W912P522Q0029_TSpecs_BAR_Sector Gears Replacement_22APR2022.pdf

Solicitation No. W912P522Q0029

US Army Corps Of Engineers Nashville District

Sector Gears Replacement

Barkley Lock Cumberland River Livingston County, Kentucky

Technical Specifications - Ready To Advertise (RTA)

April 2022

THIS PAGE INTENTIONALLY LEFT BLANK

FOR DUPLEX PRINTING

Sector Gears Replacement Barkley Lock W912P522Q0029 Ready To Advertise Grand Rivers, KY

PROJECT TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

01 11 00 SUMMARY OF WORK

01 20 00 PRICE AND PAYMENT PROCEDURES

01 33 00 SUBMITTAL PROCEDURES

01 95 00 FORMS AND ATTACHMENTS

DIVISION 35 - WATERWAY AND MARINE CONSTRUCTION

35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1

PROJECT TABLE OF CONTENTS Page 2

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 11 00

SUMMARY OF WORK

PART 1 GENERAL

1.1 SCOPE

1.1.1 Government Furnished Equipment

1.1.2 Base

1.1.2.1 Fabrication, Assembly, and Delivery of Two Sector Gear Assemblies within 270 Days

1.1.2.2 Fabrication, Assembly, and Delivery of Two Sector Gear Assemblies

1.1.3 Option 1 - Miter Gate Roller Components

1.1.4 Option 2 - Gate Strut Pin Assembly Components

1.2 LOCATION

1.3 DELIVERY

PART 2 PRODUCTS

PART 3 EXECUTION

-- End of Section Table of Contents --

SECTION 01 11 00 Page 1

SECTION 01 11 00 Page 2

SECTION 01 11 00

SUMMARY OF WORK

PART 1 GENERAL

1.1 SCOPE

The work covered by this section consists of furnishing all labor, materials and equipment for the construction, assembly, and delivery of the sector gear assemblies at the Barkley Lock Project as specified herein and on the contract drawings. All work shall be performed in strict accordance with this specification and the applicable drawings, and shall be subject to the terms and conditions of the contract. Installation shall be performed by others at a later time.

1.1.1 Government Furnished Equipment

Pursuant to Contract Clause FAR 52.245-1 Government Property, the Government will furnish four sector arm assemblies for additional assembly by the Contractor. The sector arm assemblies include:

a. Sector Arm - Mk. 22/16-1 - Quantity: 8

b. Wedge - Mk. 22/16-4 - Quantity: 48

c. Turned Bolt - Mk. 22/16-6 - Quantity: 80

d. 3/4-10 UNC-2.25 Hex Cap Screw - Mk. 22/16-7 - Quantity: 16

The contractor shall only be allowed to pick up the Government Furnished Equipment from Barkley Lock after the contractor has received materials for the sector gear assemblies and have shown the Government photographic evidence of the material at their shop.

See the contract drawings, reference drawings, and Specification Section

35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS

for more information.

1.1.2 Base

The contractor will be responsible for fabricating and supply four sector gear and arm assemblies under this contract. Fabricate the following items for the sector gear assemblies. Quantities shown are for all four (4) sector gear assemblies.

a. Sector Gear - Mk. 22/3-1 - Quantity: 4

b. Sector Pin - Mk. 22/5-2 - Quantity: 4

c. Thrust Washer - Mk. 22/5-3 - Quantity: 4

d. Thrust Washer - Mk. 22/5-4 - Quantity: 4

e. Sector Bushing - Mk. 22/5-5 - Quantity: 8

f. Keeper Plate - Mk. 22/5-6 - Quantity: 4

g. Sector Pin Eye Bolt - Mk. 22/5-7 - Quantity: 1

h. Sector Roller - Mk. 22/7-4 - Quantity: 1

i. Roller Bushing - Mk. 22/7-5 - Quantity: 1

j. Roller Pin - Mk. 22/7-6 - Quantity: 1

k. Roller Washer - Mk. 22/7-7 - Quantity: 2

h. Stud - Mk. 22/7-8 - Quantity: 12

i. Miscellaneous Items (fasteners, screws, etc.)

SECTION 01 11 00 Page 3

The contractor shall adhere to the requirements below for information on the sequencing of the fabrication, assembly and delivery of the sector gear assemblies.

