A21 - (C) Specifications and Drawings_16 March 2023.pdf

Specifications for

FABRICATION OF STOPLOG UNITS

B. EVERETT JORDAN DAM,

CHATHAM, NORTH CAROLINA.

DEPARTMENT OF THE ARMY

HUNTINGTON DISTRICT, CORPS OF ENGINEERS

HUNTINGTON, WEST VIRGINIA

March 2023

Certified Final Documents - RTA

This page was intentionally left blank for duplex printing.

BEJ01

BIDDING SCHEDULE

ESTIMATED UNIT ESTIMATED

ITEM NO. DESCRIPTION QUANTITY UNIT PTICE AMOUNT

1 Fabrication of Two (2) 1 Job Sum $_________

Stoplog Units

2 Final "As-built" Documents 1 Job Sum $________

3 Shipment and Delivery 1 Job Sum $_________

Total (Items 1 thru 3) $_________

Fabrication of Stoplog Units at B. Everett Jordan Dam BEJ01

PROJECT TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

01 11 01 GENERAL REQUIREMENTS

01 33 00 SUBMITTAL PROCEDURES

01 38 10.00 10 PROGRESS PHOTOGRAPHS

01 42 00 SOURCES FOR REFERENCE PUBLICATIONS

01 78 00 CLOSEOUT SUBMITTALS

DIVISION 05 - METALS

05 59 20 FABRICATION OF HYDRAULIC STEEL STRUCTURES

DIVISION 09 - FINISHES

09 97 02 PAINTING: HYDRAULIC STRUCTURES

DIVISION 35 - WATERWAY AND MARINE CONSTRUCTION

35 20 16.53 STOPLOG UNITS

-- End of Project Table of Contents --

PROJECT TABLE OF CONTENTS Page 1

SECTION TABLE OF CONTENTS

DIVISION 01 - GENERAL REQUIREMENTS

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 Controlled Unclassified Information (CUI)

1.6 SECURITY REQUIREMENTS

1.6.1 For All Contracts 1-Year and Subsequent Option Years:

1.6.2 For Contractors Requiring DOD Common Access Cards (CAC)

1.6.3 Foreign Nationals

1.7 AT/OPSEC REQUIREMENTS

1.7.1 General Security Requirements and Guidance

1.7.2 Antiterrorism (AT) Level 1 Training

1.7.3 Suspicious Activity Reporting Training

1.7.4 Pre-Screen Candidates Using E-Verify Program

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

-- End of Section Table of Contents --

SECTION 01 11 01 Page 1

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 (2020; Errata 1 2022) Bridge Welding Code

ASTM INTERNATIONAL (ASTM)

ASTM A709/A709M (2021) Standard Specification for Structural Steel for Bridges

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|MCX Investigation Package for Contractor and Subcontractor Employees;

G|MCX

Production Schedule; G|MCX

Production schedule shall be submitted for approval.

Updated Progress Chart; G|MCX

Updated progress charts shall be submitted monthly for approval.

SD-07 Certificates

Contractor Quality Control Plan (CQC); G|MCX

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 two (2) stoplog units as specified and shown on the drawings. The stoplog units shall be a complete welded steel structures 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. The stoplog unit has a total damming surface of 4 feet 8 inches , and 24 feet 6 inches in width. The stoplog unit consist of lifting lugs, perimeter J-bulb and/or block rubber seals, and steel wheels/shaft.

FCM are shown on the Contract Drawings and include all attachments and connections to these members as defined in AWS D1.5M/D1.5. All materials to be welded must be ASTM A709/A709M, killed steel, grade as specified or shown on the drawings. Use Grade 50 steel unless otherwise shown or specified. Mill repairs of base metal are prohibited. Unless otherwise indicated or specified, meet toughness requirements for fracture critical members in tension in accordance with ASTM A709/A709M for Zone 2. All materials used for the construction of fracture critical components must meet the applicable requirements of ASTM A709/A709M for fracture critical components. Welding for fracture critical members must meet all requirements of AWS D1.5M/D1.5 AASHTO/AWS Fracture Control Plan (FCP) for Nonredundant Members Clause.

This Contract shall meet the requirements per Section 05 59 20 FABRICATION OF HYDRAULIC STEEL STRUCTURES. Delivery shall be made as described in these specifications.

Individuals that work for the Contractor, or whom are hired by the Contractor, that will require access to the B. Everett Jordan 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 stoplog unit has been delivered to the projects.

