Construction Management Division Procedures Manual CONSTRUCTION MANAGEMENT DIVISION PROCEDURES MANUAL VOLUME 1: ADMINISTRATION VOLUME 2: CONSTRUCTION PROJECT MANAGEMENT VOLUME 3: QUALITY ASSURANCE / INSPECTION VOLUME 4: SAFETY VOLUME 5: ENVIRONMENTAL / PERMITS VOLUME 6: PROFESSIONAL SERVICE, ON-CALL, AND OTHER CONTRACTS GARY J. CARDAMONE DIRECTOR OF CONSTRUCTION MANAGEMENT NOVEMBER 2009 MANUAL NO.: E PREFACE The Port of Long Beach (POLB) Construction Management Division (CMD) is responsible for managing all construction contracts awarded by the POLB. The Construction Management Division Procedures Manual (CMDPM) is intended as a resource for all Construction Management Division personnel. The CMDPM provides a standardized approach for: administering POLB construction contracts; providing Quality Assurance; obtaining and managing professional service contracts; and the general administration of the Construction Management Division. The purpose of the CMDPM is to: Define the roles and responsibilities for the individuals involved in a process Provide the detailed steps involved in a process Describe how the CMD interfaces with other Bureaus/Divisions Provide an orientation and training reference for new CMD staff and consultants The CMDPM is not a contract document. It does not impose any obligations or requirements on contractors. Also, this manual cannot cover every possible scenario or circumstance that might occur. It is intended to provide policy and procedure guidelines to supplement an individual’s knowledge, experience, and judgment. Each Section of the CMDPM is issued and revised independently. A summary of the current version status for each Section can be found in the Table of Contents. A current updated master copy of this manual is stored on N:\Construction-Inspection Group\CMD Procedures Manual. It is the responsibility of the manual owner to ensure they have the most current version of each Section. The CMDPM is a “living” document. All CMD personnel are encouraged to provide feedback on ways to improve the manual, refine procedures, or include additional procedures where appropriate. Any proposed modifications to the manual should be sent to the Director of Construction Management. Gary J. Cardamone Director of Construction Management CMD Procedures Manual iii Preface - VER 01 11/20/09 Construction Management Division Procedures Manual TABLE OF CONTENTS Section 1. VER Date VOLUME 1: ADMINISTRATION 1.1. INTRODUCTION ................................................................................................. 01 11/20/09 1.2. MISSION OF THE CONSTRUCTION MANAGEMENT DIVISION ........................................... 01 11/20/09 1.3. ORGANIZATION OF THE CONSTRUCTION MANAGEMENT DIVISION (CMD) ......................... 1.3.1. 1.3.2. 1.3.3. CMD Organizational Chart .................................................................... 01 Roles and Responsibilities .................................................................... Authority ............................................................................................ 11/20/09 1.4. GENERAL ADMINISTRATION .................................................................................. 1.4.1. 1.4.2. 1.4.3. 1.4.4. 1.4.5. 1.4.6. 1.4.7. 1.4.8. 1.4.9. New Employee Checklist ...................................................................... Working Hours .................................................................................... Staff Meetings ..................................................................................... Facilities and Equipment ...................................................................... Charge Points ..................................................................................... MWO Procedure .................................................................................. Sub-Requisitions ................................................................................. Project Listing ..................................................................................... Work Policies of the CMD ..................................................................... 1.5. PERFORMANCE MEASURES .................................................................................... 1.6. CONSTRUCTION MANAGEMENT DIVISION PROCEDURES MANAUAL ................................... 1.7. DEFINITIONS .................................................................................................... 2. VOLUME 2: CONSTRUCTION PROJECT MANAGEMENT 2.1. INTRODUCTION ................................................................................................. 2.1.1. 2.1.2. 2.1.3. 2.1.4. Project Phases .................................................................................... Construction Project Organization Chart ............................................... Project Roles, Authority, and Responsibilities ........................................ Project Interfaces ................................................................................ 2.2. DOCUMENT CONTROL ......................................................................................... 2.2.1. 2.2.2. 2.2.3. 2.2.4. 2.2.5. Project Files ........................................................................................ Incoming Correspondence ................................................................... Outgoing Correspondence.................................................................... Internal Correspondence ..................................................................... E-mail................................................................................................. 2.3. DESIGN PHASE .................................................................................................. 2.3.1. Constructability Review Procedures ...................................................... 2.4. PROCUREMENT / PRE-CONSTRUCTION PHASE............................................................ 01 2.4.1. 2.4.2. Procurement / Pre-Construction Phase Checklist ................................... 01 Advertising for Bids ............................................................................. CMD Procedures Manual v 11/20/09 11/20/09 Table of Contents - VER 05 01/24/13 TABLE OF CONTENTS Section VER 2.4.3. 2.4.4. 2.4.5. 2.4.6. 2.4.7. 2.4.8. 2.4.9. 2.4.10. Award Process .................................................................................... Construction Management Budget ........................................................ Conformed Specification and Plans ....................................................... “Hand-off” Meeting.............................................................................. Expedition .......................................................................................... Field Office Set-up ............................................................................... Pre-Construction Meeting ..................................................................... 01 Partnering........................................................................................... Date 06/28/10 2.5. CONSTRUCTION PHASE........................................................................................ 2.5.1. 2.5.2. 2.5.3. 2.5.4. 2.5.5. 2.5.6. 2.5.7. 2.5.8. 2.5.9. 2.5.10. 2.5.11. 2.5.12. 2.5.13. 2.5.14. 2.5.15. 2.5.16. 2.5.17. 2.5.18. 2.5.19. 2.5.20. 2.5.21. 2.5.22. 2.5.23. 2.5.24. Notice to Proceed (NTP) ...................................................................... 01 Permits and Licenses ........................................................................... Emergency Phone List ......................................................................... Meetings............................................................................................. Weekly Reports ................................................................................... Request for Information (RFI) .............................................................. Submittal ............................................................................................ Construction Schedules ........................................................................ Progress Payments .............................................................................. SBE/VSBE Program .............................................................................. Contract Time ..................................................................................... Liquidated Damages ............................................................................ Quality Management ........................................................................... Project Photos ..................................................................................... Survey ................................................................................................ As-Built Drawings (Red-line) ................................................................ Change Management ........................................................................... 02 Subcontractor Substitution ................................................................... General Contract Administration ........................................................... Third Party Claims ............................................................................... Termination of Contract ....................................................................... Final Inspection (Punch Lists) .............................................................. Substantial Completion and Commencement of Guarantee .................... Partial Acceptance ............................................................................... 12/18/09 2.6. CONTRACT CLOSEOUT/POST-CONSTRUCTION PHASE .................................................. 01 02/05/10 2.6.1. 2.6.2. 2.6.3. 2.6.4. 2.6.5. 2.6.6. 2.6.7. 3. Contract Closeout Checklist .................................................................. 01 Final Acceptance ................................................................................. Operation and Maintenance Manuals .................................................... Warranty Work ................................................................................... As-Built Drawings ................................................................................ Post-Construction Review .................................................................... 01 Contract Closeout Data Sheet .............................................................. 01 01/24/13 02/05/10 12/18/09 06/28/10 VOLUME 3: QUALITY ASSURANCE / INSPECTION 3.1. GOALS ............................................................................................................ 01 12/18/09 3.2. ORGANIZATIONAL CHART / ROLES AND RESPONSIBILITIES............................................ 01 12/18/09 CMD Procedures Manual vi Table of Contents - VER 05 01/24/13 TABLE OF CONTENTS Section VER Date 3.3. INSPECTION PROCEDURES BY DISCIPLINE - GENERAL .................................................. 3.3.1. 3.3.2. 3.3.3. 3.3.4. 3.3.5. 3.3.6. 3.3.7. 3.3.8. 3.3.9. 3.3.10. 3.3.11. 3.3.12. 3.3.13. 3.3.14. Dredging ............................................................................................ 01 Railroad Track ..................................................................................... 02 Striping .............................................................................................. 01 Fencing .............................................................................................. Electrical ............................................................................................. Storm Drain ........................................................................................ 01 Sewers ............................................................................................... Cement Treated Base (CTB)................................................................. Street Lighting and Traffic Signals ........................................................ Landscape and Irrigation ..................................................................... Engineering Fabrics ............................................................................. Microtunneling and Jacking .................................................................. Painting and Coating ........................................................................... Harbor Development Permits ............................................................... 11/20/09 06/28/10 11/20/09 06/28/10 3.4. INSPECTION PROCEDURES BY DISCIPLINE - DEPUTY INSPECTIONS / TECHNICIANS .............. 3.4.1. 3.4.2. 3.4.3. 3.4.4. 3.4.5. 3.4.6. 3.4.7. 3.4.8. 3.4.9. 3.4.10. 3.4.11. 3.4.12. 3.4.13. 3.4.14. 3.4.15. Reinforced Concrete ............................................................................ 01 Prestressed Concrete ........................................................................... Concrete Batch Plant Inspection ........................................................... ACI Concrete Field Testing Technician .................................................. Pile Driving ......................................................................................... Pile Plant Inspection ............................................................................ Drilled-In-Anchors ............................................................................... Structural Masonry .............................................................................. Spray Applied Fireproofing ................................................................... Welding .............................................................................................. High Strength Bolting .......................................................................... Steel Shop Fabrication ......................................................................... Grading/Soils ...................................................................................... Asphalt Paving .................................................................................... 01 Asphalt Batch Plant ............................................................................. 12/18/09 06/28/10 3.5. DAILY REPORTS ................................................................................................ 3.6. NON-COMPLIANCE NOTICES ................................................................................. 3.7. PROJECT PHOTOS .............................................................................................. 3.8. EMERGENCY RESPONSE PROCEDURES ...................................................................... 3.9. OBTAINING OUTSIDE SERVICES FOR MATERIALS TESTING AND INSPECTION ...................... 4. VOLUME 4: SAFETY 4.1. GENERAL ......................................................................................................... 4.2. DUTIES AND RESPONSIBILITIES ............................................................................. 4.3. MANAGING CONSTRUCTION PROJECT SAFETY HAZARDS ............................................... 4.4. CONTRACTOR JOBSITE ACCIDENT .......................................................................... 4.5. VISITORS TO JOBSITE ......................................................................................... 4.6. JOBSITE HAZARD ASSESSMENT .............................................................................. 4.7. SITE SPECIFIC SAFETY MANUALS ........................................................................... CMD Procedures Manual vii Table of Contents - VER 05 01/24/13 TABLE OF CONTENTS Section VER Date 4.8. TAILGATE SAFETY MEETINGS ................................................................................ 4.9. OFF-SITE OFFICE INSPECTION .............................................................................. 4.10. HARBOR DEPARTMENT SAFETY POLICIES................................................................ 5. VOLUME 5: ENVIRONMENTAL / PERMITS 5.1. HDP PERMIT AND INSPECTION.............................................................................. 5.2. NPDES PERMIT ................................................................................................ 5.3. DEWATERING PERMIT ......................................................................................... 5.4. ACOE DREDGING PERMIT ................................................................................... 5.5. RWQCB DREDGING PERMIT ................................................................................ 5.6. COLB BUILDING DEPARTMENT PERMITS.................................................................. 5.7. UNFORESEEN HAZARDOUS MATERIAL PROCEDURE ...................................................... 5.8. DUST CONTROL AND AQMD PERMITS..................................................................... 6. VOLUME 6: PROFESSIONAL SERVICE, ON-CALL, AND OTHER CONTRACTS 6.1. PROFESSIONAL SERVICE CONTRACTS ...................................................................... 6.1.1. 6.1.2. 6.1.3. 6.1.4. 6.1.5. 6.1.6. RFP / RSOQ ........................................................................................ Selection Procedure ............................................................................. Contract Process ................................................................................. Authorization for Services .................................................................... Invoices .............................................................................................. Annual Inspection and Testing Contracts .............................................. 