A2_-_Falls_Dam_and_Jordan_Dam_Gates_Specifications.pdf

Service Gate at Falls Dam and Emergency Gate at B. Everett Jordan FALLS01

PROJECT TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

01 11 01 SECTION C-PART A 01 11 01 GENERAL REQUIREMENTS

01 33 00 SECTION C-PART A 01 33 00 SUBMITTAL PROCEDURES

01 38 10.00 10 SECTION C-PART A 01 38 10.00 10 PROGRESS PHOTOGRAPHS

01 42 00 SECTION C-PART A 01 42 00 SOURCES FOR REFERENCE

PUBLICATIONS

01 78 00 SECTION C-PART A 01 78 00 CLOSEOUT SUBMITTALS

DIVISION 05 - METALS

05 59 13 SECTION C-PART A 05 59 13 FABRICATION OF HYDRAULIC STEEL

STRUCTURES

DIVISION 09 - FINISHES

09 97 02 SECTION C-PART A 09 97 02 PAINTING: HYDRAULIC STRUCTURES

DIVISION 35 - WATERWAY AND MARINE CONSTRUCTION

35 20 16.53 SECTION C-PART A 35 20 16.53 EMERGENCY AND SERVICE GATES

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PROJECT TABLE OF CONTENTS Page 1

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SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

SECTION C-PART A 01 11 01 GENERAL REQUIREMENTS

PART 1 GENERAL

1.1 SUMMARY

1.2 REFERENCES

1.3 SUBMITTALS

1.4 SCOPE

1.5 DOCUMENT SECURITY

1.5.1 For Official Use Only (FOUO)

1.6 SECURITY REQUIREMENTS

1.6.1 Foreign Nationals

1.7 AT/OPSEC REQUIREMENTS

1.8 RECORDKEEPING AND REPORTING

1.9 DRAWINGS

1.10 INSPECTIONS AND ACCEPTANCE OF WORK

1.11 CONTRACTOR QUALITY CONTROL

1.12 CONTRACT MODIFICATIONS (Change Orders)

1.13 SAFETY

1.14 PERMITS, LICENSES, FEES AND TAXES

1.15 PROJECT CONFERENCES

1.16 REFERENCE STANDARDS

1.17 FABRICATION PHOTOGRAPHS

PART 2 PRODUCTS

2.1 PRODUCTS AND PARTS OF STANDARD MANUFACTURE

PART 3 EXECUTION

3.1 COMBINED PRODUCTION SCHEDULE AND PROGRESS CHART

3.2 SEQUENCE OF WORK

3.3 RECORD "AS-BUILT" DOCUMENTS

3.4 RECORDS AND REPORTS

3.5 DELIVERY

3.6 PAYMENT

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SECTION 01 11 01 Page 1

SECTION C-PART A

01 11 01

GENERAL REQUIREMENTS

PART 1 GENERAL

1.1 SUMMARY

This section covers general requirements applicable to the performance of the work under this delivery order. These requirements are in addition to those specified in other sections of the delivery order.

1.2 REFERENCES

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

AMERICAN WELDING SOCIETY (AWS)

AWS D1.5M/D1.5 (2015) Bridge Welding Code

1.3 SUBMITTALS

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

submittals not having a "G" designation are for information only. When used, a designation following the "G" designation identifies the office that will review the submittal for the Government. The following shall be submitted in accordance with Section 01 33 00 SUBMITTAL PROCEDURES:

SD-01 Prefabrication Submittals

List of Employees; G|DSPC Investigation Package for Contractor and Subcontractor Employees;

G|DSPC

Production Schedule; G|DSPC

Production schedule shall be submitted for approval.

Updated Progress Chart; G|DSPC

Updated progress charts shall be submitted monthly for approval.

SD-07 Certificates

Contractor Quality Control Plan (CQC); G|DSPC

The Contractor shall submit a written quality control plan for approval in accordance with Paragraph INSPECTIONS AND ACCEPTANCE

OF WORK.

