DISCLOSURE OF GOVERNMENT INFORMATION

Neither the Contractor, nor Contractor personnel, shall divulge or release data or information developed or obtained under performance of this work statement, except to authorized Government personnel or upon written approval of the Contracting Officer. The Contractor shall not use, disclose, or reproduce proprietary data which bears a restrictive legend, other than as specified in this work statement.

Neither the Contractor nor the Contractor's employees shall disclose or cause to be disseminated, any information concerning the operations of the activity which could result in, or increase the likelihood of, the possibility of a breach of the activities, security or interrupt the continuity of its operation.

All inquiries received by the Contractor for information concerning work performed under this contract shall be referred to the Government for evaluation under the Freedom of Information Act of 1975, Public Law 93-502, 5 U.S.C., Section 552. The determination of whether records will be released will remain with the Government. The Contractor shall assist the COR in compiling information or records for submission upon request by the Government.

The Contractor shall not release any information (including photographs, files, public announcements, statements, denials, or confirmations) on any portion of the subject matter of this contract or any phase of any program hereunder without the prior written approval of the COR. All documentation showing individuals, names or other personal information will be controlled and protected. The provisions of the Privacy Act of 1974, Public Law 93-579, 5 U.S.C., Section 552a, shall apply.

1.8 MEDIA FREE OF VIRUSES, ETC

The contractor shall ensure all media, electronic files, etc., it provides to the government shall be free of viruses, Trojan horses, bots, worms, malware, defects, or any other harmful item of a destructive nature.

Not Used

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SECTION 01 22 00.00 10 PRICE

AND PAYMENT PROCEDURES

1.1 SINGLE JOB PAYMENT ITEMS

1.1.1 Fender Assemblies

1.1.2 Unloading Fender Assemblies PART 2

PRODUCTS

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SECTION 01 22 00.00 10 PRICE

AND PAYMENT PROCEDURES

1.1 SINGLE JOB PAYMENT ITEMS

Payment items for the work of this contract for which contract job payments will be made are listed in the SCHEDULE and described below. All costs for items of work, which are not specifically mentioned to be included in a particular job or unit price payment item, are included in the listed job item most closely associated with the work involved. The job price and payment made for each item listed constitutes full compensation for furnishing all plant, labor, materials, and equipment, and performing any associated Contractor quality control, environmental protection, meeting safety requirements, tests and reports, and for performing all work required for which separate payment is not otherwise provided.

1.1.1 Fender Assemblies

Payment for all costs in connection with fabricating, painting, and delivering the Fender Assemblies and related appurtenances will be made at the contract price bid per Job.

These prices will include consideration for all materials, equipment, and labor; and all other related appurtenances; as required in the contract drawings and Section 05 50 14 STRUCTURAL METAL FABRICATIONS. This price includes consideration for all required paint as specified in Section

09 97 02 PAINTING: HYDRAULIC STRUCTURES.

1.1.2 Unloading Fender Assemblies

Payment for all costs in connection with unloading the Fender Assemblies and related appurtenances will be made at the contract price bid per Job.

This price will include consideration for all materials, equipment, and labor; and all other related appurtenances; as required in the contract drawings and Section 05 50 14 STRUCTURAL METAL

FABRICATIONS.

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SECTION 01 33 00

SUBMITTAL

PROCEDURES

1.1 SUMMARY

1.1.1 Submittal Information

1.1.2 Project Type

1.1.3 Submission of Submittals

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 Government Approved (G)