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 Controlled Unclassified Information (CUI)

Controlled Unclassified Information (CUI): The unauthorized disclosure of the information contained in the attached documents is forbidden to protect the Government's interest in compliance with DoD Directive 5143.01 and DoD Manual 5200.01, and as follows:

a. During working hours, steps will be taken to minimize the risk of access by unauthorized personnel, such as not reading, discussing, or leaving CUI information unattended where unauthorized personnel are present. After working hours, CUI information will be stored in unlocked containers, desks, or cabinets if the government or government-contract building provides security for continuous monitoring of access. If building security is not provided, the information will be stored in locked desks, file cabinets, bookcases, locked rooms, or similarly secured areas. The concept of a controlled

SECTION 01 11 01 Page 3 environment means there is sufficient internal security measures in place to prevent or detect unauthorized access to CUI. For DoD, an open storage environment meets these requirements.

b. CUI information and material may be transmitted via first class mail, parcel post, or, bulk shipments. When practical, CUI information may be transmitted electronically (e.g., data, website, or e-mail), via approved secure communications systems or systems utilizing other protective measures such as Public Key Infrastructure or transport layer security (e.g., https). Avoid wireless telephone transmission of CUI when other options are available. CUI transmission via facsimile machine is permitted; however, the sender is responsible for determining whether appropriate protection will be available at the receiving location before transmission (e.g., facsimile machine attended by a person authorized to receive CUI; facsimile machine located in a controlled government environment).

c. Record and non-record copies of CUI documents will be disposed of in accordance with Chapter 33 of Title 44, U.S.C. and the DoD Components' records management directives. When destroying CUI, including in electronic form, agencies must do so in a manner making it unreadable, indecipherable, and irrecoverable. If the law, regulation, or government-wide policy specifies a method of destruction, agencies must use the method prescribed.

d. Record and non-record CUI documents may be destroyed by means approved for destroying classified information or by any other means making it unreadable, indecipherable, and unrecoverable the original information such as those identified in NIST SP 800-88 and in accordance with Section 2002.14 of Title 32, CFR.

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 shall receive authorization to be on site at these 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) personal information to complete the basic background investigation in order to 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 of the background investigation provided by the Wilmington District Security Management Office. 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 an Operations Security (OPSEC) review of such items and determined they can be released.

1.6.1 For All Contracts 1-Year and Subsequent Option Years:

Contractors shall submit a complete investigation packet for each contractor and subcontractor employee to the Wilmington District Security Management office within 10 working days after award of any contract, or prior to the individual being permitted unescorted access in or on District facilities.

SECTION 01 11 01 Page 4

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 (4) Task Order Number when applicable, and (5) Security Information sheet on each employee working on site must be submitted directly to the Wilmington District Security Office.

The Contractor must provide a full legal name, complete SSN#, Date of Birth, Place of Birth (City and State) and Driver's license number if available. It is the Contractor's responsibility to ensure the above information is accurate and legible, otherwise delays may occur.

Contractors shall have background checks completed for their employees annually in the case of Contracts with option periods. For instance, if the employee was cleared in May of 2018, they shall be cleared again in May of 2019. It is the Contractor's responsibility to ensure that each employee's security is up to date. Failure to comply may lead to possible removal from the project/jobsite.

The Contractor must ensure if new employees are brought in to work on an existing Contract with the U.S. Army Corps of Engineers (USACE), they must process the employee through the Wilmington District USACE Security Management Office for background purposes.

1.6.2 For Contractors Requiring DOD Common Access Cards (CAC)

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 any time conditions change at least 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 Wilmington District Security Management Office will conduct an initial criminal check based upon the information provided. If there are no issues, the Wilmington District Security Management Office will make recommendations to the PCO or their Designated Representative. The Wilmington District Security Management Office cannot give approval due to unfavorable report(s). The Wilmington District Security Management Office shall coordinate with Office of Counsel and will jointly make recommendations to the PCO and/or the Designated Representative should a background investigation come back with derogatory information. 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 the Contractor of the decision.

1.6.3 Foreign Nationals

The Contractor shall provide the package listed above, as well as additional materials noted below for all Foreign Nationals. The Contractor

SECTION 01 11 01 Page 5 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 complete. 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, the Contractor is encouraged to work closely with the Wilmington District 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 shall add any changes to security requirements by modification to the contract.

The Contractor shall contact the Wilmington District Security Management Office by phone, letter, or email at the following numbers/addresses:

CESAW-SL

69 Darlington Avenue Wilmington, NC 28403

Mark A. Simms, phone (910) 251-4809;

Email: Mark.A.Simms@usace.army.mil

1.7 AT/OPSEC REQUIREMENTS

1.7.1 General Security Requirements and Guidance

The security requirements described below apply to all contract personnel (including employees of the prime Contractor ("Contractor") and all subcontractor employees) supporting the performance requirements of this contract. The Contractor is responsible for compliance within these security requirements. Questions regarding security matters shall be addressed to the designated Government representative (e.g., Contracting Officer Representative (COR), Requiring Activity (RA) representative, or Contracting Officer (if a COR or other RA representative is not appointed)). Contract personnel are critical to the overall security and safety of US Army Corps of Engineers (USACE) installations, facilities and activities, and security awareness training contributes to those efforts.