1.4 SCOPE

The work covered by this specification consists of the fabrication, assembly, and delivery of one (1) emergency gate and one (1) service gate as specified and shown on the drawings. The gates shall be a complete welded steel structure with fabrication and assembly performed in a

SECTION 01 11 01 Page 2 fabrication shop. The Contractor will be required to commence work under this contract within ten (10) calendar days after the day of receipt by them of the Notice of Award, to prosecute said work diligently, and to complete the entire work, and make delivery not later than 365 calendar days after receipt of Notice of Award. The emergency gate is a vertical lift gate with a total damming surface measuring 19 feet-10 inches in height and 10 feet-3 inches in width. The gates consists of lifting lugs, perimeter J-bulb and/or block rubber seals, and guide wheels. The service gate is a vertical lift gate with a total damming surface measuring 19 feet-8 inches in height and 9 feet-1-3/4-inch in width. The service gate consists of lifting lugs, perimeter J-bulb and/or block rubber seals, and guide wheels.

Due to the critical nature of this structure and the specified framing arrangement many of the structural members are "Fracture Critical", therefore, all welding is required to be performed to AWS D1.5M/D1.5 welding code standard by a steel fabricator certified under the AISC Quality Certification Program, Category CBR (Major Steel Bridge) with a Fracture Critical Endorsement (F) or the new AISC Certification Program for Steel Bridge Fabricators (AISC 205-11) for "Intermediate Bridges" (IBR) meeting supplemental requirements for "Fabricators of Bridges with Fracture-Critical Members" (FC). The Contractor shall possess five (5) years documented experience on projects of similar scope.

This contract shall consist of the fabrication and delivery of one (1) service gate to the Falls Dam at Wake Forest, North Carolina and delivery of one (1) emergency gate to B. Everett Jordan Dam at Moncure, North Carolina. Delivery shall be made as described in these specifications.

Individuals that work for the Contractor, or whom are hire by the Contractor, that will require access to the Falls Dam Project and B.

Everett Jordan Dam Project will need to meet the security requirements and AT/OPSEC requirements contained in these specifications. This shall include the delivery truck personnel and the Contractor's representative(s) that will perform the final inspection once the gates has been delivered to the project.

1.5 DOCUMENT SECURITY

Contractors working for and on USACE projects shall provide the appropriate physical security for all related items as detailed/prescribed in AR 380-5, dated 29 September 2000.

1.5.1 For Official Use Only (FOUO)

For Official Use Only (FOUO): The unauthorized disclosure of the information contained in the attached documents is forbidden to protect the Government's interest in compliance with program effectiveness under AR 380-5 and as follows:

a. During working hours, reasonable steps shall be taken to minimize risk of access by unauthorized personnel. After working hours, FOUO information can be stored in unlocked containers, desks or cabinets if U.S. Government or U.S. Government-contract building security is provided. If U.S. Government-contract building security is not provided, FOUO information must be stored in locked desks, file cabinets, bookcases, or similar locked containers.

b. FOUO documents and material can be transmitted via first class

SECTION 01 11 01 Page 3 mail, parcel post, or, for bulk shipments, fourth class mail.

Electronic transmission of FOUO information by voice, data, facsimile or similar means, shall be by approved secure communications systems whenever possible. (AR 380-5 (dated 29 September 2000))

c. Record copies of FOUO documents shall be disposed of in accordance with AR 25-400-2. Non-record FOUO documents shall be destroyed by shredding or tearing into pieces and discarding the pieces in regular trash containers.

1.6 SECURITY REQUIREMENTS

All Contractors and subcontractor employee(s) working on this contract who require access in and/or around any Wilmington District facilities (i.e.

flood control dams, locks and dams, etc.) shall receive authorization to be on our facilities based upon a favorable background investigation in accordance with "Homeland Security Presidential Directive 12: Policy for a Common Identification Standard for Federal Employees and Contractors" (HSPD 12). The Wilmington District Security Management Office shall submit contractor(s) information in order to complete the background investigation and make a recommendation to the Contracting Office of an employee's suitability for work on Government property. The Procuring Contracting Officer (PCO) has the right to deny any contractor or subcontractor employee from working on the contract based upon the results provided by the Wilmington District Security Management Office of the background investigation. The Government, Contractor, and subcontractors shall not permit any employee(s) access to drawings, blueprints, records, photos, sites, or projects until the Wilmington District Security Management Office has completed a review of such items and determined they can be released.