1.4.2 Design-Build Submittal Classifications

1.4.2.1 Designer of Record Approved (DA)

1.4.2.2 Government Conformance Review of Design (CR)

1.4.2.3 Designer of Record Approved/Government Conformance Review (DA/CR)

1.4.2.3.1 Variations from the Accepted Design

1.4.2.3.2 Substitutions

1.4.2.4 Designer of Record Approved/Government Approved (DA/GA)

1.4.3 For Information Only

1.5 PREPARATION

1.5.1 Transmittal Form

1.5.2 Submittal Format

1.5.2.1 Format of SD-01 Preconstruction Submittals

1.5.2.2 Format for SD-02 Shop Drawings

1.5.2.2.1 Drawing Identification

1.5.2.3 Format of SD-03 Product Data

1.5.2.3.1 Product Information

1.5.2.3.2 Standards

1.5.2.3.3 Data Submission

1.5.2.4 Format of SD-04 Samples

1.5.2.4.1 Sample Characteristics

1.5.2.4.2 Sample Incorporation

1.5.2.4.3 Comparison Sample

1.5.2.5 Format of SD-05 Design Data

1.5.2.6 Format of SD-06 Test Reports

1.5.2.7 Format of SD-07 Certificates

1.5.2.8 Format of SD-08 Manufacturer's Instructions

1.5.2.8.1 Standards

1.5.2.9 Format of SD-09 Manufacturer's Field Reports

1.5.2.10 Format of SD-11 Closeout Submittals

1.5.3 Source Drawings for Shop Drawings

1.5.3.1 Source Drawings

1.5.3.2 Terms and Conditions

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1.5.4 Electronic File Format

1.6 QUANTITY OF SUBMITTALS

1.6.1 Number of SD-01 Preconstruction Submittal Copies

1.6.2 Number of SD-04 Samples

1.7 INFORMATION ONLY SUBMITTALS

1.8 PROJECT SUBMITTAL REGISTER

1.8.1 Submittal Management

1.8.2 Design-Build Submittal Register

1.8.3 Preconstruction Use of Submittal Register

1.8.4 Contractor Use of Submittal Register

1.8.5 Approving Authority Use of Submittal Register

1.8.6 Action Codes

1.8.6.1 Contractor Action Codes

1.8.7 Delivery of Copies

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

1.10.1 Government Reviewed Design

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

PRODUCT

S

ATTACHMENTS:

ENG Form 4025-R

Appendix A - Submittal Register

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SECTION 01 33 00

SUBMITTAL

PROCEDURES

1.1 SUMMARY

1.1.1 Submittal Information

The Contracting Officer may request submittals in addition to those specified when deemed necessary to adequately describe the work covered in the respective sections. Each submittal is to be complete and in sufficient detail to allow ready determination of compliance with contract requirements.

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

1.1.2 Project Type

The Contractor's Quality Control (CQC) System Manager are to check and approve all items before 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.

1.1.3 Submission of Submittals

Schedule and provide submittals requiring Government approval before acquiring 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.

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

Submittal requirements are specified in the technical sections. Examples and descriptions of submittals identified by the Submittal Description (SD) numbers and titles follow:

SD-01 Preconstruction Submittals

Submittals that are required prior to or at the start of construction (work) or the next major phase of the construction on a multiphase contract.

Preconstruction Submittals include schedules and a tabular list of locations, features, and other pertinent information regarding products, materials, equipment, or components to be used in the work.

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Certificates Of Insurance Surety

Bonds

List Of Proposed Subcontractors List Of

Proposed Products

Baseline Network Analysis Schedule (NAS) Submittal

Register

Schedule Of Prices Or Earned Value Report Accident

Prevention 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-04 Samples

Fabricated or unfabricated physical examples of materials, equipment or workmanship that illustrate functional and aesthetic characteristics of a material or product and establish standards by which the work can be judged.

Color samples from the manufacturer's standard line (or custom color samples if specified) to be used in selecting or approving colors for the project.

Field samples and mock-ups constructed on the project site establish standards ensuring work can be judged. Includes assemblies or portions of assemblies that are to be incorporated into the project

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SECTION 01 33 00 Page 5 and those that will be removed at conclusion of the work.

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.

Unless specified in another section, testing must have been within three years of date of contract award for the project.

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

Report that 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

1.2.2 Approving Authority

Office or designated person authorized to approve the submittal.

1.2.3 Work

As used in this section, on-site and off-site construction required by contract documents, including labor necessary to produce submittals, construction, materials, products, equipment, and systems incorporated or to be incorporated in such construction. In exception, excludes work to produce SD- 01 submittals.

1.3 SUBMITTALS

designation are for information only. When

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SD-01 Preconstruction Submittals Submittal

Register; G

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

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

Government approval is required for any variations from the Solicitation or the Accepted Proposal and for other items as designated by the Government.

Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, submittals are considered to be "shop drawings."

1.4.2 Design-Build Submittal Classifications

1.4.2.1 Designer of Record Approved (DA)

Designer of Record (DOR) approval is required for extensions of design; critical materials; any variations 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. 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 with the Solicitation, the Accepted Proposal, and the completed design.