The Department of Defense (DoD) and Army security training specified below, if applicable, are performance requirements; all applicable contract personnel shall complete initial training within 30 calendar days of

SECTION 01 11 01 Page 6 contract award or the date new contract personnel begin performance on the contract. Within five business days from the completion of training, the Contractor shall provide written documentation (e.g., email or memorandum) to the Government Representative. The documentation shall include the names of the contract personnel trained and which training they completed; the Contractor shall maintain training records as part of their contract files and be prepared to provide copies of training certificates to the Government representative. Contractor personnel and vehicles are subject to search when entering federal installations. Additionally, all contract personnel shall comply with Force Protection Condition (FPCON) measures, Random Antiterrorism Measures (commonly referred to as "RAMs"), and Health Protection Condition (HPCON) measures. The Contractor is responsible for meeting performance requirements during elevated FPCON and/or HPCON levels in accordance with applicable RA plans and procedures--this includes identifying mission essential and non-mission essential personnel. In addition to the changes otherwise authorized by the changes clause of this contract, should the FPCON or HPCON levels at any idividual facility or installation change, the Government may implement security changes that affect contract personnel. The Contractor shall ensure all contract personnel are aware of their security responsibilties, including any site-specific requirements indentified in local policies or procedures.

1.7.2 Antiterrorism (AT) Level 1 Training

All contract personnel requiring routine access to Army installations, facilities, and controlled access areas, or requiring network access shall complete initial and annual refresher AT Level 1 awareness training. Online AT Level 1 awareness training is available at https://jko.jten.mil/ (website subject to change).

1.7.3 Suspicious Activity Reporting Training

All contract personnel shall receive initial and annual refresher training from the RA representative on the local suspicious activity reporting program. This locally developed training provides contract personnel with general information on suspicious behavior, and guidance on reporting suspicious activity to the project manager, security representative or law enforcement entity.

1.7.4 Pre-Screen Candidates Using E-Verify Program

Contractors shall comply with the requirements set forth in FAR clause 52.222-54 Employment Eligibility Verification and FAR Subpart 22.18 in using the E-Verify Program (https://www.e-verify.gov/) (website subject to change) to meet the contract employment eligibility requirements.

Contractors are encouraged to cooperate with Federal and State agencies responsible for enforcing labor requirements to include eligibility for employment under United States immigration laws in accordance with FAR 22.102-1(i). An initial list of verified/eligible candidiates shall be provided to the COR no later than three 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, and submit it to the Contracting Officer to become part of the official file.

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

SECTION 01 11 01 Page 7 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 EMERGENCY BULKHEAD. 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 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.

SECTION 01 11 01 Page 8

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 features, including procurement of materials, 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.

SECTION 01 11 01 Page 9

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 stoplog units to be furnished under this contract shall be delivered by truck to B. Everett Jordan Dam at 2080 Jordan Dam Access Road Chatham, North Carolina 27559-0144. The stoplog units shall be delivered as one completely welded gate unit. All appurtenant seals, bearing bars, and guide bars shall be attached to the gate for delivery. Upon delivery to B.

Everett Jordan Dam, the Contractor and Contracting Officer or their authorized representative shall perform a joint inspection of the stoplog unit prior to off-loading. The Contractor shall document any additional damages that may have occurred during shipment of the stoplog units. After this inspection is completed, the Contractor shall off load the stoplog units from Contractor's truck using a method that has been approved by the Contracting Officer. 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 stoplog units to the Government.

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

-- End of Section --

SECTION 01 11 01 Page 10

DIVISION 01 - GENERAL REQUIREMENTS

01 33 00

SUBMITTAL PROCEDURES

PART 1 GENERAL

1.1 DEFINITIONS

1.1.1 Submittal Descriptions (SD)

1.1.2 Approving Authority

1.1.3 Work

1.2 SUBMITTALS

1.3 SUBMITTAL CLASSIFICATION

1.3.1 Government Approved

1.3.2 Information Only

1.4 PREPARATION

1.4.1 Transmittal Form

1.4.2 Electronic File Format

1.5 INFORMATION ONLY SUBMITTALS

1.6 VARIATIONS / SUBSTITUTION REQUESTS

1.6.1 Considering Variations

1.6.2 Proposing Variations

1.6.3 Warranting That Variations Are Compatible

1.6.4 Review Schedule Is Modified

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 SUBMITTAL PROCEDURES

1.8.1 Procedures

1.8.2 Shop Drawings

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 APPROVED SAMPLES

1.14 WITHHOLDING OF PAYMENT

1.15 STAMPS

PART 2 PRODUCTS

PART 3 EXECUTION

SECTION 01 33 00 Page 1

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. 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 DEFINITIONS

1.1.1 Submittal Descriptions (SD)

Submittal requirements are specified in the technical sections. Submittals are identified by Submittal Description (SD) numbers and titles as follows:

SD-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.