Contractor's failure to adhere can result in penalties, fines, or sanctions up to and including contract termination and/or forfeiture of future contract consideration.

Contractors shall submit a complete investigation packet for each contractor and subcontractor employee to the Wilmington District Security Management office within ten (10) working days after award of any contract, or prior to the individual being permitted unescorted access in or around all District facilities. The Contractor must also provide the following:

(1) Name of the Contract Specialist with whom he/she is working, (2) Project Name, (3) Contract Number and (4) Task Order Number when applicable.

The documents listed below are required:

SF 85, Questionnaire for Non-Sensitive Positions (see http://www.opm.gov/forms/ to print form). FD 258, Contractor Fingerprint Card (one card for digital prints, two for ink prints) (NOTE: a trained/qualified individual must take prints, ORI block on the FD 258 must be USOPM000Z) (Contractor Fingerprint Cards (FD-258) may be obtained by Contracting Division by contacting the Wilmington District Security Management office).

Contractor shall report any changes in personnel or at anytime conditions change at least five (5) working days prior to individual(s) need to have access to the site. The Contractor shall provide the same information as listed above for all new employees.

Following submission of paperwork, the Security Management Office will conduct an initial criminal check based upon the information provided. If

SECTION 01 11 01 Page 4 there are no issues, Security Management Office will make recommendations to the PCO or their Designated Representative. The Security Management Office cannot give approval due to unfavorable report(s). The Security Management Office shall coordinate with Office of Counsel and will jointly make recommendations to the PCO and/or the Designated Representative. The PCO will make the determination whether to allow the Contractor personnel to work on the site based on Security and Office of Counsel recommendations, and the PCO will advise Contractor of the decision.

1.6.1 Foreign Nationals

The Contractor shall provide the package listed above, as well as, additional materials noted below for all Foreign Nationals. The Contractor is to expect additional time in the approval process for all Foreign Nationals due to the level of review and elevation of the review to Headquarters Staff to accomplish. All Foreign Nationals must comply with the following paragraph:

In accordance with Engineering Regulation 380-1-18, "Technology Transfer, Disclosure of Information and Contacts with Foreign Representatives" dated 1 August 1996, Section 4, all foreign nationals who work on Corps of Engineers' contracts shall be approved by the Headquarters US Army Corps of Engineers (HQ USACE) Foreign Disclosure Officer before beginning work on this contract;

this regulation includes subcontractor employees. The Contractor shall submit to the Security Management Office, the names of all foreign nationals proposed for performance under this contract, along with documentation to verify legal admittance into the United States. Such documentation shall include at least one of the following a U.S. passport, Certificate of U.S. Citizenship (INS Form N-560 or N-561), Certificate of Naturalization (INS Form N-550 or N-570), Alien Registration Card with photograph (INS Form I-151 or I-551), Employment Authorization Card (INS Form I-688A), etc.

In order to assure forms are properly completed, and to minimize time delays, Contractor is encouraged to work closely with the Security Management Office. The Government will return, for correction, incomplete forms, illegible forms, etc., which will delay the contractor/subcontractor from beginning work.

Security requirements are subject to change in accordance with HSPD-12, Office of Personnel Management, regulation or policy changes, etc. The Government will add any changes to security requirements by modification to the contract. The Contractor shall contact the Security Management Office by phone, letter, or e-mail at the following numbers/addresses:

US Army Corps of Engineers ATTN: CESAW-SL 69 Darlington Avenue Wilmington, NC 28403

Mr. Greg Barr, phone (910)-251-4809, e-mail Gregory.E.Barr@usace.army.mil

1.7 AT/OPSEC REQUIREMENTS

Contractors are required to comply with the following:

Access and General Protection/Security Policy and Procedures. All Contractor and all associated subcontractor employees shall comply with

SECTION 01 11 01 Page 5 applicable installation, facility and area commander installation/facility access and local security policies and procedures (provided by government representative). The Contractor shall also provide all information required for background checks or background investigation and to meet installation/facility access requirements to be accomplished by installation Provost Marshal Office, Director of Emergency Services or Security Office. Contractor workforce must comply with all personal identity verification requirements as directed by DOD, HQDA and/or local policy. In addition to the changes otherwise authorized by the changes clause of this contract, should the Force Protection Condition (FPCON) at any installation or facility change, the Government may require changes in Contractor security matters or processes.