The Government will review all submittals designated as varying from the Solicitation or Accepted Proposal, as described below. Provide design submittals in accordance with specifications. Generally, list design submittals under SD-05 Design Data.

1.4.2.2 Government Conformance Review of Design (CR)

The Government will review all intermediate and final design submittals for conformance with the technical requirements of the Solicitation.

Review will be only for conformance with the applicable codes, standards, and contract requirements.

Design data includes the design documents described in within the specifications.

1.4.2.3 Designer of Record Approved/Government Conformance Review (DA/CR)

1.4.2.3.1 Variations from the Accepted Design

DOR approval and the Government's concurrence are required for any proposed variation from the accepted design that still complies with the contract before the Contractor is authorized to proceed with material acquisition or installation. If necessary to facilitate the project schedule, before official submission to the Government, the Contractor and the DOR may discuss with the Contracting Officer's Representative a submittal proposing a variation. However, the Government reserves the

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SECTION 01 33 00 Page 7 right to review the submittal before providing an opinion. In any case, the Government will not formally agree to or provide a preliminary opinion on any variation without the DOR's approval or recommended approval. The Government reserves the right to reject any design, variation that may affect furniture, furnishings, equipment selections, or operational decisions that were made, based on the reviewed and concurred design.

1.4.2.3.2 Substitutions

Unless prohibited or otherwise provided for elsewhere in the contract, where the Accepted Proposal named products, systems, materials or equipment by manufacturer, brand name, model number, or other specific identification, and the Contractor desires to substitute a manufacturer or model after award, submit a requested substitution for Government concurrence. Include substantiation, through identifying information and the DOR's approval, that the substitute meets the contract requirements and that it is equal in function, performance, quality, and salient features to that in the accepted contract proposal. If the contract otherwise prohibits substitutions of equal named products, systems, materials or equipment by manufacturer, brand name, model number or other specific identification, the request is considered a "variation" to the contract. Variations are discussed below in paragraphs: "DESIGNER OF RECORD APPROVED/GOVERNMENT APPROVED" and VARIATIONS.

1.4.2.4 Designer of Record Approved/Government Approved (DA/GA)

In addition to the above-stated requirements for proposed variations to the accepted design, both DOR and Government Approval and, where applicable, a contract modification are required before the Contractor is authorized to proceed with material acquisition or installation for any proposed variation to the contract (the Solicitation or the Accepted Proposal), that constitutes a change to the contract terms. The Government reserves the right to accept or reject any such proposed variation.

1.4.3 For Information Only

Submittals not requiring Government approval will be for information only. For Design-build construction all submittals not requiring DOR or Government approval will be for information only. Within the terms of the Contract Clause SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, they are not considered to be "shop drawings."

1.5 PREPARATION

1.5.1 Transmittal Form

Use the ENG Form 4025-R transmittal form for submitting both Government-approved and information-only submittals. Submit in accordance with the instructions on the reverse side of the form. These forms are included in the RMS CM software that the Contractor is required to use for this contract. 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.

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1.5.2 Submittal Format

1.5.2.1 Format of SD-01 Preconstruction Submittals

When the submittal includes a document that is to be used in the project, or is to become part of the project record, other than as a submittal, do not apply the Contractor's approval stamp to the document itself, but to a separate sheet accompanying the document.

Provide data in the unit of measure used in the contract documents.

1.5.2.2 Format for SD-02 Shop Drawings

Provide shop drawings not less than 8 1/2 by 11 inches nor more than 30 by 42 inches, except for full-size patterns or templates. Prepare drawings to accurate size, with scale indicated, unless another form is required. Ensure drawings are suitable for reproduction and of a quality to produce clear, distinct lines and letters, with dark lines on a white background.

a. Include the nameplate data, size, and capacity on drawings. Also include applicable federal, military, industry, and technical society publication references.

b. Dimension drawings, except diagrams and schematic drawings. Prepare drawings demonstrating interface with other trades to scale. Use the same unit of measure for shop drawings as indicated on the contract drawings. Identify materials and products for work shown.

Submit an electronic copy of drawings in PDF format.

1.5.2.2.1 Drawing Identification

Include on each drawing the drawing title, number, date, and revision numbers and dates, in addition to information required in paragraph IDENTIFYING SUBMITTALS.

Number drawings in a logical sequence. Each drawing is to bear the number of the submittal in a uniform location next to the title block. Place the Government contract number in the margin, immediately below the title block, for each drawing.