6.2. ON-CALL CONSTRUCTION CONTRACTS .................................................................... 6.2.1. 6.2.2. 6.2.3. 6.2.4. 6.2.5. 6.2.6. 6.2.7. 6.2.8. Specification Preparation ..................................................................... Bid and Award .................................................................................... Contract Administration ....................................................................... Request for Annual Contract Services (RACS) ........................................ Annual Contract Task Order (ACTO) ..................................................... Recycling Rubble Program ................................................................... Progress Payments .............................................................................. Tracking Requests ............................................................................... 6.3. INFORMAL CONTRACTS........................................................................................ CMD Procedures Manual viii Table of Contents - VER 05 01/24/13 ABBREVIATIONS / ACRONYMS AA Administrative Analyst CPR Certified Payroll Records AC Asphalt Cement CR Constructability Review ACI American Concrete Institute CRSI Concrete Reinforcing Steel Institute ACOE Army Corp of Engineers CSP Corrugated Steel Pipe ACTO Annual Contract Task Order CTB Cement Treated Base ADPICS Advanced Purchasing and Inventory Control System CWO Capital Work Order CWR Continuous Welded Rail AQMD Air Quality Management District AREMA American Railway Engineering and Maintenance-of-Way Association Cx Commissioning CxA Commissioning Agent ASTM American Society for Testing and Materials DBE Disadvantaged Business Enterprise DCC Document Control Clerk/Center DCC IN Document Control Center Incoming Correspondence DCC OUT Document Control Center Outgoing Correspondence DCHE Deputy Chief Harbor Engineer DCM Director of Construction Management Demob De-mobilization DI Deputy Inspector DPO Direct Purchase Order DWG Drawing E&O Errors and Omissions ED Executive Director of the Long Beach Harbor Department EEC Engineering and Environmental Committee AWS American Welding Society / Alternative Work Schedule BHC Board of Harbor Commissioners BIC Ball-in-Court BIM Building Information Modeling BMP Best Management Practice (SWPPP) BPO Blanket Purchase Order C/AT City Attorney C/AU City Auditor CAB Crushed Aggregate Base CAL/OSHA California Occupational Safety and Health Administration CAP Corrugated Aluminum Pipe CBC California Building Code CCC California Coastal Commission EIR Environmental Impact Report CCDS Contract Closeout Data Sheet ENV-PLN Environmental Planning Division CCR California Code of Regulations CHE Chief Harbor Engineer FAMIS Financial Accounting Management Information System CI Chief Inspector FD Front Desk CJP Complete Joint Penetration FIO For Information Only CM Construction Manager FY Fiscal Year CMB Crushed Miscellaneous Base GIS Geographic Information System CMD Construction Management Division GP General Provision CMDPM Construction Management Division Procedures Manual HAZMAT Hazardous Materials HDP Harbor Development Permit CMU Concrete Masonry Unit CO Change Order HR Human Resources Division I Inspector COLA City of Los Angeles ICC International Code Council COLB City of Long Beach CPC Contractor Proposed Change JV Journal Voucher LBFD Long Beach Fire Department CPCO Contractor Potential Change Order LBGD Long Beach Gas & Oil Department CMD Procedures Manual ix Abbreviations / Acronyms - VER 01 11/20/09 ABBREVIATIONS / ACRONYMS LBHD City of Long Beach Harbor Department (a.k.a. POLB) Post-Con Post-Construction PPE Personal Protective Equipment LD Liquidated Damages LEED Leadership in Environment and Energy Design Pre-Con Pre-Construction PT Post Tensioning LI Lead Inspector QA Quality Assurance LS Lump Sum QC Quality Control MCN Make Corrections Noted RACS MLLW Mean Lower Low Water Request for Annual Contract Services RAR Revise and Resubmit Mob Mobilization MOU Memorandum of Understanding RCSC Research Council on Structural Connections MT Magnetic Particle Testing REJ Rejected MTBM Micro Tunneling Boring Machine REV Revision / Revised MUR Monthly Utilization Report (SBE/VSBE) RFC Request for Change MWO Maintenance Work Order RFI Request for Information RFP Request for Proposal NDT Nondestructive testing NEC National Electrical Code RFQ Request for Qualifications RM Risk Management NEMA National Electrical Manufacturers Association RWQCB NET No Exceptions Taken Regional Water Quality Control Board SBE Small Business Enterprise NFPA National Fire Protection Association NIOSH National Institute of Occupational Safety and Health SN Stop Notice SNR Stop Notice Release SOQ Statement of Qualifications SOV Schedule of Values SP Special Provision SSI Submit Specified Item SSPWC Standard Specifications for Public Works Construction ("Greenbook") Sub-Req. Sub-Requisitions SWPPP Storm Water Pollution Prevention Plan T&M Time and Materials TMD Temperature Measuring Device TSR Terminal Service Representative USCG United States Coast Guard UT Ultrasonic Testing VER Version VSBE Very Small Business Enterprise WATO Work Allowance Task Order WPS Welding Procedure Specification NPDES National Pollutant Discharge Elimination System NTE Not-to-Exceed NTP Notice to Proceed O&M Operation and Maintenance OSHA Occupational Safety and Health Administration OT Overtime OTM Other Track Material PCC Portland Cement Concrete PHL Pacific Harbor Line PI Principal Inspector PM Program Manager PO Purchase Order POCN Purchase Order Change Notice (a.k.a. POCO) POCO Purchase Order Change Order (a.k.a. POCN) POLA Port of Los Angeles POLB Port of Long Beach (a.k.a. LBHD) CMD Procedures Manual x Abbreviations / Acronyms - VER 01 11/20/09 FLOWCHART SYMBOLS Flowchart Layout: Role / Position Procedure Name Swim Lane – Contains the activities or process steps the Role/Position is responsible for. Phase Separator – Indicates where a process transitions from one phase to another. Process Symbols: Symbol Name Description Process Describes a process or action step. D.x D.x Procedure Reference D.x Cross-references the procedure number in the written procedure section. SubProcess A pre-defined process containing multiple process flow steps which are formally defined elsewhere. The text within the symbol should include a reference to the Manual Section where the Sub-Process is defined. Decision Indicates a question. The flow lines out of the symbol will indicate which alternate path to take based on the answer to the question. D.x D.x D.x D.x Document A process step which produces a document. MultiDocument A process step which produces multiple documents. Expedition/ Computer Process A process which involves the Construction Management software (Primavera Expedition/Contract Manager), or another computer software. Flow Line Indicates the direction of the process flow. START Start Terminal Indicates the start point of the flow chart. END End Terminal Indicates the end point of the flow chart. or “Or” Gate Indicates two or more alternate process flow paths. and “And” Gate Indicates concurrent or parallel processes. 1 On-Page Connector A connector indicating a jump from one point in the process flow to another on the same page. Used to avoid conflicting flow lines. A Off-Page Connector Shows the continuation of a process flowchart onto another page. Annotation Provides additional detail related to the process step. Typically includes distribution and/or routing information. D.3 Distribution: and/or Copy Routing: CMD Procedures Manual xi VER 01 12/18/09 Construction Management Division Procedures Manual Volume 2 - Construction Project Management 2.4 Procurement / Pre-Construction Phase 2.4 PROCUREMENT / PRE-CONSTRUCTION PHASE The Procurement Phase is the process by which the Port obtains a Contractor under a DesignBid-Build project delivery method. The Procurement Phase begins when the project is advertised for bids, and concludes when the construction contract is Conditionally Awarded by the Board of Harbor Commissioners. The Program Management Division is responsible for the Procurement Phase activities, which include: advertising for bids; conducting the Pre-Bid Meeting; answering bidder’s questions; producing Addenda as necessary; opening and analyzing bids; notifying the Engineering and Environmental Committee of bids received; and requesting the Board of Harbor Commissioners approve conditional award of a contract to the lowest responsive bidder. The Pre-Construction Phase begins once the construction contract is Conditionally Awarded by the Board of Harbor Commissioners, and concludes when the Notice to Proceed is issued by the Construction Management Division (CMD). The Program Management Division is responsible for processing the contract during the Pre-Construction Phase. Upon execution of the contract by the Executive Director, the project is “handed off” to the CMD and the CMD becomes responsible for all activities related to the construction contract. Preparation for the Construction Phase begins during the Procurement Phase and continues through the Pre-Construction Phase by completing the following activities: Monitoring the status of the contract bid and award Assigning resources to the project Finalizing the CM budget estimate and contingency recommendation and transmitting it to the Program Manager within two working days after receipt of bids Monitoring plan check / permit status Verifying site availability Preparing project files Preparing the Quality Assurance plan Initiating requests for materials testing and/or inspection services Reviewing the drawings and specifications to become more familiar with the phasing, tenant and other third-party coordination, and any other special requirements DOCUMENT APPROVAL: VER Date 01 11/20/09 Approved By: Gary J. Cardamone Director of Construction Management REVISION HISTORY: VER Date CMD Procedures Manual 2.4 Pre-Con VER 01.docx Summary of Changes Page 1 of 1 2.4 - VER 01 2.4.1 Procurement / Pre-Construction Phase Checklist 2.4.1 PROCUREMENT / PRE-CONSTRUCTION PHASE CHECKLIST INDEX: Section Page A. Flowchart .................................................................... 2 B. Purpose and Policy Overview ........................................ 3 C. Roles and Responsibilities ............................................. 3 D. Procedure ................................................................... 4 E. Exhibit(s) 1. Procurement / Pre-Construction Checklist ................. 5 DOCUMENT APPROVAL: VER Date 01 11/20/09 Approved By: Gary J. Cardamone Director of Construction Management REVISION HISTORY: VER Date CMD Procedures Manual 2.4.1 Pre-Con Checklist VER 01.docx Summary of Changes Page 1 of 7 2.4.1 - VER 01 2.4.1 Procurement / Pre-Construction Phase Checklist A. FLOWCHART CMD Procedures Manual 2.4.1 Pre-Con Checklist VER 01.docx Page 2 of 7 2.4.1 - VER 01 2.4.1 Procurement / Pre-Construction Phase Checklist B. PURPOSE AND POLICY OVERVIEW The purpose of the Procurement/Pre-Construction Phase Checklist is to provide Construction Management Team members with a quick summary reminder of activities that occur during the Procurement and Pre-Construction Phases, and provide a status summary for supervisors and managers to ensure activities are completed in a timely manner. A Procurement/Pre-Construction Phase Checklist shall be filled out for all construction contracts. The Construction Manager assigned to the project is responsible for filling out the checklist and obtaining the status of the various items in the checklist from the project team members. However, every project team member is encouraged to use the checklist as a reference. This Section refers to the policies and procedures for the checklist only. Policies and procedures for the various items within the checklist may be found under their associated Section in the CMD Manual. C. ROLES AND RESPONSIBILITIES 1. Front Desk: Provide status of tasks for which they are responsible. 2. DCC: Provide status of project file set-up. 3. Administrative Analyst: Provide status of contract execution and Business License. 4. Lead Inspector: Provide status on Quality Management Plan. 5. Principal Inspector: Provide status on Quality Management Plan. 6. Construction Manager: Complete the Checklist and ensure all items are completed in a timely manner. Obtain status updates from the various individuals responsible for completing the tasks. Notify CM Supervisor of issues preventing the timely completion of any item. 7. CM Supervisor: Review checklist periodically. Verify completion of items, and sign final Checklist. Assist in resolving issues as necessary. 8. DCHE I: Provide status of On-Call Inspection & Material Testing Services. 9. DCHE II: Provide status of contract award. Review checklist periodically. 10. DCM: Provide status of contract award. Review checklist as necessary. Receive final copy. Other Bureau/Division Roles: 1. PM: Provides status during Bidding Phase, Plan Check/Permit information, and Charge Point and Capital Work Order funding status. 2. PM Admin Controls: Provides status of contract execution. CMD Procedures Manual 2.4.1 Pre-Con Checklist VER 01.docx Page 3 of 7 2.4.1 - VER 01 2.4.1 Procurement / Pre-Construction Phase Checklist D. PROCEDURE: 1. The DCM assigns a CM to a project. 2. The CM obtains a copy of the most current Procurement / Pre-Construction Phase Checklist (Form: CHKLST-PRECON) from N:\Construction-Inspection Group\Construction Forms\Chklst-PreCon (version date).xlsx. 3. The CM inputs the date each item is complete as soon as the item is complete. For items the CM is not directly responsible for completing, the CM obtains status updates from the responsible party. 4. The CM notifies the CM Supervisor of issues delaying the timely completion of any item. 5. The CM provides a copy of the Checklist to the CM Supervisor as requested. 6. Once all items have been completed, the CM signs the final version and gives to the CM Supervisor. 7. The CM Supervisor verifies completion of each item and signs the final Checklist. 8. The CM routes a copy of the signed final Checklist to the CM Supervisor, DCHE II, DCM, and file. 9. The CM includes a copy of the signed final Checklist with draft copy of the Notice to Proceed. E. EXHIBIT: 1. “Procurement / Pre-Construction Phase Checklist” (File: N:\Construction-Inspection Group\Construction Forms\Chklst-PreCon (version date).xlsx) CMD Procedures Manual 2.4.1 Pre-Con Checklist VER 01.docx Page 4 of 7 2.4.1 - VER 01 2.4.1 Procurement / Pre-Construction Phase Checklist Exhibit 1: Procurement / Pre-Construction Phase Checklist CMD Procedures Manual 2.4.1 Pre-Con Checklist VER 01.docx Page 5 of 7 2.4.1 - VER 01 2.4.1 Procurement / Pre-Construction Phase Checklist CMD Procedures Manual 2.4.1 Pre-Con Checklist VER 01.docx Page 6 of 7 2.4.1 - VER 01 2.4.1 Procurement / Pre-Construction Phase Checklist CMD Procedures Manual 2.4.1 Pre-Con Checklist VER 01.docx Page 7 of 7 2.4.1 - VER 01 2.4.9 Pre-Construction Meeting 2.4.9 PRE-CONSTRUCTION MEETING INDEX: Section Page A. Flowchart .................................................................................. 2 B. Purpose and policy overview....................................................... 3 C. Roles and responsibilities ........................................................... 3 D. Procedure ................................................................................. 4 E. Exhibits..................................................................................... 6 1. Pre-Construction Meeting Agenda Template (Page 1 of 5) ......... 7 2. Pre-Construction Meeting List of Invitees Template .................. 8 DOCUMENT APPROVAL: VER Date 01 6/28/10 Approved By: G.J. Cardamone, P.E. Director of Construction Management REVISION HISTORY: VER Date CMD Procedures Manual 2.4.9 - Pre-Con Meeting VER 01.docx Summary of Changes Page 1 of 8 2.4.9 - VER 01 2.4.9 Pre-Construction Meeting A. FLOWCHART Pre-Construction Meeting DCM CM Supervisor Admin Support Section CM START D.1 D.1 Track Status of Contract Execution. Notify CM when fully executed. Is Contract fully Executed? NO YES D.2 Schedule PreConstruction Meeting and reserve conference room. Coordinate with Contractor, DCM, and Inspector. D.4 D.5 Review and Comment D.3 Prepare draft PreConstruction Meeting Agenda and list of invitees and route for review Review and Comment D.6 Finalize Pre-Construction Meeting Agenda and list of invitees D.9 D.9 Sign Prepare Wage Requirements and Retention of Monies letters D.8 Notify POLB project staff, consultants, tenant(s), selected lab, and any thirdparties impacted by project of the Pre-Con Meeting D.7 Send agenda to Contractor and remind Contractor of items they are responsible for bringing to Pre-Con Meeting D.10 Obtain MUR file from SBE Office D.11 D.12 Create CD for Contractor Conduct Pre-Construction Meeting D.13 D.14 Distribution: DCC (original to project file) Chief Surveyor CM Program Manager CM Supervisor Terminal Service Rep DCHE II SBE Administrator DCHE I Contractor Chief Inspector Designer Principal Inspector (meeting attendees) Construction Inspector Prepare and sign Pre-Construction Meeting Minutes. D.14-16 DCC OUT Distribute Meeting Minutes (Go to CMDPM 2.2.3) END CMD Procedures Manual 2.4.9 - Pre-Con Meeting VER 01.docx Page 2 of 8 2.4.9 - VER 01 2.4.9 Pre-Construction Meeting B. PURPOSE AND POLICY OVERVIEW The purpose of the Pre-Construction Meeting is to: Introduce the project participants and establish key staff interfaces Review the project’s scope of work and preliminary schedule Discuss coordination and conflicts with other projects and third-parties Discuss impacts to the tenants and/or public Discuss the Contractor’s approach and key issues Review environmental requirements Review project administrative requirements A Pre-Construction Meeting shall be conducted on all construction contracts after the contract is fully executed and prior to Notice to Proceed. C. ROLES AND RESPONSIBILITIES Construction Management Division: 1. Administrative Support Section: Prepare Wage Requirements and Retention of Monies letters, obtain MUR from SBE Office, create CD of Administrative documents for Contractor, and discuss Administrative requirements at Pre-Construction meeting. 