See the contract drawings, reference drawings, and Specification Section

35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS

for more information.

1.1.2.1 Fabrication, Assembly, and Delivery of Two Sector Gear Assemblies within 270 Days

The contractor shall fabricate the items listed above for two sector gear assemblies within 270 days from the contract award. Adjust quantities above. This requirement is not flexible. The sector gear assembly includes the sector gear, wedges, sector pin, thrust washers, sector bushings, keeper plate, sector pin eye bolt, studs, and all miscellaneous fasteners.

Surface hardening shall be performed on the gear teeth of the sector gear over the entire profile of the tooth. The contractor shall use an induction hardening process as approved by the Contracting Officer, to obtain the hardness range specified on the drawings. Flame hardening will not be approved by the Government before or after the contract is awarded.

See the contract drawings, reference drawings, and Specification Section

35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS

for more information.

In addition to fabricating the two sector gear assemblies, the contractor shall be responsible for receiving two sector arm assemblies as Government Furnished Equipment (sector arm assemblies include the components listed in the Paragraph Government Furnished Equipment above). The contractor shall drill and match two sector arms (Mk. 22/16-1) to two new sector gears (Mk. 22/3-1) with the turned bolts (Mk. 22/16-6). The contractor shall deliver the sector gears and sector arms assembled to the Barkley Lock Project within 270 days from the contract award. This requirement is not flexible.

The contractor shall pick-up and transport items that are necessary for the sector gear and arm assemblies from Barkley Lock to their shop for drilling and assembly. Government personnel will load the existing parts to the Contractor's truck. See Paragraph "DELIVERY" for POC and location of Barkley Lock.

See the contract drawings, reference drawings, and Specification Section

35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS

for more information.

1.1.2.2 Fabrication, Assembly, and Delivery of Two Sector Gear Assemblies

The contractor shall fabricate the items listed above for the remaining two sector gear assemblies within the period of performance. Adjust quantities above. The sector gear assembly includes the sector gear, wedges, sector pin, thrust washers, sector bushings, keeper plate, sector pin eye bolt, studs, and all miscellaneous fasteners.

Surface hardening shall be performed on the gear teeth of the sector gear over the entire profile of the tooth. The contractor shall use an

SECTION 01 11 00 Page 4 induction hardening process as approved by the Contracting Officer, to obtain the hardness range specified on the drawings. Flame hardening will not be approved by the Government before or after the contract is awarded.

See the contract drawings, reference drawings, and Specification Section

35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS

for more information.

In addition to fabricating the remaining two sector gear assemblies, the contractor shall be responsible for receiving two additional sector arm assemblies as Government Furnished Equipment (sector arm assemblies include the components listed in the Paragraph Government Furnished Equipment above). The contractor shall drill and match two sector arms (Mk. 22/16-1) to two new sector gears (Mk. 22/3-1) with the turned bolts (Mk. 22/16-6). The contractor shall deliver the sector gears and sector arms assembled to the Barkley Lock Project within the period of performance.

The contractor shall pick-up and transport items that are necessary for the sector gear and arm assemblies, from Barkley Lock to their shop for drilling and assembly. Government personnel will load the existing parts to the Contractor's truck. See Paragraph "DELIVERY" for POC and location of Barkley Lock.

See the contract drawings, reference drawings, and Specification Section

35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS

for more information.

1.1.3 Option 1 - Miter Gate Roller Components

Fabricate/supply and deliver the following items.

a. Vertical Roller - Mk. 22/6-2 - Quantity: 2

b. Bushing - Mk. 22/6-3 - Quantity: 4

c. Vertical Roller Pin - Mk. 22/6-4 - Quantity: 2

d. Thrust Washer - Mk. 22/6-5 - Quantity: 2

e. Horizontal Roller - Mk. 22/6-6 - Quantity: 3

f. Horizontal Roller Pin - Mk. 22/6-7 - Quantity: 3

g. Vertical Roller - Mk. 22/6-9 - Quantity: 2

h. Vertical Roller Pin - Mk. 22/6-10 - Quantity: 2

i. Vertical Roller Bushing - Mk. 22/6-13 - Quantity: 4

j. Horizontal Roller Bushing - Mk. 22/6-14 - Quantity: 6

See the contract drawings, reference drawings, and Specification Section

35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS

for more information.