Reserve a blank space on the right-hand side of each sheet for the Government disposition stamp.

1.5.2.3 Format of SD-03 Product Data

Present product data submittals for each section. Include a table of contents, listing the page and catalog item numbers for product data.

Indicate, by prominent notation, each product that is being submitted; indicate the specification section number and paragraph number to which it pertains.

1.5.2.3.1 Product Information

Supplement product data with material prepared for the project to satisfy the submittal requirements where product data does not exist. Identify this material as developed specifically for the project, with information and format as required for submission of SD-07 Certificates.

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Provide product data in units used in the Contract documents. Where product data are included in preprinted catalogs with another unit, submit the dimensions in contract document units, on a separate sheet.

1.5.2.3.2 Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

1.5.2.3.3 Data Submission

Collect required data submittals for each specific material, product, unit of work, or system into a single submittal that is marked for choices, options, and portions applicable to the submittal. Mark each copy of the product data identically. Partial submittals will not be accepted for expedition of the construction effort.

Submit the manufacturer's instructions before installation.

1.5.2.4 Format of SD-04 Samples

1.5.2.4.1 Sample Characteristics

Furnish samples in the following sizes, unless otherwise specified or unless the manufacturer has prepackaged samples of approximately the same size as specified:

a. Sample of Equipment or Device: Full size.

b. Sample of Materials Less Than 2 by 3 inches: Built up to 8 1/2 by 11 inches.

c. Sample of Materials Exceeding 8 1/2 by 11 inches: Cut down to 8 1/2 by 11 inches and adequate to indicate color, texture, and material variations.

d. Sample of Linear Devices or Materials: 10 inch length or length to be supplied, if less than 10 inches.

Examples of linear devices or materials are conduit and handrails.

e. Sample Volume of Nonsolid Materials: Pint. Examples of nonsolid materials are sand and paint.

f. Color Selection Samples: 2 by 4 inches. Where samples are specified for selection of color, finish, pattern, or texture, submit the full set of available choices for the material or product specified. Sizes and quantities of samples are to represent their respective standard

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g. Sample Panel: 4 by 4 feet.

h. Sample Installation: 100 square feet.

1.5.2.4.2 Sample Incorporation

Reusable Samples: Incorporate returned samples into work only if so specified or indicated.

Incorporated samples are to be in undamaged condition at the time of use.

Recording of Sample Installation: Note and preserve the notation of any area constituting a sample installation, but remove the notation at the final clean-up of the project.

1.5.2.4.3 Comparison Sample

Samples Showing Range of Variation: Where variations in color, finish, pattern, or texture are unavoidable due to nature of the materials, submit sets of samples of not less than three units showing extremes and middle of range. Mark each unit to describe its relation to the range of the variation.

When color, texture, or pattern is specified by naming a particular manufacturer and style, include one sample of that manufacturer and style, for comparison.

1.5.2.5 Format of SD-05 Design Data

Provide design data and certificates on 8 1/2 by 11 inch paper.

1.5.2.6 Format of SD-06 Test Reports

By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

1.5.2.7 Format of SD-07 Certificates

Provide design data and certificates on 8 1/2 by 11 inch paper.

1.5.2.8 Format of SD-08 Manufacturer's Instructions

Present manufacturer's instructions submittals for each section. Include the manufacturer's name, trade name, place of manufacture, and catalog model or number on product data.

Also include applicable federal, military, industry, and technical-society publication references. If supplemental information is needed to clarify the manufacturer's data, submit it as specified for SD-07 Certificates.

Submit the manufacturer's instructions before installation.

1.5.2.8.1 Standards

Where equipment or materials are specified to conform to industry or technical-society reference standards of such organizations as the American National Standards Institute (ANSI), ASTM International (ASTM), National Electrical Manufacturer's Association (NEMA), Underwriters

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Laboratories (UL), or Association of Edison Illuminating Companies (AEIC), submit proof of such compliance. The label or listing by the specified organization will be acceptable evidence of compliance. In lieu of the label or listing, submit a certificate from an independent testing organization, competent to perform testing, and approved by the Contracting Officer. State on the certificate that the item has been tested in accordance with the specified organization's test methods and that the item complies with the specified organization's reference standard.