2. Chief Inspector: Attend Pre-Construction Meeting. 3. Construction Manager: Responsible for completing all requirements of the PreConstruction Meeting process. Coordinate with key attendees and schedule meeting, create meeting Agenda, chair Pre-Construction Meeting, generate and distribute meeting minutes. 4. CM Supervisor: Review and comment on draft Agenda and list of invitees. Attend PreConstruction Meeting. 5. DCC: Stamp, file index, scan, and file meeting minutes. 6. Deputy Chief Harbor Engineer I: Attend Pre-Construction Meeting as necessary. 7. Deputy Chief Harbor Engineer II: Attend Pre-Construction Meeting as necessary. 8. Director of Construction Management: Review and sign Administrative documents, review and comment on draft Agenda and invitees, attend Pre-Construction Meeting. 9. Inspector: Attend Pre-Construction Meeting. 10. Principal Inspector: Attend Pre-Construction Meeting. CMD Procedures Manual 2.4.9 - Pre-Con Meeting VER 01.docx Page 3 of 8 2.4.9 - VER 01 2.4.9 Pre-Construction Meeting Other Bureaus/Divisions: 1. Program Manager: Attend Pre-Construction Meeting. 2. SBE Office: Discuss SBE requirements at Pre-Construction Meeting. D. PROCEDURE 1. Begin Pre-Construction Meeting process once the Contract is fully executed. 2. The CM coordinates with the Contractor, DCM, and Inspector to determine a mutually agreeable meeting date and time, and reserves an appropriately sized conference room. NOTE: Allow enough time for the Contractor and the Administrative Support Section to prepare for the meeting (typically one-week). Review the Contract documents to determine any project-specific Pre-Construction Meeting requirements. 3. The CM prepares a draft Pre-Construction Meeting Agenda and list of invitees, and routes for review. The Agenda template is located in N:\Construction-Inspection Group\Construction Forms\Pre-Con Agenda (version date).docx. (See Exhibit 1) a. The Agenda template should be modified to reflect the project-specific issues and concerns. Agenda topics include: Part 1 1) Introduction, project organization, and primary contacts 2) Overview of the project scope of work, anticipated NTP and completion dates 3) Contractor’s preliminary schedule and sequencing, key issues and critical work items, and mobilization 4) Project coordination, such as utility companies or other projects 5) Impacts the project will have to the Port’s tenants or the general public 6) Meetings required on the project, such as the weekly progress meetings or scheduling meetings Part 2 1) Environmental permit requirements 2) Soil management, including import, export, and stockpiling requirements 3) Quality Assurance, including material testing, inspection and surveying coordination 4) Processing progress payments 5) Written and verbal communication CMD Procedures Manual 2.4.9 - Pre-Con Meeting VER 01.docx Page 4 of 8 2.4.9 - VER 01 2.4.9 Pre-Construction Meeting 6) Processing RFIs 7) Processing submittals 8) Change process, including CPCO and CO procedures 9) Allowance Bid Item procedures (if applicable) 10) Contingency Bid Item procedures (if applicable) 11) Liquidated damages 12) CPM schedule requirements 13) Project permits 14) Other issues b. A list of standard invitees is included in the Agenda template, and should be modified to include the various project-specific participants, including Port staff, tenants, utility companies, and other third parties. (See Exhibit 2) 4. The CM Supervisor reviews and comments on the draft Agenda and list of invitees. 5. The DCM reviews and comments on the draft Agenda and list of invitees. 6. The CM finalizes the Agenda and list of invitees. 7. The CM sends the notice of the meeting and a copy of the final Agenda to the Contractor, with a reminder of the items the Contractor is responsible for bringing to the meeting. The notice and Agenda may be e-mailed or mailed to the Contractor. 8. The CM sends out a meeting notice with a copy of the Agenda to all other invitees on the list. For all POLB invitees, the CM sends out an MS Outlook Meeting Request with a pdf copy of the Agenda attached. The notice may be e-mailed or mailed to the tenants, utility companies, and other third-party invitees. 9. The Administrative Support Section prepares the Wage Requirements and Retention of Monies letters, and routes them to the DCM for signature. 10. The Administrative Support Section coordinates with the SBE Office and obtains a digital copy of the Monthly Utilization Report (MUR). 11. The Administrative Support Section scans the letters and assembles a CD of Administrative documents to deliver to the Contractor at the Pre-Construction Meeting. The CD includes the following: a. Wage Requirements letter (scan) b. Retention of Monies letter (scan) c. Monthly progress payment template (Excel file) d. Monthly Utilization Report (Excel file) e. Labor Compliance forms CMD Procedures Manual 2.4.9 - Pre-Con Meeting VER 01.docx Page 5 of 8 2.4.9 - VER 01 2.4.9 Pre-Construction Meeting 12. The CM chairs the Pre-Construction Meeting. The CM should arrive early to set up the room, and bring the following items to the meeting: a. Sign-in sheet and pen b. Copies of the Agenda c. Display of the project for the wall d. Business cards 13. The CM prepares the meeting minutes in Primavera Contract Manager in the Meeting Minutes module (see Quick Reference Guide for Primavera Contract Manager), and prints and signs the original. Meeting minutes should be prepared as soon as possible after the meeting, and include all relevant hand-outs from the meeting. 14. The CM distributes the meeting minutes to all invitees, regardless of their attendance at the meeting. Meeting minutes should be distributed within one-week of the PreConstruction meeting. Distribute a pdf copy of the meeting minutes via e-mailing whenever possible. 15. The CM gives the original signed meeting minutes and any back-up documents or handouts from the meeting to the DCC. 16. The DCC stamps, indexes, scans, attaches in Contract Manager (DCC OUT), and files in the project file (File Index 05). E. EXHIBITS 1. Pre-Construction Meeting Agenda Template (Page 1 of 5) 2. Pre-Construction Meeting List of Invitees Template CMD Procedures Manual 2.4.9 - Pre-Con Meeting VER 01.docx Page 6 of 8 2.4.9 - VER 01 2.4.9 Pre-Construction Meeting Exhibit 1: Pre-Construction Meeting Agenda Template (Page 1 of 5) CMD Procedures Manual 2.4.9 - Pre-Con Meeting VER 01.docx Page 7 of 8 2.4.9 - VER 01 2.4.9 Pre-Construction Meeting Exhibit 2: Pre-Construction Meeting List of Invitees Template CMD Procedures Manual 2.4.9 - Pre-Con Meeting VER 01.docx Page 8 of 8 2.4.9 - VER 01 2.5.1 Notice to Proceed 2.5.1 NOTICE TO PROCEED INDEX: Section Page A. Flowchart .................................................................... 2 B. Purpose and Policy Overview ........................................ 3 C. Roles and Responsibilities ............................................. 3 D. Procedure ................................................................... 3 E. Reference.................................................................... 5 F. Exhibits 1. Notice to Proceed Checklist ..................................... 6 2. Notice to Proceed Template ..................................... 7 3. Notice to Proceed Sample........................................ 8 DOCUMENT APPROVAL: VER Date 01 12/18/09 Approved By: Gary J. Cardamone Director of Construction Management REVISION HISTORY: VER Date CMD Procedures Manual 2.5.1 - Notice to Proceed VER 01.docx Summary of Changes Page 1 of 8 2.5.1 - VER 01 2.5.1 Notice to Proceed A. FLOWCHART Notice to Proceed Admin Support Section CM CM Supervisor / DCHE II DCM START D.1 Is Contract Executed & copies distributed? D.1 Obtain Executed Contract & distribute copies NO YES D.2 Discuss NTP Date with Contractor & DCM D.3 Complete & sign “Notice to Proceed Checklist” Form: CHKLST-NTP D.4 Verify and sign D.5 Prepare draft NTP in Contract Manager Letters Module using “Notice to Proceed” template D.6 Route draft NTP, CHKLST-NTP, CHKLST-PRECON, & RM Insurance Approval form D.6.b D.6.a Review & Initial D.7 D.6.c Review & Initial Review & Initial D.8 Finalize NTP on Letterhead D.9-11 DCC OUT Mail or hand-deliver to Contractor (Go to CMDPM 2.2.3) END CMD Procedures Manual 2.5.1 - Notice to Proceed VER 01.docx Sign D.5.b Distribution: Admin Analyst I Principal Inspector Assistant Admin Analyst I Inspector(s) Admin Aid Program Manager Deputy Chief Harbor Engineer II Design Engineer Deputy Chief Harbor Engineer I Director of Risk Management Chief Inspector SBE/VSBE Office Chief Surveyor Real Estate (if applicable) Construction Manager Record Center Page 2 of 8 2.5.1 - VER 01 2.5.1 Notice to Proceed B. PURPOSE AND POLICY OVERVIEW Once the contract is fully executed, a written Notice to Proceed (NTP) is issued to the Contractor to commence the work and start the contract time as defined in Special Provision “Time of Completion and Liquidated Damages.” The Notice to Proceed date is the first day of the contract time. A Notice to Proceed shall be issued on every construction contract. A separate NTP may need to be issued for milestones which are not linked to the initial NTP. The Notice to Proceed should be issued on a timely basis soon after the contract is fully executed, but no later than 90-days after Conditional Award by the Board of Harbor Commissioners (unless the Specification defines the Contractor’s bid guarantee period differently). An NTP issued after the bid guarantee period requires the Contractor provide a written guarantee of the original bid, or negotiate any increase in cost associated with the delay (i.e. material price escalation, working in a less favorable season, etc.). C. ROLES AND RESPONSIBILITIES Construction Management Division 1. Front Desk: Copy, distribute, and mail final Notice to Proceed. 2. DCC: Scan, log, and file final Notice to Proceed. 3. Administrative Support: Review draft Notice to Proceed. 4. Construction Manager: Responsible for the Notice to Proceed process. Draft the Notice to Proceed, complete the Notice to Proceed Checklist, and finalize the Notice to Proceed. 5. CM Supervisor: Review draft Notice to Proceed. Verify Notice to Proceed Checklist. 6. DCHE II: Review draft Notice to Proceed, verify Notice to Proceed Checklist (if there is no CM Supervisor assigned to project). 7. DCM: Review draft and sign Notice to Proceed. Other Bureaus/Divisions 1. PM: Discuss issues related to delaying NTP (if applicable). D. PROCEDURE 1. Begin the Notice to Proceed process after the contract is fully executed. 2. The CM discusses the NTP date with the Contractor to allow the Contractor to coordinate operations and mobilization. Because time is of the essence, any request CMD Procedures Manual 2.5.1 - Notice to Proceed VER 01.docx Page 3 of 8 2.5.1 - VER 01 2.5.1 Notice to Proceed from the Contractor to delay to the NTP date should be discussed with the Director of Construction Management and the Program Manager. 3. The CM completes and signs the Notice to Proceed Checklist. A copy of the most current checklist can be found on N:\Construction-Inspection Group\Construction Forms\Chklst-NTP (version date).xlsx. 4. The CM Supervisor (or DCHE II) verifies items in Checklist are complete and signs Checklist. 5. The CM prepares a draft Notice to Proceed in Contract Manager using the “Notice to Proceed” template in the Letters Module. See Exhibit 1 for the NTP template and Exhibit 2 for an example of an NTP with multiple milestones. a. When calculating the required completion, the effective date of the NTP is the first contract day. For example, a one calendar day contract would start and end on the NTP effective date (12:00 a.m. to 11:59 p.m). b. The cc list should include, at a minimum, the following: Admin Analyst I Principal Inspector Assistant Admin Analyst I Inspector(s) Admin Aid Program Manager Deputy Chief Harbor Engineer II Design Engineer Deputy Chief Harbor Engineer I Director of Risk Management Chief Inspector SBE/VSBE Office Chief Surveyor Real Estate (if applicable) Construction Manager Record Center 6. The CM routes the draft Notice to Proceed along with a copy of the Notice to Proceed Checklist and a copy of the Risk Management approval form. The routing order is as follows: a. Admin Analyst I b. CM Supervisor (or DCHE II if a CM Supervisor is not assigned) c. Director of Construction Management 7. The CM finalizes the Notice to Proceed on POLB letterhead. 8. The DCM signs the Notice to Proceed. 9. If hand-delivering the NTP, the CM prepares a transmittal indicating the NTP was handdelivered with a receipt line for the Contractor’s signature. The CM gives the Front Desk a copy of the NTP, and DCC a copy of the NTP and transmittal with the Contractor’s signature. CMD Procedures Manual 2.5.1 - Notice to Proceed VER 01.docx Page 4 of 8 2.5.1 - VER 01 2.5.1 Notice to Proceed 10. The Font Desk distributes the copies. If original NTP is not hand-delivered, the Front Desk mails the Notice to Proceed and distributes one copy to DCC. 11. The DCC stamps, indexes, scans, enters into Contract Manager, and files a copy in the project file. E. REFERENCE 1. General Provision 5.02 (1991). 2. Special Provision “Time of Completion and Liquidated Damages.” F. EXHIBITS 1. Notice to Proceed Checklist 2. Notice to Proceed Template 3. Notice to Proceed Sample CMD Procedures Manual 2.5.1 - Notice to Proceed VER 01.docx Page 5 of 8 2.5.1 - VER 01 2.5.1 Notice to Proceed Exhibit 1: Notice to Proceed Checklist CMD Procedures Manual 2.5.1 - Notice to Proceed VER 01.docx Page 6 of 8 2.5.1 - VER 01 2.5.1 Notice to Proceed Exhibit 2: Notice to Proceed Template CMD Procedures Manual 2.5.1 - Notice to Proceed VER 01.docx Page 7 of 8 2.5.1 - VER 01 2.5.1 Notice to Proceed Exhibit 3: Notice to Proceed Sample CMD Procedures Manual 2.5.1 - Notice to Proceed VER 01.docx Page 8 of 8 2.5.1 - VER 01 2.5.17 Change Management 2.5.17 CHANGE MANAGEMENT A “change,” as the term is used in this Section, is defined as any change in the contract requirements. A change occurs when additions, revisions, and/or deletions to contract requirements are made. A change may not necessarily result in additional time or money. All changes, including changes that result in no additional time or money, must be approved through an appropriate contract change authorization. The Construction Management Division’s objectives in managing change are the following: Preserve the original design intent Respond in a timely manner so as to avoid unnecessarily delaying the work Maintain accountability for changes to the contract Maintain proper documentation to ensure transparency and to facilitate audit Ensure appropriate personnel and management are involved in the evaluation and decision process Maintain control of construction budgets Provide equitable and fair adjustments to the contractor for cost and schedule impact The Change Management Section is divided into the following sub-sections for easy reference: 2.5.17.1 CHANGE MANAGEMENT OVERVIEW ............................................................. 3 2.5.17.2 PORT INITIATED CHANGE....................................................................... 12 2.5.17.3 CONTRACTOR NOTICE OF CHANGE ........................................................... 14 2.5.17.4 VALUE ENGINEERING CHANGE (UNDER DEVELOPMENT) ................................. 16 2.5.17.5 REQUEST FOR PROPOSAL (RFP) AND NEGOTIATIONS .................................... 17 2.5.17.6 WORK AUTHORIZATION TASK ORDER (WATO) ............................................ 22 2.5.17.7 CONTRACTOR PENDING CHANGE ORDER (CPCO) .......................................... 29 2.5.17.8 CLAIMS DEEMED “NO MERIT” ................................................................. 40 2.5.17.9 CHANGE ORDER .................................................................................. 44 2.5.17.10 CONTRACT AMENDMENT (UNDER DEVELOPMENT) ........................................ 62 2.5.17.11 BOARD AUTHORIZATION ........................................................................ 64 2.5.17.12 TIME AND MATERIAL TRACKING .............................................................. 