1.1.4 Option 2 - Gate Strut Pin Assembly Components

Fabricate/supply and deliver the following items.

a. Strut Pins - Mk. 21/9-6 - Qty. 4

b. 1/2"x3" Allen Hd. Set Screw - Mk. 21/9-C - Qty. 4

c. Strut Pin Bearings - Mk. 21/9-7 - Qty. 8

d. Bushings - Mk. 21/9-8 - Qty. 8

e. Adjusting Rings Mk. 21/9-9&10 - Qty. 32 each

f. Turned Bolts - Mk. 21/10-9 - Qty. 96 (w/ hex nut and washer)

See the contract drawings, reference drawings, and Specification Section

SECTION 01 11 00 Page 5

35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS

for more information.

1.2 LOCATION

Barkley Lock is located at 758 Barkley Dam Rd, Grand Rivers, KY 42045.

1.3 DELIVERY

For information on delivery, Specification Section 35 01 41.00 10

ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS.

PART 2 PRODUCTS

Not used.

PART 3 EXECUTION

Not used.

-- End of Section --

SECTION 01 11 00 Page 6

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 20 00

PRICE AND PAYMENT PROCEDURES

PART 1 GENERAL

1.1 SUBMITTALS

1.2 CONTRACT COST BREAKDOWN

1.3 CONTRACTOR'S INVOICE AND CONTRACT PERFORMANCE STATEMENT

1.4 PAYMENT ITEMS

1.4.1 Base Contract Payment Items

1.4.1.1 Performance and Payment Bond

1.4.1.1.1 Payment

1.4.1.1.2 Unit of Measure

1.4.1.2 Fabrication, Assembly, and Delivery of Two Sector Gear Assemblies within 270 Days

1.4.1.2.1 Payment

1.4.1.2.2 Unit of Measure

1.4.1.3 Fabrication, Assembly, and Delivery of Two Sector Gear Assemblies

1.4.1.3.1 Payment

1.4.1.3.2 Unit of Measure

1.4.2 Option 1 - Payment Items

1.4.2.1 Performance and Payment Bond

1.4.2.1.1 Payment

1.4.2.1.2 Unit of Measure

1.4.2.2 Miter Gate Roller Components Fabrication

1.4.2.2.1 Payment

1.4.2.2.2 Unit of Measure

1.4.3 Option 2 - Payment Items

1.4.3.1 Performance and Payment Bond

1.4.3.1.1 Payment

1.4.3.1.2 Unit of Measure

1.4.3.2 Gate Strut Pin Assembly Components Fabrication

1.4.3.2.1 Payment

1.4.3.2.2 Unit of Measure

PART 2 PRODUCTS

PART 3 EXECUTION

SECTION 01 20 00 Page 1

SECTION 01 20 00 Page 2

SECTION 01 20 00

PRICE AND PAYMENT PROCEDURES

PART 1 GENERAL

1.1 SUBMITTALS

Government approval is required for submittals with a "G" or "S" classification. Submittals not having a "G" or "S" classification are for information only. When used, a code following the "G" classification 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

Weight Certificates

1.2 CONTRACT COST BREAKDOWN

The Contractor must furnish within 30 days after the date of Notice to Proceed, and prior to the submission of its first partial payment estimate, a breakdown of its single job pay item or items which will be reviewed by the Contracting Officer as to propriety of distribution of the total cost to the various accounts. Any unbalanced items as between early and late payment items or other discrepancies will be revised by the Contracting Officer to agree with a reasonable cost of the work included in the various items. This Contract cost breakdown will then be utilized as the basis for progress payments to the Contractor.

1.3 CONTRACTOR'S INVOICE AND CONTRACT PERFORMANCE STATEMENT

1.4 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.