Pre-screen candidates using E-Verify Program. The Contractor must pre-screen Candidates using the E-verify Program http://www.uscis.gov/e-verify) website to meet the established employment eligibility requirements. The Vendor must ensure that the Candidate has two valid forms of Government issued identification prior to enrollment to ensure the correct information is entered into the E-verify system. An initial list of verified/eligible Candidates must be provided to the Contracting Officer's Representative no later than three (3) business days after the initial contract award.

1.8 RECORDKEEPING AND REPORTING

The Contractor shall maintain a roster of all background investigation requests. The roster shall be maintained and available for inspection by the Contracting Officer upon request. A copy will also be provided to the Contracting Officer on a monthly basis. At a minimum, the roster shall include the following information:

Full Name of Employee Employer Date Phase I Background Check Requested Date of Phase I Approval/Disapproval Date Phase II Background Investigation Requested Date of Phase II Approval/Disapproval Date Foreign National/Recent U.S. Citizen Check Requested Date Foreign National/Recent U.S. Citizen Check Approval/Disapproval

Other information may also be included on the roster. However, the Contractor is responsible for protecting all sensitive personal information such as social security numbers, birth dates, etc.

1.9 DRAWINGS

The Drawings reflect the work to be performed under this delivery order. In accordance with these Contract Specifications, the Contractor shall check all drawings immediately upon receipt, and verify the figures, dimensions, and the representation of the work, and shall promptly notify the Contracting Officer or their authorized representative of any discrepancies. Any omissions from the drawings or misdescription of details of the work which are manifestly necessary to carry out the intent of the drawings, or which are customarily performed, shall not relieve the Contractor from performing such omitted or misdescribed details of work.

1.10 INSPECTIONS AND ACCEPTANCE OF WORK

Items furnished under this delivery order shall be inspected in accordance with Section 35 20 16.53. The Contracting Officer or their authorized

SECTION 01 11 01 Page 6 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.

1.11 CONTRACTOR QUALITY CONTROL

The Contractor shall be responsible for quality control and shall establish and maintain an effective quality control system in accordance with all applicable specification sections. The quality control system shall consist of plans, procedures, and organization necessary to produce an end product which complies with the requirements of this contract. The system shall cover all fabrication, painting and delivery operations.

1.12 CONTRACT MODIFICATIONS (Change Orders)

Modifications shall be made in accordance with FAR 52.212-4).

1.13 SAFETY

Safety shall be the responsibility of the Contractor. Comply with the provisions of SPECIAL CONTRACT REQUIREMENTS Section of the specifications.

1.14 PERMITS, LICENSES, FEES AND TAXES

The Contractor shall ascertain the extent of, and pay for all necessary permits, licenses, fees, and taxes.

1.15 PROJECT CONFERENCES

Comply with the provisions of SPECIAL CONTRACT REQUIREMENTS Section of the specifications.

1.16 REFERENCE STANDARDS

Comply with the individual technical specifications sections and with Section 01 42 00 SOURCES FOR REFERENCE PUBLICATIONS.

1.17 FABRICATION PHOTOGRAPHS

Comply with Section 01 38 10.00 10 PROGRESS PHOTOGRAPHS of the specifications.

PART 2 PRODUCTS

2.1 PRODUCTS AND PARTS OF STANDARD MANUFACTURE

All materials, supplies and articles furnished so as to be incorporated into the work under this contract shall, whenever so specified and otherwise practicable, be standard products of recognized reputable manufacturers. All products specified by "similar or equal to" a particular brand name are for descriptive purposes only and are not to imply that the product is available from only that source.