67 CMD Procedures Manual Page 1 of 73 2.5.17 - VER 02 2.5.17 Change Management DOCUMENT APPROVAL: REVISION HISTORY: VER Date CMD Procedures Manual Summary of Changes Updated Board of Harbor Commissioner’s Approval Procedures Updated Role of the Port’s Contract Compliance Section Deleted Delay Costs Paragraph Completed RFP Negotiations Section Completed Time and Material Compensation Section Incorporated use of CPMIS (Construction Project Management Information System) to manual, removed references to Contract Manager Added procedures for change orders resulting in a contract amendment Made minor clarifications to Additive Change Order items, Unilateral Change Order and Home-Office overhead text Addressed minor typographical and formatting errors Page 2 of 73 2.5.17 - VER 02 2.5.17.1 Change Management Change Management Overview 2.5.17.1 CHANGE MANAGEMENT OVERVIEW A. Change Management Policy Overview All changes to the contract require a change order (CO), even if the change results in no additional cost or time. A Contractor Pending Change Order (CPCO) may be issued, subject to the approval of the Director of Construction Management (DCM), to provide the written authorization to proceed with a change, so long as it is within the Executive Director’s authority limit (see CPCO procedure). However, CPCOs must be incorporated into a formal Change Order in order to pay the Contractor for the work. On limited occasions and when included in the contract documents, some contracts include Allowance and/or Contingency bid items for specific types of changes as defined in the contract. Change work covered under an Allowance or Contingency bid item must be authorized by a Work Authorization Task Order (WATO) (see WATO procedure). Because Allowance and Contingency bid items are included in the contract price, WATOs can be paid on the monthly contractor invoice. Whenever possible, it is preferable to obtain a lump sum cost proposal, evaluate the proposal merit including analysis of time and schedule impact, and negotiate a lump sum cost proposal and an agreed upon time impact before the changed work is started. If the work must proceed immediately on a time and material, not-toexceed basis, the rationale shall be documented and the agreement of final costs resolved with the contractor prior to close out of the CPCO/CO. A “close-out” change order is issued at the end of the project to balance the contract unit price bid item quantities , unused allowance and contingency bid items, unused or excess CPCO authorization amounts, and unused or excess estimated amounts previously issued in Change Orders, with the actual quantities and amounts utilized on the project. Resolution and final costs for work completed on a time and material basis shall occur upon completion of the work and should not be reserved for the time of executing the “close-out” change order. Cumulative change orders in excess of 25% of the original contract amount require a supplemental agreement (Amendment), which needs to be approved by the Board of Harbor Commissioners if the revised contract amount exceeds $100,000. Reference General Conditions Article 7 Changes in the Work, and other applicable Special or Technical Provisions for specific contract requirements. The CM shall immediately notify the Director of Construction Management and CM Supervisor of a potential change order. CMD Procedures Manual Page 3 of 73 2.5.17 - VER 02 2.5.17.1 Change Management Change Management Overview B. Roles and Responsibilities Construction Management Division: 1. Administrative Support Section: Update the Purchase Order to reflect approved Change Orders. 2. Inspection Section: Notify CM of issues or potential changes. Provide QA inspection of changed work. Track Time & Material changes in the field. Ensure changes are reflected on the red-line drawings. 3. Construction Management Section: Change Management process owner. Evaluate merit of change order requests and claims, and analyze cost and time impacts to the contract. Negotiate with the Contractor subject to authorization by the Director. Prepare change management documents (RFP, CPCO, WATO, Change Order). Prepare independent cost estimates and assessment of potential schedule impact of extra work. Track WATO authorizations and expenditures to ensure the Allowance and Contingency bid item amounts are not exceeded. Track change order authorizations and expenditures to ensure the Executive Director authority is not exceeded. Prepare Board of Harbor Commissioners memos requesting authorization for change. Keep project team members and CMD management informed of issues and potential changes. 4. Director of Construction Management: Authorize WATOs up to the Contract bid item amounts. Authorize CPCOs up to the delegated Executive Director Authority amount. Report to Bureau Management and Executive Management on potential and pending changes. Present Change Order requests to the Engineering and Environmental Committee and the Board of Harbor Commissioners. 5. Front Office: Track the routing of Change Orders and BHC memos. Copy and distribute. Other Bureaus/Divisions: 1. Program Management Division: Authorize discretionary Owner Initiated Changes. Monitor performance of the design consultant relative to Change Management. Review and initial Change Orders. Supplement the Capital Work Order to fund Change Orders as necessary. 2. SBE Office: Review SBE/VSBE participation in Change Orders where appropriate. 3. Risk Management Division: Review insurance requirements for Contract Amendments, and ensure insurance is maintained for contract time extensions and through the acceptance of the contract. 4. Engineering & Environmental Committee: Review change requests, CWO supplements, and Budget revisions submitted by POLB staff and make recommendations to the Board of Harbor Commissioners. CMD Procedures Manual Page 4 of 73 2.5.17 - VER 02 2.5.17.1 Change Management Change Management Overview 5. Board of Harbor Commissioners: Approve cumulative changes over $100,000 (or an amount previously authorized by the Board). Ratify Executive Director Change Orders and restore the Executive Director authority to $100,000. 6. Contract Compliance Section: Monitor change order and contract amendment activity. Review proposed revisions to change management procedures. Responsible for performing periodic audits including project documentation and change management activity. Other City Departments: 1. City Attorney: Prepare Supplemental Agreements (as necessary). Advise CMD as requested regarding the law and interpretation of the contract regarding changes and/or claims. Resolve claims through litigation (if necessary). 2. City Auditor: Receives a copy of Change Orders and conducts an independent review and audit. C. Change Authority The Executive Director (ED) has the authority to execute change orders for a construction contract up to a cumulative total of $100,000, exclusive of credits. This authority covers multiple change orders so long as their total is less than $100,000. If the sum of the change orders exceeds $100,000, staff must request the Board of Harbor Commissioners for additional change order authority. The Executive Director change order authority is delegated to the Director of Construction Management for the purposes of issuing approval to proceed with a change under a CPCO. It is essential that the CM track change order authorizations and expenditures to assure the Executive Director authority is not exceeded. The Director of Construction management may authorize WATOs up to the respective Contract bid item amounts. D. Change Categories Each Change item must be categorized by a Reason Code. At the end of the project, the CM shall summarize all change order items by the reason code in the Contract Closeout Data Sheet. The Reason Codes are as follows: (1) Owner Enhancement – Changes generated by either the Port or the Tenant/system owner changing their mind and requesting something different. Examples include: a. Owner-Improvement – The Port identified a better product than originally specified. b. Value Engineering – The Contractor proposes an alternative product which results in a reduced cost that is shared by both parties. CMD Procedures Manual Page 5 of 73 2.5.17 - VER 02 2.5.17.1 Change Management Change Management Overview c. Directed Suspension of Work – The Port requires the Contractor to suspend all or part of the work (see CMDPM 2.5.11) for the benefit of the Port. d. Directed Acceleration – The Port requires the Contractor to speed up work in order to meet an earlier completion date or mitigate a Portcaused delay. e. Termination for Convenience (see CMDPM 2.5.21) – The Port deletes all or a portion of the work for the convenience of the Port. f. Termination for Default or Cause (see CMDPM 2.5.21) – The Port determines the Contractors performance is deficient, and the Contractor fails to cure the performance after being notified of the deficiency. The Port may either terminate the contract or call on the bonding company to fulfill the obligation under the performance bond. (2) Code Compliance – Changes generated by an untimely ruling by the Building or Fire Departments or other regulatory agencies. These may simply be a different interpretation of the code by the field inspector than the plan checker. (3) Unforeseen Condition – Changes generated by the discovery of existing conditions which are not foreseeable, such as subsurface obstructions, unidentified or miss-located utility lines, etc. There are two main types of Unforeseen Conditions: a. Type 1 – Subsurface or latent (hidden) physical conditions at the site differing materially (substantially or significantly) from those indicated in the contract documents. Examples include rock, buried utilities, asbestos, or subsurface water where none is indicated in the plans and specifications. Be aware that limiting the Contractor’s access to the site during the bid period (i.e. for security reasons) may hinder the Contractor’s ability to perform adequate pre-bid site investigations, which could lead to more claims for hidden conditions from the Contractor. b. Type 2 – Unknown physical conditions at the site of an unusual nature, differing materially from those ordinarily encountered in work of the character provided for in the contract. Type 2 differing site conditions are conditions so unusual or so unpredictable that the Contractor could not have reasonably foreseen their existence at the time of bidding. i. Subsurface hazardous or toxic waste materials in a previously undisturbed area ii. Soft ground beneath previously undisturbed dry soils iii. Buried construction debris in an area where no previous construction was known CMD Procedures Manual Page 6 of 73 2.5.17 - VER 02 2.5.17.1 Change Management Change Management Overview (4) Design Clarification (with unavoidable costs) – Changes generated by design clarifications for which extra cost would NOT have been avoided if clarifications had been included in the bid. The additional cost for the change is just the difference between the originally specified item and the new item, and does not involve damages for delay. These changes are the direct result of a defect in the contract documents. Examples of contract document defects include: a. The contract documents specify the wrong item. These changes typically arise from responses to RFIs or comments on a Submittal. b. The contract documents do not disclose relevant information. These changes typically arise from responses to RFIs. However, General Condition Article 1 does not provide for additional compensation for an omission if the Contractor could have reasonably known that the work was necessary to fully and completely finish the project according to the true intent and meaning of the specifications and drawings. For example, door hinges were not explicitly called out or specified, however they are necessary to install the door, which is defined as the finished product of the contract. c. The contract documents include an owner-interpretation clause as the acceptance criteria. The Contractor is required to perform work in accordance with the Port’s representative’s interpretation, however it is not possible for the Contractor to know at the time of bidding how the Port would interpret. (5) Errors and Omissions – Changes generated by design clarifications for which extra costs might have been avoided if the clarifications had been provided in the bid document. These changes are the result of the same type of contract document defects as Category 4 above, however they result in additional delay damages or impact costs because the information was not included in the original contract documents. (6) Quantity Adjustment – Changes in the contract quantities (specified as “approximately”) for unit priced bid items to reflect actual field measured final quantities. (7) Unused Allowance/Contingency – Credit for the unused balance of the contract specified allowance or contingency bid items. E. Contract Duration Changes Each Change item must be evaluated for its effect and impact on the construction schedule and critical path construction activities. An evaluation should be performed of the cost associated with the time adjustment for interruption of schedules, extended overhead costs, delay, and all impact, ripple effect or cumulative impact on all other work. CMD Procedures Manual Page 7 of 73 2.5.17 - VER 02 2.5.17.1 Change Management Change Management Overview F. Claims Avoidance and Mitigation 1. Identify project risks and ways to mitigate those risks before construction starts (preferably during the design phase). 2. Read and understand the contract documents. 3. Employ Partnering methods (informal or formal) and maintain positive field relationships. Resolve issues in a timely manner at the lowest level possible and escalate in a timely manner if agreement cannot be reached, or the issue is outside your authority to resolve. 4. Maintain thorough and accurate project records and documentation. 5. Ensure monthly schedule updates are accurate, and look-ahead schedules are tied to the project schedule activities. 6. Ensure claim or change notice is in writing. 7. Respond quickly to claims. Reference initial change notice, and cite contract, drawing, and specification sections to support position. 8. Acknowledge and take responsibility for owner-caused changes. Don’t direct the Contractor to perform changed work and wait for the Contractor to make a claim if you already know it constitutes a change. 9. Log the claim and notify appropriate supervisors. Discuss entitlement with the DCM before acknowledging merit for claims without clear merit. 10. Identify and evaluate the contract language that relates to the claim. 11. Document issues objectively and contemporaneously. 12. Set-up files for each claim and assemble the relevant project records such as correspondence, meeting minutes, RFIs, schedules, daily reports, and other documents. 13. Identify how the claim has (or will) affect the remainder of the project and the project schedule and evaluate re-sequencing options. G. Analysis of a Claim 1. Determine if notice was submitted in writing within the contractually required timeframe. 2. Ensure description of change is thorough, accurate, and includes the following information: a. Who or What caused the change or claim (i.e. Designer, Building Inspector, Unforeseen Condition, etc). Use names, not position titles. CMD Procedures Manual Page 8 of 73 2.5.17 - VER 02 2.5.17.1 Change Management Change Management Overview b. When the change or claim occurred (date and time) and when the notice was given c. How did the change or claim occur (i.e. response to RFI No. 14) d. Under what circumstance (i.e. during the Building Inspector’s inspection) e. Location (use sketch on contract drawing or request a survey as appropriate) 3. Examine information provided in the contract documents and determine if contract documents are defective. 4. For Type 2 Unforeseen Conditions, obtain the Contractor’s description of the conditions they anticipated in their bid and why. Determine if difference between conditions is material. 5. For Type 2 Unforeseen Conditions, determine if the alleged changed condition is inherent in this type of work and therefore should have been anticipated by the Contractor and included in their bid. 6. If Contractor is claiming additional work due to an omission on the drawings and specifications, determine if the alleged additional material or work is “necessary to fully and completely finish the project according to the true intent and meaning of the specifications and drawings,” and therefore should have been included in their bid (see General Condition Article 1). 7. Examine field conditions and take pictures. 8. Perform independent assessment of conditions, as necessary (i.e. third-party test lab). 9. Obtain Designer’s response to claim if claim involves an alleged design defect. 10. Ensure the documentation demonstrating impact to the contract time is thorough and accurate through the following: a. Determine what activities were (or will) be impacted b. Determine if the end date of the project, or contractual milestone, has been (or will be) impacted. If so, continue on to Step c. c. Determine if the Contractor can mitigate the delay through re-sequencing. (General Condition Article 8). If not, or re-sequencing was unsuccessful, continue on to Step d. d. Review schedule and determine if there was any concurrent contractorcaused delays and/or excusable delays (e.g. rain). The portion of the delay that is concurrent is non-compensable. CMD Procedures Manual Page 9 of 73 2.5.17 - VER 02 2.5.17.1 Change Management Change Management Overview e. Determine net compensable Port-caused delay, which is the total delay that extends the contract milestone, less any concurrent delay by the Contractor and/or weather. 