1.4.1 Base Contract Payment Items

1.4.1.1 Performance and Payment Bond

1.4.1.1.1 Payment

Payment will be made for Performance and Payment Bonds that are required as part of this contract in accordance with Contract Clause 52.228-15 PERFORMANCE AND PAYMENT BONDS-CONSTRUCTION. Payment for the premiums for

SECTION 01 20 00 Page 3 performance and payment bonds will be made at the contract price per Job for "Performance and Payment Bonds." The Government will pay the actual cost of acceptable performance and payment bonds or the Contractor's bid price, whichever is less. Payments made under this provision shall not exceed the amount included for "Performance and Payment Bonds," which payment shall take into consideration any discounts or rebates to the Contractor from the Surety. The Contractor is advised that the pay item "Performance and Payment Bonds" is only for the cost of bonds. Other costs should be allocated to the appropriate payment items. The Contractor shall provide evidence of payment (paid invoice) from the bonding company or agency. If the actual cost of the bonds is less than the payment item amount, the contract will be modified to adjust the payment item accordingly.

1.4.1.1.2 Unit of Measure

Unit of Measure: job.

1.4.1.2 Fabrication, Assembly, and Delivery of Two Sector Gear Assemblies within 270 Days

1.4.1.2.1 Payment

Payment will be made for costs associated with "Fabrication, Assembly, and Delivery of Two Sector Gear Assemblies within 270 Days", which includes all materials, equipment, and labor required to fabricate two complete sector gear assemblies within 270 days from the contract award. This requirement is not flexible. The sector gear assembly includes the sector gear, wedges, sector pin, thrust washers, sector bushings, keeper plate, sector pin eye bolt, studs, and all miscellaneous fasteners. This payment item also includes one sector roller assembly as a spare, which includes the sector roller, roller bushing, roller pin, and roller washers.

This payment item also includes the drilling of the Government Furnished sector arms and assembling two sector arms to two new sector gears via Government Furnished turned bolts. Transportation of Government Furnished Equipment and delivery of the completed assemblies shall be incidental to this payment and shall be performed within 270 days. This requirement is not flexible.

See Section 01 11 00 SUMMARY OF WORK for more detailed information on the scope.

See contract drawings and Section 35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS for technical information.

1.4.1.2.2 Unit of Measure

Unit of measure: job.

1.4.1.3 Fabrication, Assembly, and Delivery of Two Sector Gear Assemblies

1.4.1.3.1 Payment

Payment will be made for costs associated with "Fabrication, Assembly, and Delivery of Two Sector Gear Assemblies", which includes all materials, equipment, and labor required to fabricate two complete sector gear assemblies within the period of performance. The sector arm assembly includes the sector gear, wedges, sector pin, thrust washers, sector

SECTION 01 20 00 Page 4 bushings, keeper plate, sector pin eye bolt, studs, and all miscellaneous fasteners.

This payment item also includes the drilling of the Government Furnished sector arms and assembling two sector arms to two new sector gears via Government Furnished turned bolts. Transportation of Government Furnished Equipment and delivery of the completed assemblies shall be incidental to this payment and shall be performed within the period of performance. This requirement is not flexible.

See Section 01 11 00 SUMMARY OF WORK for more detailed information on the scope.

See contract drawings and Section 35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS for more information.

1.4.1.3.2 Unit of Measure

Unit of measure: job.

1.4.2 Option 1 - Payment Items

1.4.2.1 Performance and Payment Bond

1.4.2.1.1 Payment

Payment will be made for Performance and Payment Bonds that are required as part of this contract in accordance with Contract Clause 52.228-15 PERFORMANCE AND PAYMENT BONDS-CONSTRUCTION. Payment for the premiums for performance and payment bonds will be made at the contract price per Job for "Performance and Payment Bonds." The Government will pay the actual cost of acceptable performance and payment bonds or the Contractor's bid price, whichever is less. Payments made under this provision shall not exceed the amount included for "Performance and Payment Bonds," which payment shall take into consideration any discounts or rebates to the Contractor from the Surety. The Contractor is advised that the pay item "Performance and Payment Bonds" is only for the cost of bonds. Other costs should be allocated to the appropriate payment items. The Contractor shall provide evidence of payment (paid invoice) from the bonding company or agency. If the actual cost of the bonds is less than the payment item amount, the contract will be modified to adjust the payment item accordingly.

1.4.2.1.2 Unit of Measure

Unit of Measure: job.

1.4.2.2 Miter Gate Roller Components Fabrication

1.4.2.2.1 Payment

Payment will be made for costs associated with "Miter Gate Roller Components Fabrication", which includes all materials, equipment, and labor required to fabricate the miter gate roller components. These components include all vertical rollers, bushings, vertical roller pins, thrust washers, horizontal rollers, horizontal roller pins, vertical roller bushings, and horizontal roller bushings. Delivery of these components shall be incidental to this payment.