PART 3 EXECUTION

3.1 COMBINED PRODUCTION SCHEDULE AND PROGRESS CHART

The Contractor shall, within fifteen (15) days after receipt of Notice of

SECTION 01 11 01 Page 7

Award, submit a proposed schedule showing how the Contractor proposes to perform the work, the dates on which he will start the several salient features, including procurement of materials, proposed government witness points, fabrication, assembly, testing, cost breakdown and the contemplated dates for completion and shipment. The schedule shall be in the form of a bar graph of suitable scale to indicate appropriately the percentage of work scheduled for completion at any time on the salient features as well as the completion of all work. The Contractor shall enter on the graph the actual progress at the end of each month, and shall immediately deliver a copy to the Contracting Officer or their authorized representative. These updated progress charts reflecting actual progress will be considered "Production Progress Reports" as used in SPECIAL CONTRACT REQUIREMENTS Section.

3.2 SEQUENCE OF WORK

The work shall be prosecuted in such order of precedence as best suits the Contractor's fabrication schedule. The Contractor shall perform the work in a diligent, effective manner, and shall schedule his operations in such a manner that the work is completed on time.

3.3 RECORD "AS-BUILT" DOCUMENTS

The preparation, updating, and submittal of "as-built" documents shall comply with Section 01 78 00 CLOSEOUT SUBMITTALS.

3.4 RECORDS AND REPORTS

All records, test reports and similar documentation produced in connection with quality control operations shall be promptly submitted to the Contracting Officer or their authorized representative as required by the specifications.

3.5 DELIVERY

The service gate to be furnished under this contract shall be delivered by truck to Falls Dam at Falls Dam Road, Wake Forest, North Carolina 27587.

The emergency gate to be furnished under this contract shall be delivered by truck to Jordan Dam Road, Moncure, North Carolina 27559. The gates shall be delivered as one completely welded gate unit. All appurtenant seals, bearing bars, guide bars, and guide wheel assemblies shall be attached to the gate for delivery. Upon delivery to Falls Dam and B.

Everett Jordan Dam, the Contractor and Contracting Officer or their authorized representative shall perform a joint inspection of the gates prior to off-loading. The Contractor shall document any additional damages that may have occurred during shipment of the gates. After this inspection is completed, the Contractor shall off load the gates from Contractor's truck and place in a pre-designated location at the project. The Contractor shall notify the Contracting Officer or their authorized representative at least 48 hours prior to the approximate time of delivery. The Contractor shall be responsible for the repair of any damages that occur during shipment of the gates to the Government. These repairs may be required to be performed at the location of fabrication.

All damages shall be corrected to the satisfaction of the Contracting Officer or their authorized representative at the Contractor's expense.

3.6 PAYMENT

No separate payment will be made under this section and all costs in

SECTION 01 11 01 Page 8 connection therewith, shall be incidental to the project costs and shall be included in the contract price.

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SECTION 01 11 01 Page 9

DIVISION 01 - GENERAL REQUIREMENTS

SECTION C-PART A 01 33 00 SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 SUMMARY

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

1.2.2 Approving Authority

1.2.3 Work

1.3 SUBMITTALS

1.4 SUBMITTAL CLASSIFICATION

1.4.1 Government Approved (G)

1.4.2 For Information Only

1.5 PREPARATION

1.5.1 Transmittal Form

1.5.2 Electronic File Format

1.6 INFORMATION ONLY SUBMITTALS

1.7 SUBMITTAL REGISTER

1.7.1 Use of Submittal Register

1.7.2 Contractor Use of Submittal Register

1.7.3 Approving Authority Use of Submittal Register

1.7.4 Contractor Action Code and Action Code

1.7.5 Copies Delivered to the Government

1.8 1.8 SUBMITTAL PROCEDURES

1.8.1 1.8.1 Procedures

1.8.2 1.8.2 Shop Drawings

1.8.3 1.8.3 Technical Data and Manufacturer's Literature

1.9 SCHEDULING

1.10 GOVERNMENT APPROVING AUTHORITY

1.11 DISAPPROVED SUBMITTALS

1.12 APPROVED SUBMITTALS

1.13 1.14 WITHHOLDING OF PAYMENT

1.14 APPROVED SAMPLES

1.15 STAMPS

1.16 1.16 PAYMENT

PART 2 PRODUCTS

PART 3 EXECUTION

ATTACHMENTS:

Appendix A - Submittal Register

SECTION 01 33 00 Page 1

01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 SUMMARY

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

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

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

Contractor's to check and approve all items prior to submittal and stamp, sign, and date indicating action taken. Proposed deviations from the contract requirements are to be clearly identified. Include within submittals items such as: Contractor's, manufacturer's, or fabricator's drawings; descriptive literature including (but not limited to) catalog cuts, diagrams, operating charts or curves; test reports; test cylinders;

samples; O&M manuals (including parts list); certifications; warranties;

and other such required submittals.