11. Ensure the documentation demonstrating impact to cost is thorough and accurate: a. Direct Costs – costs incurred as a direct result of the change. i. Labor (with all burdens) – should match Prevailing Wage ii. Materials – receipts required iii. Equipment – rates should not exceed local rental rates per General Condition Article 7.4.1 (c). iv. Remobilization v. Storage vi. Bond and insurance costs per General Conditions vii. Markups for overhead and profit per General Conditions viii. Subcontractor costs (with same components as above) b. Indirect Costs (Overhead) – Costs to support the project which are not allocable to just one specific item of direct work. Overhead costs are generally considered to be included in the markups on Direct Costs for change orders not involving an extension of contract time. It may be appropriate to include overhead as a separate item for a Port-caused delay affecting the critical path of the project (i.e. site unavailable, permits delayed, etc). Categories of extended overhead which may be involved are as follows: i. Field Overhead 1.) 2.) 3.) 4.) 5.) 6.) 7.) Project management staff Superintendents Project office Temporary utilities and security Additional or extended storage costs Communications Office equipment ii. Home-Office Overhead – Contractor is generally not entitled to “Home Office Overhead” unless the work is suspended by the Port and the Contractor submits a request for these costs and merit is approved by the Port. Consult DCM if claimed. c. Impact/Disruption Costs – The Contractor must prove that the Port caused the Contractor to deviate from the planned approach to performing the work causing the work to be performed in a less productive manner. Methods for establishing “impact costs” are not precise, and there is no single accepted, CMD Procedures Manual Page 10 of 73 2.5.17 - VER 02 2.5.17.1 Change Management Change Management Overview definitive method for all projects or situations. A common method for calculating lost productivity costs is the “measured mile.” The “measured mile” involves calculating the production rate during un-impacted period. “Total Cost” is not an acceptable method to calculate impact costs. Impacts include the following: i. Idle equipment ii. Idle personnel iii. Escalation costs for labor, equipment, and materials iv. Inefficiency – Stop/start, demobilization/remobilization, lost productivity, re-sequencing, disruption v. Crowding – additional workers on a crew sharing the same number of resources as before (equipment, tools, supervision, work-space, etc). vi. Stacking of Trades – crews work concurrently instead of sequentially. Each crew disrupts the other and work may be installed out of sequence. d. Obtain an independent estimate of costs for items over $10,000 when possible and as appropriate H. Method of Compensation 1. Lump Sum (negotiated or unilateral) 2. Unit Price (Bid Item additional quantity with Not-to-Exceed amount) 3. Unit Price (negotiated with Not-to-Exceed amount) 4. Time and Materials (with Not-to-Exceed amount) I. References 1. General Condition Article 7 2. Special Provisions “Changes Initiated by the City” 3. Special Provisions “Unforeseen Conditions” 4. Public Contract Codes: 7102 5. Contracting Procedures Manual (Version 0.2) CMD Procedures Manual Page 11 of 73 2.5.17 - VER 02 2.5.17.2 Change Management Port Initiated Change 2.5.17.2 PORT INITIATED CHANGE A. Flowchart (see page 13) CMD Procedures Manual Page 12 of 73 2.5.17 - VER 02 2.5.17.2 Change Management POLB Initiated Changes PM Division Change Management – POLB Initiated Change Notify CMD in writing of requested change START Request the Designer prepare a cost estimate, if appropriate Send cost estimate to CM to assist in negotiations Proceed? NO YES Send quote and/or CM estimate to PM Close item in CPMIS Notify Contractor Port will not proceed with proposed change Can it be paid for by a Contingency Bid Item? Issue LS or Unit Price WATO (See CMDPM 2.5.17.6) YES DCC IN (See CMDPM 2.2.2) Are there potentially serious impacts? NO Enter info. into CPMIS YES Is immediate approval required to avoid time impacts? Go to RFP & negotiations (See CMDPM 2.5.17.5) NO Is work discretionary and/or exceeds cost estimate? NO CM & Contractor agree on cost/time? YES NO NO YES Determine NTE amount or Is amount w/in DCM’s CPCO authority? Construction Management Division Discuss with DCM Proceed? YES Can it be paid for by a Contingency Bid Item? YES Issue T&M WATO with a NTE amount (See CMDPM 2.5.17.6) Track Time & Materials (See CMDPM 2.5.17.12) Contractor & POLB agree on final cost & close WATO A Is amount w/in DCM’s CPCO authority? YES Issue T&M CPCO with a NTE amount (See CMDPM 2.5.17.7) Track Time & Materials (See CMDPM 2.5.17.12) Issue CO (See CMDPM 2.5.17.9) A Issue CO with a NTE amount (See CMDPM 2.5.17.9) Track Time & Materials (See CMDPM 2.5.17.12) Issue credit CO for any remaining balance (See CMDPM 2.5.17.9) A YES Issue LS or Unit Price CPCO (See CMDPM 2.5.17.7) Issue CO (See CMDPM 2.5.17.9) END NO Discuss w/DCM Consider alternatives, e.g. On-call contracts, not doing the change, etc. NO NO YES A Notify PM Division of recommended alternative NO Discuss with DCM Proceed? YES NO Discuss recommendation not to Proceed with change with PM Division A LEGEND CM = Construction Manager CMDPM = Construction Management Division Procedures Manual CPMIS = Construction Project Management Information System DCC IN = Document Control Center - Incoming Correspondence DCM = Director of Construction Management NTE = Not-to-Exceed CMD Procedures Manual CPCO = Contractor Pending Change Order WATO = Work Authorization Task Order CO = Change Order RFP = Request for Proposal T&M = Time and Materials = Decision = Expedition / Computer Process = Process = Sub-Process (see reference for detailed description of process steps) Page 13 of 73 or = Alternate paths A = On-Page Connector 2.5.17 – VER 02 2.5.17.3 Change Management Contractor Notice of Change 2.5.17.3 CONTRACTOR NOTICE OF CHANGE A. Flowchart (see page 15) CMD Procedures Manual Page 14 of 73 2.5.17 - VER 02 2.5.17.3 Change Management Contractor Notice of Change / Change Order Request PM Division Change Management - Contractor Notice of Change / Change Order Request START Contractor notifies Port in writing of a potential changed condition or delay DCC IN (See CMDPM 2.2.2) Notify CM Supervisor and DCM of Potential Change Enter info. in Expedition Change Management Discuss merits of change with Designer, CM Supervisor and/or DCM (as necessary) Does the alleged change have merit? YES Can it be paid for under a Contingency Bid Item? NO Send letter to Contractor denying claim based on lack of merit (See CMDPM 2.5.17.8) YES Send authorization to Proceed under a Contingency Bid Item (See CMDPM 2.5.17.6) NO Is immediate approval required to avoid / mitigate time or cost impacts? NO Issue RFP & conduct negotiations (See CMDPM 2.5.17.5) Can the Port & Contractor come to an agreement? Can it be paid for by a Contingency Bid Item? YES NO YES Determine NTE amount or YES Proceed with Unilateral Change based on CM estimate (See CMDPM 2.5.17.9) Issue LS or Unit Price WATO (See CMDPM 2.5.17.6) NO Is amount w/in DCM’s CPCO authority? NO Issue CO (See CMDPM 2.5.17.9) YES Issue LS or Unit Price CPCO (See CMDPM 2.5.17.7) Construction Management Division END A A Can it be paid for by a Contingency Bid Item? YES Issue T&M WATO with a NTE amount (See CMDPM 2.5.17.6) Track Time & Materials (See CMDPM 2.5.17.12) Contractor & POLB agree on final cost & close WATO Issue T&M CPCO with a NTE amount (See CMDPM 2.5.17.7) Track Time & Materials (See CMDPM 2.5.17.12) Issue CO (See CMDPM 2.5.17.9) Track Time & Materials (See CMDPM 2.5.17.12) Issue credit CO for any remaining balance (See CMDPM 2.5.17.9) NO Is amount w/in DCM’s CPCO authority? YES NO Should the work be done under the On-Call Contract? (Discuss w/DCM) YES Issue RACS and Coordinate work with On-Call Contractor NO Issue CO with a NTE amount (See CMDPM 2.5.17-L) LEGEND CM = Construction Manager CMDPM = Construction Management Division Procedures Manual CPMIS = Construction Project Management Information System DCC IN = Document Control Center - Incoming Correspondence DCM = Director of Construction Management NTE = Not-to-Exceed CMD Procedures Manual CPCO = Contractor Pending Change Order WATO = Work Authorization Task Order CO = Change Order RFP = Request for Proposal T&M = Time and Materials = Decision = Process = Expedition / Computer Process = Sub-Process (see reference for detailed description of process steps) Page 15 of 73 or = Alternate paths A = On-Page Connector 2.5.17 – VER 02 2.5.17.4 Change Management Value Engineering Change 2.5.17.4 VALUE ENGINEERING CHANGE (under development) A. Flowchart (under development) CMD Procedures Manual Page 16 of 73 2.5.17 - VER 02 2.5.17.5 Change Management Request for Proposal 2.5.17.5 REQUEST FOR PROPOSAL (RFP) AND NEGOTIATIONS A. Overview For changed work that can be well defined, the full scope of work clearly identified, and is not time sensitive, it is preferable to obtain a lump sum proposal from the Contractor. In order to solicit a lump sum price, a Request for Proposal (RFP) is submitted to the Contractor along with revised drawings, sketches, and/or detailed work description. Upon receipt of the Contractor’s proposal, an evaluation of the proposed cost is needed to verify the proposed cost includes the full scope of the change and that the proposed cost is reasonably close to the independent estimate. Items in the proposal that are significantly different than the independent estimate should be addressed and negotiated. B. Flowchart (see page 21) C. RFP Procedure Note: A Request for Proposal to the Contractor is not, and cannot be used as, an authorization to proceed with a change to the Contract. 1. The CM opens the associated Change Management Item in the Construction Project Management Information System. If one does not exist, the CM creates a Change Management item. a. In the RFP document, reference the RFI or change document that initiated the RFP. 2. The CM prints and signs the RFP and routes to the CM Supervisor with back-up documents 3. The CM Supervisor initials and forwards to the DCM for signature. 4. The Front Desk mails the original, distributes copies, and gives one copy to DCC. 5. DCC stamps, scans, and attaches document in Contract Manager, and files in the project file. D. Negotiations After the initial review of the proposal received from the Contractor has verified that the proposal includes the full and correct scope of the change, the Contractor’s cost must be compared against the independent estimate for the work if the cost exceeds $10,000. If there is a significant variance between the independent estimate and the Contractor’s CMD Procedures Manual Page 17 of 73 2.5.17 - VER 02 2.5.17.5 Change Management Request for Proposal cost proposal, negotiation with the Contractor is warranted in order to reach an agreed upon lump sum cost for the work. A record or log of all negotiations related to a specific WATO, CPCO or Change Order needs to be maintained in the project files. The negotiations may take place in a single meeting or evolve over time and include telephone conversations, e-mail correspondence, formal letters, and/or meetings. The record of negotiations should include the date, participants, and the results of the negotiation. For minor changes, the independent estimate can be developed by the CM. For large and complex changes that are a result of design changes or owner enhancements that have required revisions to the contract plans, an estimate should have been provided by the Designer. The Designer’s estimate, if reasonable, should be used for negotiation purposes. The CM’s independent estimate may also be requested if necessary in addition to the designer’s estimate. Changes under $10,000 do not require an independent estimate, however, records indicating that the change was deemed fair and reasonable is necessary. Should the Designer’s estimate appear unreasonable, the CM will meet with the Designer to discuss and revise if necessary. Prior to negotiations, the CM should ensure the contract specification documents are reviewed. Additional research and fact finding should be undertaken in order for the CM to gain a current understanding of the work involved and determine if there are any special constraints or conditions that could be influencing the Contractor’s proposal that may not have been included in the independent estimate. In addition, the current stage of the construction progress, submittal status, material fabrication and delivery status, and the impact of the extra work on the subsequent work activities and its relation to the project schedule’s critical path need to be reviewed in order to evaluate whether the extra work may impact the project schedule. Markups by all tiers of subcontractor and the prime contractor should be reviewed and negotiated to assure they are reasonable. In order to substantiate material and subcontractor costs, comments should be solicited from the Designer and material manufacturer or supplier representatives to verify listed material costs and to discuss installation methods. As a best practice, labor and material rates should be established prior to the project commencement. Time related and other impact costs should be included in the negotiations if entitled. The final cost should be a full and final cost whenever possible. Time extensions should be supported by time impact analysis or other supportive analysis and included in the formal change order. The goal of negotiation with the Contractor should be to reach an agreement on a lump sum cost and time adjustment for the work involved that is fair to both the Contractor and the Port. During the negotiation, an opportunity should be given for the Contractor to explain the basis of their proposal and to outline any special conditions that may have influenced their costs. The costs as outlined by the Contractor must be evaluated against requirements in the Contract Documents to determine merit. CMD Procedures Manual Page 18 of 73 2.5.17 - VER 02 2.5.17.5 Change Management Request for Proposal While a cost difference between the Contractor’s initial cost proposal may vary significantly from the Port’s estimate, a breakdown of the work in smaller elements or tasks should be reviewed and an attempt should be made to reach agreement on the individual elements of the work. Using this process, the areas of difference and disagreement may be reduced and narrowed. If the amount of the cost difference and the associated work can be broken down into smaller costs, a compromise may be achieved. The CM needs to be able to justify any agreed upon lump sum amount based upon the original independent estimate or a revised estimate which takes into account any of the project conditions and constraints determined after further research, or after consideration of the Contractor’s explanation of their proposal. Should the CM be unable to reach a lump sum agreement with the Contractor which could be justified, the extra work shall not proceed. In this instance, the Contractor shall be directed to proceed with the work per a unilateral change or on a Time and Material, Not-to-Exceed basis. E. Exhibit 1. Request for Proposal Example (Primavera Contract Manager) CMD Procedures Manual Page 19 of 73 2.5.17 - VER 02 2.5.17.5 Change Management Request for Proposal Exhibit 1: Request for Proposal Example CMD Procedures Manual Page 20 of 73 2.5.17 - VER 02 2.5.17.5 Change Management Request for Proposal Contractor Change Management – Request for Proposal Prepare proposal and Port and Contractor meet for Negotiations Agreement reached? NO YES Distribution: CM Supervisor Prepare summary of negotiations with markups to Proposal (include in file) CM NO START From Change Management (see CMDPM 2.5.17.2 or 2.5.17.3) Create RFP in Construction Project Management Information System (CPMIS) DCC OUT (see CMDPM 2.2.3) and DCC IN (see CMDPM 2.2.2) Enter cost/time info. into CPMIS. Review scope, cost, and time impact Are scope, cost, and time valid? YES Update cost/time info. in CPMIS Return to Change Management (See CMDPM 2.5.17.2 or 2.5.17.3) END Prepare Independent Cost Estimate DCM Prepare a time impact analysis (as necessary) CMD Procedures Manual Sign RFP Page 21 of 73 2.5.17 – VER 02 2.5.17.6 Change Management Work Authorization Task Order (WATO) 2.5.17.6 WORK AUTHORIZATION TASK ORDER (WATO) A. Overview If the contract includes Allowance and/or Contingency bid items, changed work covered under an Allowance or Contingency bid item must be authorized by a Work Authorization Task Order (WATO). Because Allowance and Contingency bid items are included in the contract price, WATOs can be paid as part of the regular progress payment process. A WATO can authorize work to proceed at an agreed upon lump sum amount or direct work to proceed on a time and material, not-to-exceed basis. In addition, the impact the change has on the project’s schedule needs to be identified in the WATO. B. Flowchart (see page 28) C. Procedure 1. Because the Allowance and Contingency Bid Items are included in the contract price, WATOs can be paid on the monthly contractor invoice. 2. The Proposal and Bid in the contract will identify the Allowance and Contingency Bid Items, the type of work the bid item covers, and a pre-defined amount. 