SECTION 01 20 00 Page 5

See contract drawings and Section 35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS for more information.

1.4.2.2.2 Unit of Measure

Unit of measure: job.

1.4.3 Option 2 - Payment Items

1.4.3.1 Performance and Payment Bond

1.4.3.1.1 Payment

Payment will be made for Performance and Payment Bonds that are required as part of this contract in accordance with Contract Clause 52.228-15 PERFORMANCE AND PAYMENT BONDS-CONSTRUCTION. Payment for the premiums for performance and payment bonds will be made at the contract price per Job for "Performance and Payment Bonds." The Government will pay the actual cost of acceptable performance and payment bonds or the Contractor's bid price, whichever is less. Payments made under this provision shall not exceed the amount included for "Performance and Payment Bonds," which payment shall take into consideration any discounts or rebates to the Contractor from the Surety. The Contractor is advised that the pay item "Performance and Payment Bonds" is only for the cost of bonds. Other costs should be allocated to the appropriate payment items. The Contractor shall provide evidence of payment (paid invoice) from the bonding company or agency. If the actual cost of the bonds is less than the payment item amount, the contract will be modified to adjust the payment item accordingly.

1.4.3.1.2 Unit of Measure

Unit of Measure: job.

1.4.3.2 Gate Strut Pin Assembly Components Fabrication

1.4.3.2.1 Payment

Payment will be made for costs associated with "Gate Strut Pin Assembly Components Fabrication", which includes all materials, equipment, and labor required to fabricate the Gate Strut Pin Assembly Components. These components include strut pins, bushings, strut pin bearings, adjusting rings, turned bolts, and any fasteners or miscellaneous hardware required for assembly. Assembly will be performed by others and is not included in this contract. Delivery of these components shall be incidental to this payment.

See contract drawings and Section 35 01 41.00 10 ELECTROMECHANICAL OPERATING MACHINERY FOR LOCKS AND DAMS for more information.

1.4.3.2.2 Unit of Measure

Unit of measure: job.

SECTION 01 20 00 Page 6

PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

Not Used

SECTION 01 20 00 Page 7

SECTION 01 20 00 Page 8

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

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 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-10 Operation and Maintenance Data (O&M)

1.5.2.11 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

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-02 Shop Drawing Copies

1.6.3 Number of SD-03 Product Data Copies

1.6.4 Number of SD-04 Samples

1.6.5 Number of SD-05 Design Data Copies

SECTION 01 33 00 Page 1

1.6.6 Number of SD-06 Test Report Copies

1.6.7 Number of SD-07 Certificate Copies

1.6.8 Number of SD-08 Manufacturer's Instructions Copies

1.6.9 Number of SD-09 Manufacturer's Field Report Copies

1.6.10 Number of SD-10 Operation and Maintenance Data Copies

1.6.11 Number of SD-11 Closeout Submittals Copies

1.7 INFORMATION ONLY SUBMITTALS

1.8 PROJECT SUBMITTAL REGISTER

1.8.1 Submittal Management

1.8.2 Preconstruction Use of Submittal Register

1.8.3 Contractor Use of Submittal Register

1.8.4 Approving Authority Use of Submittal Register

1.8.5 Action Codes

1.8.5.1 Government Review Action Codes

1.8.6 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

1.11 GOVERNMENT APPROVING AUTHORITY

1.11.1 Review Notations

1.12 DISAPPROVED SUBMITTALS

1.13 APPROVED SUBMITTALS

1.14 APPROVED SAMPLES

1.15 CERTIFICATION OF SUBMITTAL DATA

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

ENG Form 4025-R

Appendix A - Submittal Register

SECTION 01 33 00 Page 2

SECTION 01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

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

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.

For Government approved division 01 preconstruction submittals that are required prior to or commencing with the start of work shall be submitted within 30 calendar days of contract award unless specified elsewhere in the specifications. For contractor approved division 01 submittals that are required prior to or commencing with the start of work shall be submitted within 45 calendar days of contract award unless specified elsewhere in the specifications.

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.

Certificates Of Insurance

SECTION 01 33 00 Page 3

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-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 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.

