A2 - FALLS AND JORDAN04 Specs 12-16-19.pdf

Specifications for

EMERGENCY GATE AT

FALLS DAM AND

SERVICE AND

EMERGENCY GATE AT

B. EVERETT JORDAN

Final Submittal

DEPARTMENT OF THE ARMY

HUNTINGTON DISTRICT, CORPS OF ENGINEERS

HUNTINGTON, WEST VIRGINIA

December 2019

This page was intentionally left blank for duplex printing.

FALLS04

BIDDING SCHEDULE

ITEM

NO. DESCRIPTION

ESTIMATED

QUANTITY UNIT

UNIT

PRICE

ESTIMATED

AMOUNT

1 Final "As-Built" Documents - Falls Dam 1 Job Sum

2 Final "As-Built" Documents - B. Everett Jordan 1 Job Sum

3 Fabrication of One (1) Service Gate - B. Everett Jordan 1 Job Sum

4 Fabrication of One (1) Emergency Gate - Falls Dam 1 Job Sum

5 Shipment and Delivery - B. Everett Jordan 1 Job Sum

6 Shipment and Delivery - Falls Dam 1 Job Sum

ITEM

NO. DESCRIPTION

ESTIMATED

QUANTITY UNIT

UNIT

PRICE

ESTIMATED

AMOUNT

7 Final "As-Built" Documents - B. Everett Jordan 1 Job Sum

8 Fabrication of One (1) Emergency Gate - B. Everett Jordan 1 Job Sum

9 Shipment and Delivery - B. Everett Jordan 1 Job Sum

GENERAL FEATURES: The Contract shall consist of the fabrication and delivery of one (1) emergency gate to Falls Dam in Wake Forest, North Carolina and one (1) service gate at B. Everett Jordan Dam in Moncure, North Carolina. Delivery shall be made via truck transportation as described in these specifications.

GENERAL FEATURES - OPTION 1: Option 1 work consists of the fabrication and delivery of one (1) emergency gate to B.

Everett Jordan Dam in Moncure, North Carolina. Delivery shall be made via truck transportation as described in these specifications.

OPTION 1

Total Bid Items 1 thru 6

Total Bid Items 7 thru 9

Emerg. Gate at Falls Dam & Service & Emerg. Gate at B. Everett FALLS04

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 B 01 33 00 SUBMITTAL PROCEDURES

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

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

PUBLICATIONS

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

DIVISION 05 - METALS

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

STRUCTURES

DIVISION 09 - FINISHES

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

DIVISION 35 - WATERWAY AND MARINE CONSTRUCTION

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

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1

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

-- End of Section Table of Contents --

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 service contract. These requirements are in addition to those specified in other sections of the service contract.

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

U.S. ARMY CORPS OF ENGINEERS (USACE)

EM 385-1-1 (2014) Safety and Health Requirements Manual

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.

SECTION 01 11 01 Page 2

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 with the option of an additional one (1) emergency gate as specified and shown on the drawings. The gates shall be a complete welded steel structure with fabrication and assembly performed in a 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 B. Everett Jordan emergency gate (Option) 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 gate consists of lifting lugs, perimeter J-bulb and/or block rubber seals, and guide wheels. The B. Everett Jordan service gate is a vertical lift gate with a total damming surface measuring 19 feet-8 inches in height and 9 feet-8-inch in width. The service gate consists of lifting lugs, perimeter J-bulb and/or block rubber seals, and guide wheels. The Falls Dam emergency gate is a vertical lift gate with a total damming surface measuring 19 feet-10 inches in height and 9 feet-5 inches in width. The 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), Category "ABR (Advance 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 fabricator may also be certified under AISC Quality Certification Program for Certified Hydraulic Steel Structures Fabricator. 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) emergency gate to the Falls Dam at Wake Forest, North Carolina and delivery of one (1) emergency gate and one (1) service 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/or 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 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

SECTION 01 11 01 Page 3 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 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

SECTION 01 11 01 Page 4

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 any time 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 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:

SECTION 01 11 01 Page 5

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

AT Level I Training: All contractor employees, to include subcontractor employees, requiring access to Army installations, facilities, controlled access areas, or require network access, shall complete AT Level I awareness training within 30 calendar days after contract start date or effective date of incorporation of this requirement into the contract, whichever is applicable. Upon request, the contractor shall submit certificates of completion for each affected contractor employee and subcontractor employee, to the COR or to the contracting officer (if a COR is not assigned), within 5 calendar days after completion of training by all employees and subcontractor personnel. AT Level I awareness training is available at the following website:

http://jko.jten.mil/courses/atl1/launch.html; or it can be provided by the RA ATO in presentation form which will be documented via memorandum.

Access and General Protection/Security Policy and Procedures: All contractor and all associated sub-contractors employees shall comply with applicable installation, facility and area commander installation/facility access and local security policies and procedures (provided by government representative). The contractor shall also provide all information required for background checks 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 (FAR clause 52.204-9, Personal Identity Verification of Contractor Personnel) 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.

For contractors who do not require CAC, but require access to a DoD facility or installation: Contractor and all associated sub-contractors employees shall comply with adjudication standards and procedures using the National Crime Information Center Interstate Identification Index (NCIC-III) and Terrorist Screening Database (TSDB) (Army Directive 2014-05 / AR 190-13), applicable installation, facility and area commander installation/facility access and local security policies and procedures (provided by government representative, as NCIC and TSDB are available), or, at OCONUS locations, in accordance with status of forces agreements and other theater regulations.

Will be escorted in areas where they may be exposed to classified and/or sensitive materials and/or sensitive or restricted areas: All contract employees, including subcontractor employees who are not in possession of the appropriate security clearance or access privileges, will be escorted in areas where they may be exposed to classified and/or sensitive materials and/or sensitive or restricted areas.

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

SECTION 01 11 01 Page 6 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 COR no later than 3 business days after the initial contract award." *When contracts are with individuals, the individuals will be required to complete a Form I-9, Employment Eligibility Verification, with the designated Government representative. This Form will be provided to the Contracting Officer and shall become part of the official contract file.

Processing of background checks should be coordinated with the Wilmington District Security Manager.

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 service contract.

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 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

SECTION 01 11 01 Page 7 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

Applicable provisions of the U.S. Army Corps of Engineers Safety and Health Requirements Manual, EM 385-1-1, will govern all work performed under this task order. The safety manual may be found at:

http://www.publications.usace.army.mil/Portals/76/Publications/EngineerManuals/ EM_385-1-1_2008_Consolidated.pdf?ver=2013-09-04-161030-210

Safety while at the project site will be in compliance with the Corps of Engineers Safety Manual EM 385-1-1. Use of appropriate safety equipment is mandatory and not limited to hard hats and steel-toed shoes.

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 Award, submit a proposed schedule showing how the Contractor proposes to perform the work, the dates on which he will start the several salient

SECTION 01 11 01 Page 8 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 emergency 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 service and emergency gates 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.

SECTION 01 11 01 Page 9

3.6 PAYMENT

No separate payment will be made under this section and all costs in connection therewith, shall be incidental to the project costs and shall be included in the contract price.

-- End of Section --

SECTION 01 11 01 Page 10

DIVISION 01 - GENERAL REQUIREMENTS

SECTION C-PART B 01 33 00 SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 REFERENCES