3. The CM determines there is a need for additional work which may be covered by one of the Allowance or Contingency Bid Items. 4. The CM prepares an RFP and attempts to negotiate a lump sum price for extra work which is not time sensitive. If the work must be done immediately, the CM estimates the value of the work and proceeds to the next step. 5. The CM prepares a WATO. a. The WATO number includes the Bid Item number and the sequential log number under that bid item. For example: WATO 06-05 is the fifth WATO issued for Bid Item No. 6. b. The WATO can either be lump sum, Time and Materials (T&M) or unit price with a not-to-exceed amount. c. The body of the description shall clearly state the scope of work to be performed, any exclusions or conditions, how it will be paid (lump sum, T&M, or unit price), and the amount (either the agreed upon lump sum amount or a notto-exceed amount for T&M and unit price work). 6. The WATO is entered into the WATO spreadsheet which tracks the Allowance or Contingency Bid Item amount defined in the contract, the WATOs issued against that Bid Item amount, and the remaining Bid Item amount. CMD Procedures Manual Page 22 of 73 2.5.17 - VER 02 2.5.17.6 Change Management Work Authorization Task Order (WATO) 7. The CM routes 2 original copies of the WATO for approval. The WATO is routed in a green folder along with an updated copy of the WATO spreadsheet and the back-up documents to the WATO (i.e. a copy of the RFI or written request initiating the work, cost estimate if required, contractor’s quote, etc). The order of signatures is as follows: a. Construction Manager (consultant or Port CM) b. POLB CM Supervisor (see project specific org chart) c. Director of Construction Management d. Contractor 8. If the WATO is T&M, the Contractor is required to track the cumulative cost of the work on a daily basis and to advise the CM when the authorization may not be adequate as soon as possible. Once the cost reaches 75% of the not-to-exceed amount, the CM estimates the remaining work and, if necessary, issues a revised WATO to increase the not-to-exceed amount. The revised WATO uses the same number as the original one, followed by a “-R1” (i.e, WATO 04-01-R1), and the description shall indicate that it supersedes the previously issued WATO, along with the date and amount of the originally issued or previous WATO. 9. Each WATO is listed in the monthly Schedule of Values under each Allowance or Contingency Bid Item. A “Balance” line item is used in each Bid Item breakdown to account for the un-authorized remaining bid amount. Progress payments can be made on WATO items. 10. Under no circumstances may the allowance amount in the bid item be exceeded. D. Exhibits 1. Work Authorization Task Order Example (Primavera Contract Manager) 2. Change Documentation Checklist (file: Change Doc Checklist.xlsx) 3. WATO Log Example (file: WATO Log.xlsx) CMD Procedures Manual Page 23 of 73 2.5.17 - VER 02 2.5.17.6 Change Management Work Authorization Task Order (WATO) Exhibit 1: Work Authorization Task Order (WATO) Example (Page 1 of 2) CMD Procedures Manual Page 24 of 73 2.5.17 - VER 02 2.5.17.6 Change Management Work Authorization Task Order (WATO) Exhibit 1: Work Authorization Task Order (WATO) Example (Page 2 of 2) CMD Procedures Manual Page 25 of 73 2.5.17 - VER 02 2.5.17.6 Change Management Work Authorization Task Order (WATO) Exhibit 2: Change Documentation Checklist CMD Procedures Manual Page 26 of 73 2.5.17 - VER 02 2.5.17.6 Change Management Work Authorization Task Order (WATO) Exhibit 3: WATO Log Example CMD Procedures Manual Page 27 of 73 2.5.17 - VER 02 2.5.17.6 Change Management Work Authorization Task Order (WATO) Contractor Change Management – Work Authorization Task Order (WATO) Sign and return one original WATO Complete Change Documentation Checklist (See Exhibit 2) Is work to be performed on T&M? YES (See CMDPM 2.5.17.12) Prepare Justification/ Rationale and Rough Order of Magnitude Estimate for proceeding on a T&M basis CM NO START From Change Management (See CMDPM 2.5.17.2 or 2.5.17.3) Create WATO in CPMIS Obtain Cost Proposal from Contractor (See CMDPM 2.5.17.5) or Identify Unit Price Item to be Used and Can the Time Impact to the Project be determined at this time? DCM CM Supervisor NO CMD Procedures Manual YES Prepare a Time Impact Schedule Analysis Print two original WATOs (See Exhibit 1) Update WATO Log (see Exhibit 3) Route both original WATOs with backup docs and WATO Spreadsheet Sign Transmit both original WATOs to Contractor (w/out back-up docs) (See CMDPM 2.2.3) DCC IN (See CMDPM 2.2.2) Return to Change Management (See CMDPM 2.5.17.2 or 2.5.17.3) END Distribution: Project file (Original with back-up docs) Construction Manager Inspector Principal Inspector Provide justification why a Time Impact/ Schedule Impact cannot be determined Sign Sign Page 28 of 73 2.5.17 – VER 02 2.5.17.7 Change Management Contractor Pending Change Order (CPCO) 2.5.17.7 CONTRACTOR PENDING CHANGE ORDER (CPCO) A. Overview A Contractor Pending Change Order (CPCO) may be issued to provide written authorization to proceed with a change, as long as it is within the available amount of Executive Director’s authority limit. However, a CPCO must be incorporated into a formal Change Order in order to pay the Contractor for the work. A CPCO can authorize work to proceed at an agreed upon lump sum amount or direct work to proceed on a time and material, not-to-exceed basis. In addition, the impact the authorized change has on the project’s schedule needs to be identified in the CPCO. B. Flowchart (see page 39) C. Procedure 1. A CPCO does not allow payment to be made to the contractor. It only provides the formal written authorization to proceed with the work and a method to track the costs until formal change order approval is obtained. 2. The CM determines there is clear justification for a contract change based on one of the following reasons: a. RFI response resulting in additional work (response cannot be sent to Contractor until authorization for the additional work is obtained) b. Owner or tenant initiated scope change (requires approval from the PM) c. Unforeseen condition d. Ruling by Code Official e. Errors and Omissions by the Designer f. Contractor proposed change resulting in a credit g. Owner caused (i.e., CM, inspector/QA, or survey error) 3. The CM drafts an RFP requesting a lump sum proposal with a detailed back-up breakdown of all cost and time impacts. Upon receipt of the proposal, the CM attempts to negotiate a lump sum price for the work. An independent estimate of the cost of the changed work should be prepared for large changes (>$10,000). If the work must be done immediately, the CM estimates the value of the work and proceeds to the next step. 4. The CM prepares a CPCO. The CPCO can either be lump sum, unit price, or Time and Materials with a not-to-exceed amount (T&M). The body of the description shall CMD Procedures Manual Page 29 of 73 2.5.17 - VER 02 2.5.17.7 Change Management Contractor Pending Change Order (CPCO) clearly state the scope of work to be performed, any exclusions or conditions, how it will be paid (lump sum, unit price, or T&M), and the amount (either the agreed upon lump sum amount, a not-to-exceed amount for T&M, or unit price work). Time impacts and extensions should be addressed in the CPCO. 5. The following CPCO documentation shall be prepared and maintained in the project records (see Exhibit – Change Documentation Checklist): a. Evaluation of the merit or entitlement for the proposed change b. Documentation of an independent estimate of the cost of the change for changes exceeding $10,000. The maximum limit of $10,000 is based on the proposed change and excludes any related credit. c. If the CPCO is to be completed on Time and Material, justification for reason to proceed on a time and material basis shall be documented. Justification may include the following: to avoid schedule impact with specific schedule activity reference; uncertain scope; disagreement on cost; urgency of the additional work; etc. d. Time impact/schedule analysis including any cost associated with time impact to the project. Explanation of the required time extension and impact costs, including evaluating delay damages, direct impact on other subsequent work activities, impact to the project’s critical path schedule, whether the delay would trigger any liquidated damages, or exposure to the Port for the Contractor’s extended field and home office overhead costs. If the time impact and related cost cannot be evaluated at this time, include a statement of explanation. An example of this situation occurs when a Time and Material CPCO is issued with a scope of work that is not well defined, therefore, time impact can not be evaluated until the work is completed. After completion of the work a time impact analysis is then required. Full and final costs settlements should be pursued when negotiating all CPCOs. e. Documentation from the Program Management Division should be included for all discretionary scope related changes and from the Designer for all design related changes f. Documentation justifying a waiver of any item of work. All waivers of contract requirements must be approved in writing and documentation justifying the waiver, including an analysis of credits due the Port. g. Documentation of merit of previous denied issue. Specific explanation justifying a change in the Port’s position on a previously denied issue. Any recommendations from the City Attorney or others shall be included. h. Record/Summary of Negotiations. Include documentation of meetings, phone calls, or e-mail correspondence to negotiate lump sum costs. Explain agreements, concessions, positions, and justifications for recommended cost. CMD Procedures Manual Page 30 of 73 2.5.17 - VER 02 2.5.17.7 Change Management Contractor Pending Change Order (CPCO) i. Documentation of disputed items. Maintain an issues file for all disputed items of work 6. The CPCO is entered into the CPCO spreadsheet which tracks the Executive Director Change Order authorization, the CPCOs issued against that authorization, and the remaining authorization. 7. The CM routes duplicate copies of the CPCO for approval. The CPCO is routed in a green folder along with an updated copy of the CPCO spreadsheet and the back-up documents to the CPCO (i.e. a copy of the RFI or written request initiating the work, cost estimate if required, contractor’s quote, copy of PM’s approval if necessary, documentation checklist, etc). The order of signatures is as follows: a. Construction Manager (consultant or Port CM) b. POLB CM Supervisor (see project specific org chart) c. Director of Construction Management d. Contractor 8. Upon execution by the Contractor, one original signed copy is returned to the Port. The original is scanned and filed in the contract file and copies are distributed. 9. If the CPCO is T&M, the CM, with support from the Inspector and information from the Contractor, tracks the cumulative cost of the work on a daily basis. Once the cost reaches 75% of the not-to-exceed amount, the CM estimates the remaining work and issues a revised CPCO to increase the not-to-exceed amount if necessary. The revised CPCO uses the same number as the original one, followed by a “-R1” (i.e, CPCO 04-R1), and the description shall indicate that it supersedes the previously issued CPCO. 10. Once the total cost of all of the CPCOs issued approaches the Executive Director authorization limit, or the Contractor has requested payment for the CPCOs issued, the CM prepares a change order (see Change Order procedure). The change order must be executed before payment can be made on the CPCOs. 11. If further additional work is anticipated which would exceed the Executive Director’s authorization, the CM shall discuss immediately with the DCM sufficiently in advance of when the authorization is needed in order to obtain Board approval without delaying the contract work (see Change Order procedure). D. Exhibits 1. Contractor Pending Change Order (CPCO) Example (Primavera Contract Manager) 2. Change Documentation Checklist (file: Change Doc Checklist.xlsx) 3. CPCO Documentation Summary Example (file: Change Doc Summary.docx) CMD Procedures Manual Page 31 of 73 2.5.17 - VER 02 2.5.17.7 Change Management Contractor Pending Change Order (CPCO) 4. Change Management Log Example (file: Change Mgmt Log.xlsx) CMD Procedures Manual Page 32 of 73 2.5.17 - VER 02 2.5.17.7 Change Management Contractor Pending Change Order (CPCO) Exhibit 1: Contractor Pending Change Order (CPCO) Example (Page 1 of 2) CMD Procedures Manual Page 33 of 73 2.5.17 - VER 02 2.5.17.7 Change Management Contractor Pending Change Order (CPCO) Exhibit 1: Contractor Pending Change Order (CPCO) Example (Page 2 of 2) CMD Procedures Manual Page 34 of 73 2.5.17 - VER 02 2.5.17.7 Change Management Contractor Pending Change Order (CPCO) Exhibit 2: Change Documentation Checklist CMD Procedures Manual Page 35 of 73 2.5.17 - VER 02 2.5.17.7 Change Management Contractor Pending Change Order (CPCO) Exhibit 3: Change Documentation Summary Example (Page 1 of 2) CMD Procedures Manual Page 36 of 73 2.5.17 - VER 02 2.5.17.7 Change Management Contractor Pending Change Order (CPCO) Exhibit 3: Change Documentation Summary Example (Page 2 of 2) CMD Procedures Manual Page 37 of 73 2.5.17 - VER 02 2.5.17.7 Change Management Contractor Pending Change Order (CPCO) Exhibit 4: Change Management Log Example CMD Procedures Manual Page 38 of 73 2.5.17 - VER 02 2.5.17.7 Change Management Contractor Pending Change Order (CPCO) Contractor Change Management - Contractor Pending Change Order (CPCO) Sign and return one original CPCO Complete CPCO Checklist and Support Documentation (See Exhibit 2 & 3) Is work to be performed on T&M? (See CMDPM 2.5.17.12) YES Prepare Justification/ Rationale for proceeding on a T&M basis NO CM Obtain Cost Proposal from Contractor (see CMDPM 2.5.17.5) START From Change Management (See CMDPM 2.5.17.2 or 2.5.17.3) Create CPCO in Construction Project Management Information System. and Is change over $10,000? YES NO Can the Time Impact to the Project be determined at this time? Print two original CPCOs (See Exhibit 1) Sign YES Transmit both original CPCOs to Contractor (w/out back-up docs) (See CMDPM 2.2.3) DCC IN (See CMDPM 2.2.2) Return to Change Management (See CMDPM 2.5.17.9) END Distribution: Project file (Original with back-up docs) Construction Manager Inspector Principal Inspector Prepare a Time Impact Schedule Analysis Provide justification why a Time Impact/ Schedule Impact cannot be determined Sign DCM CMD Procedures Manual Route both original CPCOs with backup docs and CPCO Spreadsheet Include in CPCO support documentation that change is less than $10,000 CM Supervisor NO Prepare Independent Cost Estimate Update Change Management Log (See Exhibit 4) and include in Weekly Report as pending change Sign Page 39 of 73 2.5.17 – VER 02 2.5.17.8 Change Management Claims Deemed “No Merit” 2.5.17.8 CLAIMS DEEMED “NO MERIT” A. Overview Requests for additional compensation from the Contractor may be triggered by several events including response to a Request for Information (RFI), submittals, alleged differing site conditions, or owner caused delays. If after evaluation by the Construction Manager, it is determined no change in either cost or time is warranted, the Contractor’s claim will be designated as having no merit. While such issues should be escalated in the dispute resolution process, there is the potential that the issue will lead to litigation. Therefore justification for denying such claims and accurate documentation of the level of effort expended in the field is critically important. B. Flowchart (see page 45) C. Procedure 1. If CM determines a Contractor requested change does not have merit, the change request will be carried forward as a claim until the Contractor responds in writing that they will no longer pursue compensation for the claim, or until the Final Closeout Change Order is executed. 2. The CM ensures the claim is entered into Primavera Contract Manager Change Management module in the “estimated” phase. 3. If the Contractor is protesting the CM’s rejection of the claim, the issue will be escalated to the next level in the dispute resolution process, which is typically the DCM. 4. If the Contractor and the DCM cannot come to an agreement on the claim, other alternative dispute resolution approaches will be considered. 5. The DCM will brief the Chief Harbor Engineer, Managing Director and the City Attorney as appropriate. The Weekly Report shall list each disputed item which has been deemed for no merit with the amount of the claim. 6. If the Contractor is proceeding with the work related to the claim, the Inspector shall track the time and materials associated with the claim and the CM shall track the potential costs. 7. If it appears that the Contractor will pursue litigation for the claim, the Director of Construction Management will consult with the City Attorney. 