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

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

1.2 DEFINITIONS

1.2.1 Submittal Descriptions (SD)

Submittals requirements are specified in the technical sections.

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

SD-01 Preconstruction Submittals

Submittals which are required prior to or commencing work on site.

Certificates of insurance

Surety bonds

List of proposed Subcontractors

SECTION 01 33 00 Page 2

List of proposed products

Construction progress schedule

Network Analysis Schedule (NAS)

Submittal register

Schedule of prices or Earned Value Report

Health and safety plan

Work plan

Quality Control(QC) plan

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

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

Investigation reports.

Daily logs and checklists.

Final acceptance test and operational test procedure.

SECTION 01 33 00 Page 3

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.

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-10 Operation and Maintenance Data

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

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

1.2.2 Approving Authority

Approving Authority shall be the Contracting Officer.

1.2.3 Work

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

1.3 SUBMITTALS

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

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

SECTION 01 33 00 Page 4

SD-01 Preconstruction Submittals

Submittal Register; G

1.4 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.4.1 Government Approved (G)

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

1.4.2 For Information Only

Submittals not requiring Government approval will be for information only.

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

1.5 PREPARATION

1.5.1 Transmittal Form

Use the attached sample transmittal form (ENG Form 4025) for submitting both Government approved and information only submittals in accordance with the instructions on the reverse side of the form. 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 Electronic File Format

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

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

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

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

SECTION 01 33 00 Page 5

1.6 INFORMATION ONLY SUBMITTALS

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

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

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

1.7 SUBMITTAL REGISTER

The Contractor shall prepare and maintain submittal register, as the work progresses. Do not change data which is output in columns (c), (d), (e), and (f) as delivered by Government; retain data which is output in columns (a), (g), (h), and (i) as approved. A submittal register showing items of equipment and materials for which submittals are required by the specifications is provided as an attachment. This list may not be all inclusive and additional submittals may be required. The Contractor shall maintain a complete list of all submittals, including completion of all data columns. Dates on which submittals are received and returned by the Government will be included on the submittals returned by the Government to the Contractor.

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

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

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

Column (f): Indicate approving authority for each submittal.

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

1.7.1 Use of Submittal Register

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

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

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

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

SECTION 01 33 00 Page 6

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

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

1.7.2 Contractor Use of Submittal Register

Update the following fields with each submittal throughout contract.

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

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

Column (l) List date of submittal transmission.

Column (q) List date approval received.

1.7.3 Approving Authority Use of Submittal Register

Update the following fields.

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

Column (l) List date of submittal receipt.

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

Column (q) List date returned to Contractor.

1.7.4 Contractor Action Code and Action Code

Entries for columns (j) and (o), are to be used are as follows (others may be prescribed by Transmittal Form):

A - Approved as submitted [Completed]

B - Approved, except as noted on drawings [Completed]

C - Approved, resubmission required [Resubmit]

D - Returned by correspondence [Completed]

E - Disapproved (See attached) [Resubmit]

F - Receipt acknowledged [Completed]

G - Other (Specify) [Resubmit]

X - Receipt acknowledged, does not comply [Resubmit]

R – Acceptable for Release for Construction

[Completed] K – Government concurs with Interim Design

[Completed]

SECTION 01 33 00 Page 7

1.7.5 Copies Delivered to the Government

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

1.8 1.8 SUBMITTAL PROCEDURES

Submittals shall be made as follows:

1.8.1 1.8.1 Procedures

a. Four (4) copies of submittals shall be submitted to:

USACE Huntington District Office 69 Darlington Avenue

ATTN: CESAW-CT

Wilmington, NC 28403

Transmit each item under the attached sample transmittal form ENG 4025.

b. After the Government's review of submittal, revise and resubmit as required, identifying changes made since previous submittal.

c. Update schedule every thirty (30) calendar days and submit.

d. Distribute copies of review submittals to concerned persons.