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

1.4.2 Information Only

1.5 PREPARATION

1.5.1 Transmittal Form

1.5.2 Digital Project Documentation

1.5.2.1 Contractor Provided Digital Submittals: Digital submittals shall meet the following criteria:

1.5.2.2 Multiple File Submittals

1.6 INFORMATION ONLY SUBMITTALS

1.7 VARIATIONS / SUBSTITUTION REQUESTS

1.7.1 Considering Variations

1.7.2 Proposing Variations

1.7.3 Warranting That Variations Are Compatible

1.7.4 Review Schedule Is Modified

1.8 SUBMITTAL REGISTER

1.8.1 Use of Submittal Register

1.8.2 Contractor Use of Submittal Register

1.8.3 Approving Authority Use of Submittal Register

1.8.4 Contractor Action Code and Action Code

1.8.5 Copies Delivered to the Government

1.9 SUBMITTAL PROCEDURES

1.9.1 Procedures

1.9.2 Shop Drawings

1.9.3 Technical Data and Manufacturer's Literature

1.10 SCHEDULING

1.11 GOVERNMENT APPROVING AUTHORITY

1.12 DISAPPROVED SUBMITTALS

1.13 APPROVED SUBMITTALS

1.14 APPROVED SAMPLES

1.15 WITHHOLDING OF PAYMENT

1.16 CONTRACTOR SUBMITTAL PROCESS CHECKLIST

1.17 STAMPS

1.18 PAYMENT

PART 2 PRODUCTS

PART 3 EXECUTION

SECTION 01 33 00 Page 1

SECTION C-PART B

01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

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

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

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

Contractor's Quality Control (CQC) System Manager to check and approve all items prior to submittal and stamp, sign, and date indicating action taken.

Proposed deviations from the contract requirements are to be clearly identified on the submitted ENG Form 4025. 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; 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. Samples remaining upon completion of the work shall be picked up and disposed of in accordance with manufacturer's Material Safety Data Sheets (MSDS) and in compliance with existing laws and regulations.

1.1 REFERENCES

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

U.S. ARMY CORPS OF ENGINEERS (USACE)

ER 1180-1-6 Construction Quality Management

1.2 DEFINITIONS

a. ".pdf" is the file extension of a digital file as used by computer programs like Adobe Acrobat and other similar programs.

b. Digitally Sign: Provision of a personal signature using the digital signature or signing functions within Adobe Acrobat Professional or similar software. Digital signature should not "lock" (see below) the document.

c. "Lock" means to digitally sign a .pdf document and utilize the lock function during signing that results in other users not being able to change or modify the .pdf document.

d. "Naming Convention" is how an actual digital file is named followed by the file type three letter convention.

SECTION 01 33 00 Page 2

e. Quality Assurance Representative (QAR): Government employee responsible for construction quality assurance as outlined in ER 1180-1-6. The QAR reports to the Project Engineer.

f. Scan or scanning is the process of taking a hardcopy paper document and processing through a digital scanner into a digital .pdf file format.

g. ".zip" means a file composed of multiple files that have been package collectively in a "zipped" file with the file extension ".zip".

h. "flatten" means to print a file to Adobe Acrobat Professional or similar software, so that a digital signature or other digital "comments" and/or "markups" cannot be removed from the file.

1.2.1 Submittal Descriptions (SD)

Submittal 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 a notice to proceed. Submittals required prior to the start of the next major phase of the construction on a multi-phase contract. Schedules or tabular list of data or tabular list including location, features, or other pertinent information regarding products, materials, equipment, or components to be used in the work, submitted prior to contract notice to proceed or next major phase of construction.

Certificates of insurance

Surety bonds

List of proposed subcontractors

List of proposed products

Construction Progress Schedule

Network Analysis Schedule (NAS)

Submittal register

Work plan

Quality control (QC) plan

Environmental protection plan

Accident Prevention Plan

SD-02 Shop Drawings

Governmental approval is required for extensions of design, critical materials, deviations, equipment whose compatibility with the entire system must be checked, and other items as designated by the Contracting Officer. Within the terms of the Contract Clause 52.236-21

SECTION 01 33 00 Page 3

SPECIFICATIONS AND DRAWINGS FOR CONSTRUCTION Alternate 1, they are considered to be "shop drawings." The term "shop drawings" is understood to mean the following: working drawings, diagrams, layouts, schematics, descriptive literature, product data, samples, illustrations, schedules, certificates, performance and test data, and similar materials furnished by the Contractor to explain detail-specific portions of the work required by the contract.

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

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

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

SD-03 Product Data

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

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

SD-04 Samples

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

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

Field samples and mock-ups constructed on the project site establish standards by which the ensuring work can be judged. Includes assemblies or portions of assemblies which are to be incorporated into the project and those which will be removed at conclusion of the work.