1.5.2.9 Format of SD-09 Manufacturer's Field Reports

By prominent notation, indicate each report in the submittal. Indicate the specification number and paragraph number to which each report pertains.

1.5.2.10 Format of SD-11 Closeout Submittals

When the submittal includes a document that is to be used in the project or is to become part of the project record, other than as a submittal, do not apply the Contractor's approval stamp to the document itself, but to a separate sheet accompanying the document.

Provide data in the unit of measure used in the contract documents.

1.5.3 Source Drawings for Shop Drawings

1.5.3.1 Source Drawings

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

1.5.3.2 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 is 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 its subconsultants 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. The Contractor is responsible for determining if any conflict exists. 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. Use of these source

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SECTION 01 33 00 Page 12 drawing files does not relieve the Contractor of the 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 indication of ownership (seals, logos, signatures, initials and dates).

1.5.4 Electronic File Format

Provide submittals in electronic format, with the exception of material samples required for SD-04 Samples items. In addition to the electronic submittal, provide three hard copies of the submittals. 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, and 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 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 a scan of a signature.

E-mail electronic submittal documents smaller than 10MB to an e-mail address as directed by the Contracting Officer. Provide electronic documents over 10 MB 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/.

1.6 QUANTITY OF SUBMITTALS

1.6.1 Number of SD-01 Preconstruction Submittal Copies

Unless otherwise specified, submit two sets of administrative submittals.

1.6.2 Number of SD-04 Samples

a. Submit two samples, or two sets of samples showing the range of variation, of each required item.

One approved sample or set of samples will be retained by the approving authority and one will be returned to the Contractor.

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

c. Submit one sample installation, where directed.

d. Submit one sample of nonsolid materials.

1.7 INFORMATION ONLY SUBMITTALS

Submittals without a "G" designation must be certified by the QC manager and submitted to the Contracting Officer for information-only. Approval of the Contracting Officer is not required on information only submittals. The Contracting Officer will mark "receipt acknowledged" on

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SECTION 01 33 00 Page 13 submittals for information and will return only the transmittal cover sheet to the Contractor. Normally, submittals for information only will not be returned. However, the Government reserves the right to return unsatisfactory submittals and 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.

1.8 PROJECT SUBMITTAL REGISTER

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

1.8.1 Submittal Management

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

(i) as approved. As an attachment, provide a submittal register showing items of equipment and materials for which submittals are required by the specifications. This list may not be all-inclusive and additional submittals may be required. Maintain a submittal register for the project.

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 Number. and type, e.g., SD-02 Shop Drawings) required in each specification section.

Column (e): Lists one principal paragraph in each 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 the project requirements.

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

1.8.2 Design-Build Submittal Register

The Designer of Record develops a complete list of submittals during design and identify required submittals in the specifications, and use the list to prepare the Submittal Register. The list may not be all inclusive and additional submittals may be required by other parts of the contract. Complete the submittal register and submit it to the Contracting Officer for approval within 30 calendar days after Notice to Proceed. The approved submittal register will serve as a scheduling document for

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SECTION 01 33 00 Page 14 submittals and will be used to control submittal actions throughout the contract period. Coordinate the submit dates and need dates with dates in the Contractor prepared progress schedule. Submit monthly or until all submittals have been satisfactorily completed, updates to the submittal register showing the Contractor action codes and actual dates with Government action codes. Revise the submittal register when the progress schedule is revised and submit both for approval.

1.8.3 Preconstruction Use of Submittal Register

Submit the submittal register. Include the QC plan and the project schedule. Verify that all submittals required for the 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 the approving authority to receive submittals.

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

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

1.8.4 Contractor Use of Submittal Register

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

Column (b) Transmittal Number: List of consecutive, Contractor-assigned numbers.

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

Column (l) Date submittal transmitted. Column (q) Date approval was received.

1.8.5 Approving Authority Use of Submittal Register Update the following fields:

Column (b) Transmittal Number: List of consecutive, Contractor-assigned numbers.

Column (l) Date submittal was received.

Column (m) through (p) Dates of review actions. Column (q) Date of return to Contractor.

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1.8.6 Action Codes

1.8.6.1 Contractor Action Codes

DESIGN BID BUILD

SUBMITTALS

Submittal Classifications shown in UFGS Sections

Submittal Classification

Corresponding SpecsIntact Submittal

Register Code which is populated in the SI

Submittal Register.