SECTION 01 33 00 Page 2

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. (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.

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.

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 must state the test results; and indicate whether the material, product, or system has passed or failed the test.

Factory test reports.

1.1.2 Approving Authority

Approving Authority shall be the Contracting Officer.

1.1.3 Work

As used in this section, on- and off-site fabrication required by contract

SECTION 01 33 00 Page 3 documents, including labor necessary to produce submittals, fabrication, materials, products, equipment, and systems incorporated or to be incorporated in such fabrication.

1.2 SUBMITTALS

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

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

SD-01 Preconstruction Submittals

Submittal Register; G|MCX

1.3 SUBMITTAL CLASSIFICATION

Submittals are classified as follows:

1.3.1 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.

1.3.2 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.

1.4 PREPARATION

1.4.1 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.

1.4.2 Electronic File Format

Provide submittals other than material samples in both hard copy (paper) and electronic formats. The electronic submittal file must be compiled as a single, complete document, to include the Transmittal Form described in Paragraph TRANSMITTAL FORM. The electronic submittal file must be named specifically according to its contents (e.g. 01 45 00.00-1.2_Quality Control Plan.pdf).

Electronic files must be of sufficient quality that all information is legible. Electronic format shall be in Adobe.PDF format, unless otherwise specified or directed by the Contracting Officer's Representative (COR).

Whenever possible, PDF files shall be generated from original documents so that the text included in the PDF file is both searchable and can be copied. If documents are scanned, Optical Character Resolution (OCR)

SECTION 01 33 00 Page 4 routines are required. Files exceeding 30 pages shall be indexed and bookmarked 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. Electronic documents over 10MB shall be provided on a CD/DVD, 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 as specified in this or other specification sections. Up to six (6) additional hard copies of any submittal may be requested from the Contractor at the discretion of the Contracting Officer, at no additional cost to the Government.

1.5 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.

1.6 VARIATIONS / SUBSTITUTION REQUESTS

Variations from contract requirements require Government approval and will be considered where advantageous to Government.

1.6.1 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.

1.6.2 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.

SECTION 01 33 00 Page 5

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.

1.6.3 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.

1.6.4 Review Schedule Is Modified

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

1.7 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. The Contractor shall prepare and maintain the 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. 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.

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 CQC 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 CQC plan and the project schedule:

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

Column (g) Contractor Submit Date: Scheduled date for approving

SECTION 01 33 00 Page 6 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.

1.7.2 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 CQC.

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 in the Government-furnished submittal register program.

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

B - Approved, except as noted on drawings

C - Approved, except as noted on drawings. Refer to attached sheet resubmission required.

D - Will be returned by separate correspondence.

E - Disapproved (See attached)

F - Receipt acknowledge.

FX - Receipt acknowledged, does not comply as noted with contract requirements.

G - Other (specify)

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 SUBMITTAL PROCEDURES

Submittals shall be made as follows:

1.8.1 Procedures

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

US Army Corps of Engineers ATTN: US Army Corps of Engineers

ATTN: CELRH-DSMMCX-GE

502 8th street Huntington, WV. 25701

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 Huntington 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 Huntington District.

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 prints 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 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

SECTION 01 33 00 Page 8 data shall be clearly designated and identified by item number, item name, and name of manufacturer.

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."

1.10 GOVERNMENT APPROVING AUTHORITY

When approving authority is Contracting Officer, the Government will:

a. Note date on which submittal was received.

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

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

Contractor shall make corrections required by the Contracting Officer. If the Contractor considers any correction or notation on the returned

SECTION 01 33 00 Page 9 submittals to constitute a change to the contract drawings or specifications; notice as required under the 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, the Contractor shall make such revisions and resubmit 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 APPROVED SAMPLES

Approval of a sample is only for the characteristics or use named in such approval and is not to be construed to change or modify any contract requirements. Before submitting samples, the Contractor is 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 is to replace such materials or equipment to meet contract requirements.

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

1.14 WITHHOLDING OF PAYMENT

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

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: _______________________________________________________________ |

PART 2 PRODUCTS

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