SD-06 Test Reports

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

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

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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 product, system or material meets specification requirements. Must be dated after award of project contract and clearly name the project.

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

Confined space entry permits

Text of posted operating instructions

SD-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.

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 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.

1.3 SUBMITTALS

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

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

SD-01 Preconstruction Submittals

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Submittal register; G|EC

1.4 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.4.1 Government Approved

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

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

1.4.2 Information Only

Submittals not requiring Government approval will be for information only.

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

1.5 PREPARATION

1.5.1 Transmittal Form

The sample transmittal form, ENG Form 4025-R, attached to the end of this section shall be used for submitting both Government approved and information only submittals 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 Digital Project Documentation

All submittals and project documentation shall be provided to the Government in digital format. Digital format means electronic file in ".pdf" (Adobe) format and/or any of the other formats accepted by the Government. Hardcopies, or printed copies, of submittals provided to the Government will not be accepted unless coordinated with the Government and approved by the Contracting Officer on a situational basis or as otherwise required in the contract. The Contracting Officer reserves the right to request in writing hardcopies of specific submittals on a situational basis. If the contract states that the Contractor shall submit for a specific item, but does not define the submission format, the Contractor can assume that a digital transmission will suffice.

1.5.2.1 Contractor Provided Digital Submittals: Digital submittals shall meet the following criteria:

a. The Contractor shall utilize a licensed copy of Adobe Acrobat Professional for preparation of submittals. Adobe Acrobat reader does not contain the functionality required to meet these requirements.

Adobe XI Professional (Version 11.0.19) is the version used by the Government and Contractor provided submittals shall be compatible with this version.

b. Digital File Naming Conventions. Name all submittals and correspondence as follows:

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i. Submittals. Naming Convention: Transmittal Number-R_Brief Description.pdf

Example: 32 01 00-1-R_Pavement Marking.pdf

c. Each submittal shall be transmitted as outlined in Paragraph DIGITAL PROJECT DOCUMENTATION. Assure files follow proper digital file naming convention as outlined in Paragraph DIGITAL FILE NAMING

CONVENTIONS.

d. Each submittal shall be transmitted so that submittal information is included as an "attachment" for each specific item.

The signed ENG Form 4025 shall be submitted with the main transmittal document package. Assure files follow proper digital file naming convention as outlined in Paragraph DIGITAL FILE NAMING

CONVENTIONS.

e. All submittals shall contain an ENG Form 4025 that has been digitally signed. Documentation shall not be password protected or contain digital signatures that "lock" the document.

f. All submittals containing multiple items shall be provided as described above and in sequential order as described on the ENG Form 4025.

g. All digital .pdf submittals prepared by the Contractor shall be created from the original digital source into the formats noted above and not scanned into raster type images. The intent of this is to maintain functional options within the viewing software. It is understood and acceptable that some documentation prepared by the Contractor cannot meet these requirements, (e.g. cutsheets obtained from an external source). Limited scanned documentation provided by subcontractors, vendors, and suppliers, may be allowed. The details regarding these types of documents shall be coordinated with and approved by the Contracting Officer for each specific situation that arises and is not addressed in this specification. All submittals from Designers of Record or created with a CAD program shall be printed into an original digital format (no scanning allowed).

h. All submitted documentation and correspondence shall be properly rotated for viewing of all text in a horizontal standard format. The document(s) shall not be submitted that requires the Government to rotate the document to read the pages or be required to "tilt their head" in order to read the document.

i. Large documents such as applications for payment or documents that require a hardcopy shall be provided in a folder or with paper/binder clips and without staples if submitted. The digital copy of the submittal shall be provided as specified herein.

j. Submit all digital documentation via a web-based interface file transfer or similar as provided and directed by the Contracting Officer.

k. All submittals and documents with licensed professional signature such as a Professional Engineer stamp/signature are required to have a hardcopy provided.