SECTION 01 33 00 Page 4

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

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-09 Manufacturer's Field Reports

Documentation of the testing and verification actions taken by manufacturer's representative at the job site, in the vicinity of the job site, or on a sample taken from the job site, on a portion of the work, during or after installation, to confirm compliance with manufacturer's standards or instructions. The documentation must be signed by an authorized official of a testing laboratory or agency and state the test results; and indicate whether the material, product, or system has passed or failed the test.

Factory test reports.

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 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

Government approval is required for submittals with a "G" or "S" classification. Submittals not having a "G" or “S” classification are for information only. When used, a code following the "G" classification identifies the office that will review the submittal for the Government.

Submit the following in accordance with Section 01 33 00 SUBMITTAL

PROCEDURES:

SD-01 Preconstruction Submittals

Submittal Register; G

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

Within the terms of the Contract Clause FAR 52.236-21 SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION, submittals are considered to be "shop drawings."

1.4.2 For Information Only

Submittals not requiring Government approval will be for information only. Within the terms of the Contract Clause FAR 52.236-21 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 will be furnished to the Contractor. 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 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, SECTION 01 33 00 Page 6 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.

Present shop drawings sized 8 1/2 by 11 inches as part of the bound volume for submittals. Present larger drawings in sets. 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.

1.5.2.3 Format of SD-03 Product Data

Present product data submittals for each section as a complete, bound volume . 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.

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.

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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 unit.

g. Sample Panel: 4 by 4 feet.

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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. Provide a bound volume for submittals containing numerous pages.

1.5.2.6 Format of SD-06 Test Reports

Provide reports on 8 1/2 by 11 inch paper in a complete bound volume.

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. Provide a bound volume for submittals containing numerous pages.

1.5.2.8 Format of SD-08 Manufacturer's Instructions

Present manufacturer's instructions submittals for each section as a complete, bound volume . 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

SECTION 01 33 00 Page 9

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

Provide reports on 8 1/2 by 11 inch paper in a complete bound volume.

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-10 Operation and Maintenance Data (O&M)

Comply with the requirements specified.

1.5.2.11 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

SECTION 01 33 00 Page 10 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 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. 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 only electronic sets of administrative submittals to the COR.

1.6.2 Number of SD-02 Shop Drawing Copies

Submit electronic copies of submittals of shop drawings requiring review and approval by a QC organization. Submit electronic copies of shop drawings requiring review and approval by the Contracting Officer.

1.6.3 Number of SD-03 Product Data Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.6.4 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

SECTION 01 33 00 Page 11 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.

1.6.5 Number of SD-05 Design Data Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.6.6 Number of SD-06 Test Report Copies

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

1.6.7 Number of SD-07 Certificate Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.6.8 Number of SD-08 Manufacturer's Instructions Copies

Submit in compliance with quantity requirements specified for shop drawings.

1.6.9 Number of SD-09 Manufacturer's Field Report Copies

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

1.6.10 Number of SD-10 Operation and Maintenance Data Copies

Submit electronic copies of O&M data to the Contracting Officer for review and approval.

1.6.11 Number of SD-11 Closeout Submittals Copies

Unless otherwise specified, submit electronic sets of administrative submittals.

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. Provide information-only submittals to the Contracting Officer a minimum of 14 calendar days prior to the Preparatory Meeting for the associated Definable Feature of Work (DFOW). Approval of the Contracting Officer is not required on information only submittals. The Contracting Officer will mark "receipt acknowledged" on 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

SECTION 01 33 00 Page 12 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 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.

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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.

1.8.3 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.

1.8.4 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.

1.8.5 Action Codes

1.8.5.1 Government Review Action Codes

"A" - "Approved as submitted"; "Completed"

"B" - "Approved, except as noted on drawings"; "Completed"

"C" - "Approved, except as noted on drawings; resubmission required"; "Resubmit"

"D" - "Returned by separate correspondence"; "Completed"

"E" - "Disapproved (See attached)"; "Resubmit"

"F" - "Receipt acknowledged"; "Completed"

"G" - "Other (Specify)"; "Resubmit"

"X" - "Receipt acknowledged, does not comply with contract requirements"; "Resubmit"

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1.8.6 Delivery of Copies

Submit an updated electronic copy of the submittal…