8. If the Port agrees to the claim at any point, the claim must be authorized in a Change Order. CMD Procedures Manual Page 40 of 73 2.5.17 - VER 02 2.5.17.8 Change Management Claims Deemed “No Merit” Note: It is against the law for a Contractor to submit false claims. Keep documentation demonstrating the false claim and notify the DCM. D. Exhibit 1. Letter Denying Claim Example CMD Procedures Manual Page 41 of 73 2.5.17 - VER 02 2.5.17.8 Change Management Claims Deemed “No Merit” Exhibit 1: Letter Denying Claim Example CMD Procedures Manual Page 42 of 73 2.5.17 - VER 02 2.5.17.8 Change Management Claims Deemed “No Merit” Change Management – Claims Deemed “No Merit” Contractor Protest the Port’s rejection of the claim? CM NO Ensure claim is appropriately recorded in the Construction Project Management Information System and included in Weekly Report as pending change START From Change Management (See CMDPM 2.5.17.3) YES YES Respond to Port’s rejection of claim and Meet with DCM to resolve claim (If necessary) Is Contractor proceeding with the claim work? Claim resolved? YES NO Utilize alternative dispute resolution approaches as agreed to with DCM NO Track potential costs (T&M) (See CMDPM 2.5.17.12) Proceed with Litigation? YES Resolve Claim in Litigation END NO DCM Escalate Issue to next level in Dispute Resolution Process Meet with Contractor to resolve Claim Consider other alternative dispute resolution approaches and determine an agreeable approach with contractor Claim resolved? NO and Brief the CHE, Managing Director, and the City Attorney as appropriate. YES Return to Change Management (See CMDPM 2.5.17.3) CMD Procedures Manual Page 43 of 73 2.5.17 – VER 02 2.5.17.9 Change Management Change Order 2.5.17.9 CHANGE ORDER A. Overview A change order is a formal modification to the construction contract and is required for payment to the contractor for extra work or for any adjustment in the contract duration. A change order must be signed by the Executive Director; however the Executive Director’s authority is limited to a cumulative total of $100,000 per contract. This authority covers multiple change orders so long as their total is less than $100,000. If a change order exceeds $100,000 or the Executive Director’s remaining authority, the change order requires approval by the Board of Harbor Commissioners. For the purpose of determining a individual change order total, or the cumulative total of multiple change oders, with referce to Executive Director authority and Board approval, all additive items are to be included, the additive value cannot be reduced by deductive or credit items. A change order may incorporate previously approved Contractor Pending Change Orders (CPCOs) and/or new items. A “unilaterial” change order is issued when the Port has determined there is merit for an adjustment to the contract amount where an agreement with the Contractor cannot be achieved and the Contractor will not concur with the change order. A unilaterial change oder is issued by the Port without the signature by the Contractor. A “close-out” change order is issued at the end of the project for bid item quantity adjustments, unused allowance and contingency bid item amounts, remaining CPCOs, and unused amounts of previously issued Change Orders. B. Flowchart (see page 61) C. Procedure 1. Multiple change order items and CPCOs, both additive and deductive, can be combined into one change order. However, only additive items should be considered for purposes of evaluating whether the Change Order is within the Executive Director’s authority. 2. The CM determines there is a clear justification for a contract change based on one of the following reasons: a. RFI response resulting in additional work (response cannot be sent to Contractor until authorization for the additional work is obtained) b. Owner or tenant initiated scope change (requires approval from the PM) c. Unforeseen condition d. Ruling by Code Official CMD Procedures Manual Page 44 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order e. Clarification or Errors and Omissions by the Designer f. Contractor proposed change resulting in a credit g. Owner error 3. If the work must proceed immediately, the CM issues a CPCO (see CPCO procedure). If not, the CM issues an RFP and attempts to negotiate a lump sum price. a. Note: If the CM and Contractor are unable to reach an agreement, discuss options with the Director of Construction Management. Options may include directing the Contractor to proceed on the basis of General Provision 3.03 “Extra Work”, in accordance with Subdivision 3.034 and 3.035, or electing to use an On-Call contract or other contractor to accomplish the work. 4. If the value of the change order exceeds the Executive Director’s authority, or the total change orders would exceed 25% of the original contract amount, the CM must first go to the Engineering and Environmental Committee and then Board of Harbor Commissioners for approval before the change order can be issued (see Committee and Board Authorization). If the Change Order work is extremely time sensitive, it may be submitted to the Engineering and Environmental Committee and Board at the same meeting. 5. The CM verifies there are sufficient contingency funds in the Work Order to cover the cost of the Change Order. If not, CM requests PM to supplement the Work Order (see Committee and Board Authorization below). 6. CM prepares a draft Change Order, using the “Change Order” letter template in the Contract Manager Letters Module. 7. CM prepares a Change Order Memo to Director of Construction Management. The memo provides the project background, description and reason code for each change order item, and a summary of the Work Order, contract, contingency, and change order funding. Place the numerical reason code next to each change order item. This will assist the CM in summarizing all change order items by the reason code at the end of the project. If the Change Order is to be issued unilaterally, this shall be noted in the Memo to the Director of Construction Management. 8. CM prepares a Contract Change Order Background form (Form 3B) to document the change order. 9. The following Change Order documentation shall be prepared and maintained in the project records and acknowledged on the Contract Change Order Background form: a. Evaluation of the merit or entitlement for the proposed change CMD Procedures Manual Page 45 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order b. Documentation of an independent estimate of the cost of the change for changes exceeding $10,000. The maximum limit of $10,000 is based on the proposed change and excludes any related credit. c. If the additional work is to be completed on Time and Material, justification for reason s to proceed on a time and material basis shall be documented. Justification should address; to avoid schedule impact with specific schedule activity reference, uncertain scope, disagreement on cost, urgency of the additional work, etc. d. Time impact/schedule analysis including any cost associated with time impact to the project. Explanation of the required time extension and impact costs, including evaluating delay damages, direct impact on other subsequent work activities, impact to the project’s critical path schedule, whether the delay would trigger any liquidated damages, or exposure to the Port for the Contractor’s extended field and home office overhead costs. If the time impact and related cost cannot be evaluated at this time, include a statement of explanation. Full and final costs settlements should be pursued when negotiating all change orders. e. Documentation from the Program Management Division should be included for all discretionary scope related changes and from the Designer for all design related changes f. Documentation justifying a waiver of any item of work. All waivers of contract requirements must be approved in writing and documentation justifying the waiver, including an analysis of credits due the Port. g. Documentation of merit of previous denied issue. Specific explanation justifying a change in the Port’s position on a previously denied issue. Any recommendations from the City Attorney or others shall be included. h. Record/Summary of Negotiations. Include documentation of meetings, phone calls, or e-mail correspondence to negotiate lump sum costs. Explain agreements, concessions, positions, and justifications for recommended cost. i. Documentation of disputed items. Maintain an issues file for all disputed items of work k. All draft versions of the change order which illustrate interim revisions, with independent reviewed sign-off shall be maintained in the project files. 10. CM routes a yellow copy of the draft change order in a green folder with the back-up documents to each change order item (CPCO, RFI, RFP/Quote, etc), and a copy of the Change Order Memo, Contract Change Order Background form (Form 3B), and approved Board memo if applicable. If the CO is to be mailed to the Contractor, a draft of the transmittal letter is also prepared by the CM and included for review. The routing order is as follows: a. POLB CM supervisor CMD Procedures Manual Page 46 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order b. Admin Analyst (attaches a calculator tape to the Change Order to verify Change Order Total and revised Contract Amount) c. Director of Construction Management 11. After DCM review and incorporation of any requested revisions, the CM sends a draft copy of the Change Order to the Contractor for review and concurrence. Discuss any changes proposed by the Contractor with immediate supervisor and/or Director of Construction Management. In the case of a unilaterial change order, a draft copy of the Change Order is not sent to the Contractor for review and concurrence. 12. CM e-mails a completed copy of the Contract Change Order Background form (Form 3B) to the CMD Secretary, who inturn will e-mail a copy to the Contract Compliance Section. Submission of the form shall take place a minimum of five (5) business days prior to any recommendation to the Board of Harbor Commissioners for change order ratification or approval. 13. CM finalizes the change order and prints two original copies on POLB letterhead, with “DUPLICATE ORIGINAL” printed in the upper right-hand corner of both copies. 14. The original change order draft along with any interim versions should be retained in the project files. 15. CM routes both original copies of the change order for approval. The change order is routed internally in a green folder with a copy of the draft change order and the Change Order Memo. The Change Order Memo is for the internal routing only and is not transmitted to the Contractor. The routing order is as follows: a. Construction Manager – Initials b. Program Manager – Initials c. Director of Construction Management – Initials d. Contractor – Signature (without Change Order Memo), Rouing to the Contractor is not applicable for unilateral Change Orders.) e. CM – review any proposed revisions or exceptions f. DCM – review before delivering to Chief Harbor Engineer g. Chief Harbor Engineer – Initials h. Managing Director of Engineering – review before delivering to Executive Director i. Executive Director – Signature CMD Procedures Manual Page 47 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order 16. After execution is complete, return one original copy to contractor. The other original copy is sent to Records Center. Copies are distributed to the Program Manager, Inspector, File (through DCC), and Admin Analyst. D. Exhibit 1. Change Order Example (Primavera Contract Manager Letter Template) 2. Change Order Memo Example 3. Contract Change Order Background (Form 3B) Example (Contract Compliance Manual) 4. Change Documentation Checklist (file: Change Doc Checklist.xlsx) 5. Change Management Log Example (file: Change Mgmt Log.xlsx) CMD Procedures Manual Page 48 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 1: Change Order Example (Page 1 of 3) CMD Procedures Manual Page 49 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 1: Change Order Example (Page 2 of 3) CMD Procedures Manual Page 50 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 1: Change Order Example (Page 3 of 3) CMD Procedures Manual Page 51 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 2: Change Order Memo Example (Page 1 of 3) CMD Procedures Manual Page 52 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 2: Change Order Memo Example (Page 2 of 3) CMD Procedures Manual Page 53 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 2: Change Order Memo Example (Page 3 of 3) CMD Procedures Manual Page 54 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 3: Contract Change Order Background (Form 3B) Example (Page 1 of 4) CMD Procedures Manual Page 55 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 3: Contract Change Order Background (Form 3B) Example (Page 2 of 4) CMD Procedures Manual Page 56 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 3: Contract Change Order Background (Form 3B) Example (Page 3 of 4) CMD Procedures Manual Page 57 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 3: Contract Change Order Background (Form 3B) Example (Page 4 of 4) CMD Procedures Manual Page 58 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 4: Change Documentation Checklist CMD Procedures Manual Page 59 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Exhibit 5: Change Management Log Example CMD Procedures Manual Page 60 of 73 2.5.17 - VER 02 2.5.17.9 Change Management Change Order Contractor Change Management – Change Order Review draft Change Order and provide comments (if necessary) Sufficient funds in the CWO? CM From Change Management (See CMDPM 2.5.17.2 or 2.5.17.3) YES Obtain BHC approval to supplement the CWO (See CMDPM 2.5.17.13) NO START and Total of all COs < 25% of orig. contract amount? Prepare draft CO Memo (See Exhibit 2) NO Unilateral Change Order Distribution: Record Center (Original) Project file (w/ back-up docs & CO Memo) Contract Administrator Administrative Aide Construction Manager Inspector Principal Inspector Program Manager SBE Office Are there any substantive comments from the Contractor? NO Obtain BHC approval for Contract Amendment (See CMDPM 2.5.17.13) and Route draft Memo, and draft CO with backup docs for review (Retain all in project records) Incorporate review comments and send draft to Contractor (Retain all in project records) Route both original COs with backup docs and CO Memo for approval and Finalize CO - Print two original copies DCC OUT: Transmit both original COs to Contractor (w/out back-up docs) (See CMDPM 2.2.3) DCC IN (See CMDPM 2.2.2) Give both COs, back-up docs, and CO Memo to DCM YES Obtain COMM / BHC approval for Change Order (See CMDPM 2.5.17.13) Initial Prepare Change Order Documentation and maintain in the project records NO END Unilateral Change Order Review Update the Purchase Order (See CMDPM 2.5.19) DCM PM Initial Review and send to Chief Harbor Engineer CHE Review Executive Director Managing Director, Engineering Initial Initial CMD Procedures Manual Transmit one original CO to Contractor (See CMDPM 2.2.3) Return to Change Management (See CMDPM 2.5.17.2 or 2.5.17.3) Admin Support CM Supervisor / DCHE II YES Finalize CO Memo Prepare draft CO (See Exhibit 1) Prepare Change Order Background Form (Form 3b) NO Incorporate Contractor review comments YES NO Total of all CPCOs & COs < Exec Dir authority (typ. $100k)? (Original) Executed Change Order Sign and return both original COs Sign Page 61 of 73 2.5.17 – VER 02 2.5.17.10 Change Management Contract Amendment 2.5.17.10 CONTRACT AMENDMENT (under development) A. Flowchart (see page 63) CMD Procedures Manual Page 62 of 73 2.5.17 - VER 02 2.5.17.10 Change Management Contract Amendment Sign Contract Amendment and provide proof of current insurance START From Change Order (See CMDPM 2.5.17.9) Complete Contract Compliance Form, SBE Form and request Contract Amendment from Admin Staff. Request updated Contract insurance requirements from Risk Mgmt. and Prepare Memo requesting C/AT prepare a Contract Amendment Begin Drafting BHC Memo DCC OUT (See CMDPM 2.2.3) DCM Review Route draft Contract Amendment for review Send revisions to C/AT (If needed) NO Prepare letter to Contractor DCC OUT (See CMDPM 2.2.3) CMD Procedures Manual DCC IN (See CMDPM 2.2.3) Hold Original Obtain BHC Approval (See CMDPM 2.5.17.11) Return to Change Order (See CMDPM 2.5.17.9) Prepare Memo requesting C/AT sign Contract Amendment & request insurance approval from Risk Mgmt. DCC OUT (See CMDPM 2.2.3) END Route Contract Amendment to Executive Director Review Sign Memo Sign Review Prepare draft Contract Amendment Prepare Final Contract Amendment Sign Memo Sign Contract Amendment Executive Director City Attorney (C/ AT) Include copy of signed Contract Amendment with BHC Memo YES DCHE II Admin Support CM Contractor Change Management – Contract Amendment Sign Contract Amendment Page 63 of 73 2.5.17 – VER 02 2.5.17.11 Change Management Board Authorization 2.5.17.11 BOARD AUTHORIZATION A. Overview A change order in excess of the Executive Director’s authority ($100,000) requires approval by the Board of Harbor Commissioners. Since the cumulative total of change orders is also subject to the Executive Director’s authority, once a change order is approved it is typically presented to the Board of Harbor Commissioners for ratification along with a request to restore the Executive Director’s authority to $100,000. B. Flowchart (see page 66) C. Procedure 1. The CM needs to obtain Board of Harbor Commissioners authorization for the following actions: a. Request approval of a change order that will exceed the Executive Director’s change order authorization (typically $100,000) either individually or cumulatively. b. Ratify (retroactively approving) any change order previously executed by the Executive Director in order to restore the Executive Director’s authority to $100,000. c. Request an Amendment to the construction contract if the cumulative value of the change orders exceeds 25% of the original contract amount. d. Request a supplement to the Work Order to provide funds for the change orders and/or additional staff time required to design or manage the change orders (collaborative with the PM) e. Request a revision to the project budget to reflect the change orders (PM responsibility) 2. The CM prepares a draft memo to the Board of Harbor Commissioners. The memo may be for one or more of the above actions. 