l. The ENG Form 4025 and following documents in the submittal shall be

SECTION 01 33 00 Page 7 oriented upright for easy viewing. Submittals oriented other than upright shall be rejected by the Government.

m. All submittals received after 12:00 pm local time by the Government will be considered received 8:00 am the following workday after all applicable copy(s) have been provided.

n. If approved by the Contracting Officer for submittal(s) to be transmitted to the Government using a CD/DVD media, the media is to be labeled with the Contract Number, Contractor's Name, Date, and Submittal ID Number and attached to the ENG Form 4025. Label or markings shall be legible. The CD shall be submitted in a plastic case or paper sleeve.

o. Submittal shall not have form data or signature blocks placed on the ENG Form 4025 by the Contractor.

p. Submittals received not in accordance with these requirements will not be accepted by the Contracting Officer and will be considered incomplete and unreviewable. Upon receipt of a non-conforming submittal, the Government will reject the submittal and notify the Contractor of the deficiencies(s) for correction. Impacts to the contract and schedule by the Contractor's inability to comply with these requirements are the responsibility of the Contractor to correct.

q. Submittals shall not include digital "markups" or "comments" unless the "markups" or "comments" have been properly flattened. This requirement is to assure all information is visible to review without reliance on "markup" or "comment" program settings.

1.5.2.2 Multiple File Submittals

For submittals that require submission of multiple files the Contractor shall comply with the following: (Example: a submittal that requires files in addition to a .pdf such as; ".xer" Primavera file, an excel ".xlsx" file, and multiple ".jpg").

a. Each submittal shall be transmitted as outlined in Paragraph DIGITAL PROJECT DOCUMENTATION. Assure files follow proper digital file naming convention as outlined in Paragraph DIGITAL

FILE NAMING CONVENTIONS.

1.6 INFORMATION ONLY SUBMITTALS

Normally submittals for information only will not be returned. Upon review and coding of a digital submittal, the Contracting Officer will return the coded submittal in .pdf format via web-based file transfer to the Contractor. 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.

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1.7 VARIATIONS / SUBSTITUTION REQUESTS

Variations from contract requirements require Government approval pursuant to Contract Clause FAR 52.236-21 and will be considered where advantageous to Government.

1.7.1 Considering Variations

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

(VECP).

Specifically point out variations from contract requirements in transmittal letters. The Government reserves the right to override and reject any submittals previously approved if the Contractor fails to have pointed out variations from the specifications in respective transmittal letters.

Failure to point out deviations may result in the Government requiring rejection and removal of such work at no additional cost to the Government.

1.7.2 Proposing Variations

When proposing variation, deliver written request to the Contracting Officer, with documentation of the nature and features of the variation and why the variation is desirable and beneficial to Government. If lower cost is a benefit, also include an estimate of the cost savings. In addition to documentation required for variation, include the submittals required for the item. Clearly mark the proposed variation in all documentation.

Check the column "variation" of ENG Form 4025 for submittals which include proposed deviations requested by the Contractor. Set forth in writing the reason for any deviations and annotate such deviations on the submittal. The Government reserves the right to rescind inadvertent approval of submittals containing unnoted deviations.

1.7.3 Warranting That Variations Are Compatible

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

1.7.4 Review Schedule Is Modified

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

1.8 SUBMITTAL REGISTER

Attached at the end of this section is one set of ENG Form 4288 listing 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. 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

SECTION 01 33 00 Page 9 inclusive and additional submittals may be required. Maintain a submittal register for the project in accordance with Section H, SPECIAL

REQUIREMENTS.

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

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

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

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

1.8.1 Use of Submittal Register

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

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

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

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

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

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

1.8.2 Contractor Use of Submittal Register

Update the following fields in the Government-furnished submittal register program 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.

1.8.3 Approving Authority Use of Submittal Register

Update the following fields in the Government-furnished submittal register program.

Column (b) Transmittal Number: Contractor assigned list of

SECTION 01 33 00 Page 10 consecutive numbers.

Column (l) List date of submittal receipt.

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

Column (q) List date returned to Contractor.

1.8.4 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…