Software Limitations: (The software shows one character delineation in the SpecsIntact Submittal

Register)

RMS – The following Submittal

Classifications are populated in RMS when the SpecsIntact Submittal Data

File is pulled into RMS)

G Submittal requires Government Approval

G GA

BLANK Submittal is For Information Only

(FIO)

BLANK FIO

S Submittal is for documentation of Sustainable requirements

S S/FIO

1.8.7 Delivery of Copies

Submit an updated electronic copy of the submittal register to the Contracting Officer with each invoice request. Provide an updated Submittal Register monthly regardless of whether an invoice is submitted.

1.9 VARIATIONS

Variations from contract requirements require Contracting Officer approval pursuant to contract Clause FAR 52.236-21 Specifications and Drawings for Construction, and will be considered where advantageous to the Government.

1.9.1 Considering Variations

Discussion of variations with the Contracting Officer before submission will help ensure that functional and quality requirements are met and minimize rejections and resubmittals. When contemplating a variation that 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 variations may cause the Government to require rejection and removal of such work at no additional cost to the Government.

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1.9.2 Proposing Variations

When proposing variation, deliver a 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. Include 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 that include variations proposed by the Contractor. Set forth in writing the reason for any variations and note such variations on the submittal. The Government reserves the right to rescind inadvertent approval of submittals containing unnoted variations.

1.9.3 Warranting that Variations are Compatible

When delivering a variation for approval, the Contractor 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 the normal submittal review period, a period of 14 calendar days will be allowed for the Government to consider submittals with variations.

1.10 SCHEDULING

Schedule and submit concurrently product data and shop drawings covering component items forming a system or items that are interrelated. Submit pertinent certifications at the same time. No delay damages or time extensions will be allowed for time lost in late submittals. Allow an additional 10 calendar days for review and approval of submittals for food service equipment and refrigeration and HVAC control systems.

a. Coordinate scheduling, sequencing, preparing, and processing of submittals with performance of work so that work will not be delayed by submittal processing. The Contractor is responsible for additional time required for Government reviews resulting from required resubmittals. The review period for each resubmittal is the same as for the initial submittal.

b. Submittals required by the contract documents are listed on the submittal register. If a submittal is listed in the submittal register 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 that have been omitted from the register or marked "N/A."

c. Resubmit the submittal register and annotate it monthly with actual submission and approval dates.

When all items on the register have been fully approved, no further resubmittal is required.

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1.10.1 Government Reviewed Design

The Government will review design submittals for conformance with the technical requirements of the Solicitation. Government review is required for variations from the completed design. Review will be only for conformance with the contract requirements. Included are only those construction submittals for which the DOR's design documents do not include enough detail to ascertain contract compliance. The Government may, but is not required to, review extensions of design such as structural steel or reinforcement shop drawings.

1.11 GOVERNMENT APPROVING AUTHORITY

When the approving authority is the Contracting Officer, the Government will:

a. Note the date on which the submittal was received.

b. Review submittals for approval within the 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 comments and markings appropriate for the action indicated.

Upon completion of review of submittals requiring Government approval, stamp and date submittals. 3 copies of the submittal will be retained by the Contracting Officer and 3 copies of the submittal will be returned to the Contractor. If the Government performs a conformance review of other Designer of Record approved submittals, the submittals will be identified and returned, as described above.

1.11.1 Review Notations

Submittals will be returned to the Contractor with the following notations:

a. Submittals marked "approved" or "accepted" authorize proceeding with the work covered.

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

c. Submittals marked "not approved," "disapproved," or "revise and resubmit" indicate incomplete submittal or noncompliance with the contract requirements or design concept. Resubmit with appropriate changes. Do not proceed with work for this item until the resubmittal is approved.

d. Submittals marked "not reviewed" indicate that the 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.

e. Submittals marked "receipt acknowledged" indicate that submittals have

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SECTION 01 33 00 Page 18 been received by the Government. This applies only to "information-only submittals" as previously defined.

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, give notice to the Contracting Officer as required under the FAR clause titled CHANGES.

The Contractor is responsible for the dimensions and design of connection details and the construction of work. Failure to point out variations may cause the Government to require rejection and removal of such work at the Contractor's expense.

If changes are necessary to submittals, make such revisions and resubmit 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 of submittals is not to be construed as a complete check, and indicates only that the general method of construction, materials, detailing, and other…