Instruct recipients to promptly report any inability to comply with provisions.

e. Correspondence shall be sequentially numbered throughout the duration of the contract.

f. A copy of all submittals and correspondence developed under this contract shall be delivered to Wilmington District in PDF (Adobe Acrobat) format at appropriate submittal times, e.g., project completion, with each submittal as required in the Schedule of Work, etc. The electronic digital data and files shall be provided on CD-ROM or via email, as directed by the Contracting Officer. The electronic digital media shall be in a format which can be read and processed by the Wilmington District.

1.8.2 1.8.2 Shop Drawings

Reproduced contract drawings submitted as shop drawings will not be acceptable. Shop drawings maximum size (cut edges) shall be 30 by 42 inches. All drawings submitted shall have a clear space 3 by 4 inches in size, in the lower right hand corner just above the title in which the Contracting Officer or his authorized representative may indicate the action taken. When blueprints are submitted the space shall be white. All final shop drawings shall be of reproducible quality.

1.8.3 1.8.3 Technical Data and Manufacturer's Literature

Where materials are stocked with the manufacturer, catalog data, including specifications and full descriptive matter, may be submitted as shop drawings. When catalog data includes non-applicable data, the applicable data shall be clearly designated and identified by item number, item name, and name of manufacturer.

SECTION 01 33 00 Page 8

1.9 SCHEDULING

Schedule and submit concurrently submittals covering component items forming a system or items that are interrelated. Include certifications to be submitted with the pertinent drawings at the same time. A minimum of thirty (30) calendar days (exclusive of mailing time) shall be allowed and shown on the register for review and approval. No delay damages or time extensions will be allowed for time lost in late submittals.

a. Coordinate scheduling, sequencing, preparing and processing of submittals with performance of work so that work will not be delayed by submittal processing. Adequate time (a minimum of thirty (30) calendar days exclusive of mailing time) shall be allowed and shown on the register for review and approval. Allow for potential resubmittal of requirements.

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

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

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

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

1.10 GOVERNMENT APPROVING AUTHORITY

When approving authority is Contracting Officer, the Government will:

a. Note date on which submittal was received from QC Manager.

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

Upon completion of review of submittals requiring Government approval, stamp and date approved submittals. Two (2) copies of the approved submittal will be retained by the Contracting Officer and two (2) 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 so identified and returned, as described above.

1.11 DISAPPROVED SUBMITTALS

Make corrections required by the Contracting Officer. If the Contractor considers any correction or notation on the returned submittals to constitute a change to the contract drawings or specifications; notice as

SECTION 01 33 00 Page 9 required under the FAR clause entitled CHANGES, is to be given to the Contracting Officer. Contractor is responsible for the dimensions and design of connection details and construction of work. Failure to point out deviations may result in the Government requiring rejection and removal of such work at the Contractor's expense.

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

1.12 APPROVED SUBMITTALS

The Contracting Officer's approval or acceptance of submittals is not to be construed as a complete check, and indicates only that the general method of construction, materials, detailing and other information are satisfactory. Approval or acceptance shall not relieve the Contractor of the responsibility for any error which may exist, as the Contractor under the Contractor Quality Control (CQC) requirements of this contract is responsible for the satisfactory construction of all work. After submittals have been approved or accepted by the Contracting Officer, no resubmittal for the purpose of substituting materials or equipment will be considered unless accompanied by an explanation of why a substitution is necessary.

1.13 1.14 WITHHOLDING OF PAYMENT

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

1.14 APPROVED SAMPLES

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

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

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

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

Contractor to replace such materials or equipment to meet contract requirements.

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

SECTION 01 33 00 Page 10

1.15 STAMPS

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

| CONTRACTOR |

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

| SIGNATURE: __________________________________________________________ |

| TITLE: ______________________________________________________________ |

| DATE: _______________________________________________________________ |

1.16 1.16 PAYMENT

No separate payment will be made for the work covered under this section and all costs in connection therewith shall be included in the applicable contract line item price to which the work pertains.

PART 2 PRODUCTS

Not Used

PART 3 EXECUTION

Not Used

SECTION 01 33 00 Page 11

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