3. If the action is an Amendment, the Admin Analyst drafts a memo requesting the City Attorney prepare the Amendment. The City Attorney sends a draft copy of the Amendment to the CMD which is routed for review. The final Amendment is sent to the Contractor for signature. Once signed by the Contractor, the Admin Analyst sends a copy to the CM which is included as an attachment to the Board Memo. 4. The CM routes a yellow draft of the memo in accordance with the timeline requirements in the latest Board Memo Guidelines issued by the Chief Harbor Engineer. The memo is routed in a red folder labeled “Board Memo.” CMD Procedures Manual Page 64 of 73 2.5.17 - VER 02 2.5.17.11 Change Management Board Authorization The routing order is as follows: a. POLB CM supervisor b. Admin Analyst c. Program Manager (if supplementing the work order or revising the budget) d. Director of Construction Management e. Chief Harbor Engineer 5. The CM finalizes the Board Memo and routes a final white copy along with all draft copies in the red folder to the Director of Construction Management for signature. The memo must be signed and turned in to the 6th floor per the Board Memo Guidelines. 6. The CM places the digital copy of the memo (MS Word) on the N drive under N:\Construction-Inspection Group\BHC Memos. 7. The CM provides any back-up or background information that is requested by the Director of Construction Management in order to present the item at the Board meeting. 8. The Board of Harbor Commissioners considers the action for approval. 9. If the requested action is an Amendment, the Admin Analyst drafts a memo transmitting the Amendment to the Executive Director for signature. A copy of the final approved Amendment is sent to the CM, and the original is sent to Records Center. CMD Procedures Manual Page 65 of 73 2.5.17 - VER 02 2.5.17.12 Change Management Time and Material Tracking 2.5.17.12 TIME AND MATERIAL TRACKING A. Overview During the course of the construction work, extra work may need to proceed in advance of determining a negotiated lump sum amount for the extra work. This may occur due to the following: When an unknown condition is encountered where the total extent of the work cannot be determined, or where extra work is required in order to determine the extent of the extra work required. Extra work where the Contractor’s proposed price is considered unreasonable and an agreement on the price of the work cannot be reached between the Contractor and the Port. Extra work where there is unusual or above normal risk associated with the work and a lump sum, fixed price for the work might include additional costs and contingencies from the Contractor to assume that risk. However the overall cost might be less if the Port assumes the risk by directing the work to proceed on a Time and Material basis. Extra work that needs to proceed immediately in order to avoid potential delay or other impact costs. Documention including analysis of the contractor’s accepted baseline and updated schedule verifying the need for the work to proceed in advance of negotiating a lump sum price is required in the file. Extra work that could delay the project’s schedule where initially the work needs to proceed in advance of reaching agreement on a lump sum amount with the Contractor. To avoid or minimize potential delays, the work should be directed to begin on a time and material basis, with a not-to-exceed amount sufficient for the work to be initiated, then the change would subsequently be revised to the full lump sum agreed amount. In these instances proceeding with the extra work on a not-to-exceed, time and material basis may be the best method of mitigating the overall cost associated with the extra work. When extra work is directed on a time and material basis, required documentation to remain in the project file shall include; the basis of the not-to-exceed amount and justification for proceeding with the work on a time and material basis, including an analysis of the baseline and/or recent schedule update indicating the potential schedule impact and overall delay to the project. Tracking work on a time and material basis may also be required if there is a dispute between the Contractor and the Port regarding entitlement for additional compensation for the work in question. In this instance, the Contractor can be directed to proceed with the work as disputed work, where the work is tracked through daily reports CMD Procedures Manual Page 67 of 73 2.5.17 - VER 02 2.5.17.12 Change Management Time and Material Tracking completed and submitted by the Contractor. Refer to Section 2.5.17.8 Claims Deemed “No Merit.” B. Flowchart (see page 73) C. Procedure 1. Once the determination has been made that the extra work should proceed on a time and material basis, a rough order of magnitude estimate of the not-to-exceed amount associated with the work shall be prepared and maintained in the project/change order file for purposes of determining an appropriate not-to-exceed authorization amount. (If the full scope for the work cannot be determined at the time the CPCO is written, the rationale for the stated not-to-exceed amount needs to be provided and included in the project file.) 2. A signed Daily Extra Work Report shall be prepared by the Contractor for all work performed on a Time and Material basis and submitted to the Port’s Inspector at the end of each work day for approval and sign off. 3. The CM, with support from the Inspector and information from the Contractor, shall track the approximate cumulative cost of the work on a daily basis. Once the approximate cost reaches 75% of the not-to-exceed amount, the CM estimates the remaining work and issues a revised WATO or CPCO to increase the not-to-exceed amount. The WATO or revised CPCO uses the same number as the original one, followed by a “-R1” (i.e., CPCO 04-R1), and the description shall reference the previously issued authorization, the date issued, and shall indicate that it supersedes the previously issued authorization (See Exhibit 1). 4. Upon receipt of the total accumulation of costs related to the extra work from the Contractor, the CM shall verify the labor and equipment hours against the Daily Extra Work Reports as well as the inspector’s Daily Inspection Report. 5. The CM shall verify the labor and equipment rates reflected on the total accumulation of costs along with the material costs. The labor rates should be verified against the General Prevailing Wage Determination (See Exhibit 2) for the applicable trade classification or against the Contractor’s Certified Payroll records (See General Condition 7.4.1(3)). Hourly equipment rates shall be verified against actual rental invoices for rental equipment or a recognized publication of equipment rental rates in the area for Contractor owned equipment. Material costs shall be verified against actual receipts provided by the Contractor. 6. The appropriate prime and subcontractor mark-ups specified in the contract documents for labor, equipment, material, and lower tier sub-contractors shall be applied to the corresponding extra work or disputed work item. The resulting total accumulated cost associated with the extra or disputed work shall be compared against the contractor’s submitted total (that has been verified by the Port’s inspector). In order to resolve any difference between the Port and Contractor’s tabulation of the actual costs, the CM shall meet with the Contractor to determine CMD Procedures Manual Page 68 of 73 2.5.17 - VER 02 2.5.17.12 Change Management Time and Material Tracking any additional back-up documentation that is needed from the Contractor to identify where the discrepancy exists between the totals. An example of such additional back-up information would be material receipts or shop fabrication labor. 7. After agreement is reached between the CM and the Contractor on the total accumulation of cost and time for the extra work performed on a time and material basis, the corresponding WATO or CPCO log shall be revised to reflect the actual cost and to indicate it is a final cost and final time impact. A time and material final billing document shall be signed by the Contractor, CM and Senior CM and maintained in the project file. The CM shall endeavor to obtain agreement with the Contractor that final costs of time and material work are “full and final” costs including all delay and impact cost if any. Formal change orders issued to authorize time and material work shall be adjusted to take credits for unused amounts in a subsequent deductive change order. D. Exhibits 1. Daily Extra Work Report, Form HD-E-9 (10/2007), a triplicate carbon-copy form with white, yellow and pink sheets. 2. General Prevailing Wage Determination made by the Director of Industrial Relations (Example) CMD Procedures Manual Page 69 of 73 2.5.17 - VER 02 2.5.17.12 Change Management Time and Material Tracking Exhibit 1: Daily Extra Work Report, Form HD-E-9 CMD Procedures Manual Page 70 of 73 2.5.17 - VER 02 2.5.17.12 Change Management Time and Material Tracking Exhibit 2: General Prevailing Wage Determination (Page 1 of 2) CMD Procedures Manual Page 71 of 73 2.5.17 - VER 02 2.5.17.12 Change Management Time and Material Tracking Exhibit 2: General Prevailing Wage Determination (Page 2 of 2) CMD Procedures Manual Page 72 of 73 2.5.17 - VER 02 2.5.17.12 Change Management Time and Material Tracking B. Flowchart Change Management – Time and Material Tracking CM Contractor CM Supervisor Inspector START NO From Change Management (See CMDPM 2.5.17.2 or 2.5.17.3) Prepare Daily Extra Work Report and submit to Port Inspector Verify cost, rates and track running total of change items. Track the total expenditures to date against the change authorization. Does running cost equal 75% of authorized amount? Repeat tracking until change work is complete. Verify quantity, labor classifications, equipment and materials. Sign extra work report. Distribution: CM (Original) Inspector Contractor YES Revise CPCO,WATO or CO. Work Completed Contractor and POLB Agree on Final Cost and Time. Submit final time and cost impact report. Sign final billing document. Sign final billing document. Sign final billing document. Verify all relevant documentation is in the C.O. File. END CMD Procedures Manual Page 73 of 73 2.5.17 - VER 02 2.6 Contract Closeout / Post-Construction Phase 2.6 CONTRACT CLOSEOUT / POST-CONSTRUCTION PHASE The Closeout Phase begins when the contract is declared Substantially Complete, and for Formal Contracts, concludes when the Board of Harbor Commissioners approves Final Acceptance. The Closeout Phase consists of: completing all punch list items, including any outstanding deliverables and permit conditions; de-mobilization; ensuring the project facility/improvement owner has received the training and documentation necessary to use the facility/improvement; resolving all labor compliance, SBE/VSBE, stop notice, and other administrative items; resolving all cost and claim issues and executing the Final Closeout Change Order; and requesting the Board of Harbor Commissioners approve Final Acceptance. The Post-Construction Phase begins once the contract is accepted by the Board of Harbor Commissioners, or upon issuance of the final payment for Informal Contracts. The PostConstruction Phase includes: administering the warranty period; conducting the PostConstruction Review; and boxing up and storing the contract records. Preparation for the Close-Out / Post-Construction Phase begins throughout the Construction Phase by being proactive in resolving issues, ensuring the red-line drawings are kept up to date, ensuring all permit conditions are met, and maintaining well organized and comprehensive project records. DOCUMENT APPROVAL: VER Date 01 2/5/10 Approved By: Gary J. Cardamone Director of Construction Management REVISION HISTORY: VER Date CMD Procedures Manual 2.6 Closeout FINAL 2-5-10.docx Summary of Changes Page 1 of 1 2.6 - VER 01 2.6.1 Contract Closeout Checklist 2.6.1 CONTRACT CLOSEOUT CHECKLIST INDEX: Section Page A. Flowchart .................................................................... 2 B. Purpose and Policy Overview ........................................ 3 C. Roles and Responsibilities ............................................. 3 D. Procedure ................................................................... 3 E. Summary of Documents Generated ............................... 4 F. Exhibit ........................................................................ 4 1. Contract Closeout Checklist ..................................... 5 DOCUMENT APPROVAL: VER Date 01 2/5/10 Approved By: Gary J. Cardamone Director of Construction Management REVISION HISTORY: VER Date CMD Procedures Manual Summary of Changes 2.6.1 - Closeout Checklist FINAL 2-5-10.docx Page 1 of 6 2.6.1 - VER 01 2.6.1 Contract Closeout Checklist A. FLOWCHART Contract Closeout Checklist DCM CM Supervisor Inspection Section CM Admin Support Section SBE Office START D.1 Has the notice of Substantial Completion been issued? D.1 NO Begin Closeout Phase after Contract is Substantially Complete YES D.2 Obtain a copy of the current Closeout Checklist D.3 Punch list & Permit sign-off status D.3 D.4 D.4 Obtain periodic status updates Obtain periodic status updates Complete Closeout tasks and update Checklist throughout Closeout Phase. Provide periodic status updates to Supervisors. D.3 Coordinate Status of Stop Notices, Consent of Surety, Thirdparty record requests, and Third-party claims D.3 SBE approval to proceed with Final Acceptance D.6 All items in Checklist are complete & contract is ready for Acceptance? NO YES D.7 D.6 (ORIGINAL) Verify & Sign (ORIGINAL) Sign Checklist D.9 D.8 Include a copy of signed Checklist with draft BHC Final Acceptance Memo (or Final Payment for Informal Contracts) Distribution: DCC (original to project file) CM CM Supervisor END CMD Procedures Manual 2.6.1 - Closeout Checklist FINAL 2-5-10.docx Page 2 of 6 2.6.1 - VER 01 2.6.1 Contract Closeout Checklist B. PURPOSE AND POLICY OVERVIEW The purpose of the Contract Closeout Checklist is to provide the Construction Management Team members with a quick summary reminder of activities that occur during the Closeout and Post-Construction Phases, and provide a status summary for supervisors and managers to ensure activities are completed prior to going to the Board of Harbor Commissioners for Final Acceptance. A Contract Closeout Checklist shall be completed and signed for all Formal Construction Contracts prior to proceeding to the Board of Harbor Commissioners for Final Acceptance. For Informal Contracts, the Checklist shall be completed and signed prior to processing the final payment. The Construction Manager assigned to the project is responsible for completing the checklist and obtaining the status of the various items in the checklist from the project team members. However, every project team member is encouraged to use the checklist as a reference. This Section refers to the policies and procedures for the checklist only. Policies and procedures for the various items within the checklist may be found under their associated Section in this Manual. C. ROLES AND RESPONSIBILITIES Construction Management Division: 1. Administrative Support: Provide status of Stop Notices, Consent of Surety, third-party claims, and records requests. 2. Construction Manager: Responsible for the Closeout Checklist process. Complete the Checklist and ensure all items are completed in a timely manner. Obtain status updates from the various individuals responsible for completing the tasks. Notify CM Supervisor of issues preventing the timely completion of any item. 3. CM Supervisor: Review checklist periodically. Verify Contract Closeout Checklist items are complete and sign final Checklist. 4. DCC: Index, scan, log, file, and distribute final Checklist. 5. DCM: Review copy of final Checklist prior to signing BHC Final Acceptance memo, or final payment for Informal Contracts. Other Bureaus/Divisions: 1. SBE Office: Provide status of SBE approval. D. PROCEDURE 1. Begin the Contract Closeout Checklist process after Substantial Completion is issued. CMD Procedures Manual 2.6.1 - Closeout Checklist FINAL 2-5-10.docx Page 3 of 6 2.6.1 - VER 01 2.6.1 Contract Closeout Checklist 2. The CM obtains the most current version of the Contract Closeout Checklist from N:\Construction-Inspection Group\Construction Forms\Chklst-Closeout (version date).xlsx. 3. The CM inputs the status of each item on the Checklist. For items the CM is not directly responsible for completing, the CM obtains status updates from the responsible party. If the answer is “No” or “N/A”, the CM must explain the reason in the “Comments” box next to the item. 4. The CM notifies the CM Supervisor of issues delaying the timely completion of any item. 5. The CM provides a copy of the Checklist to the CM Supervisor as requested. 6. Once all items have been completed, the CM signs the final version and gives to the CM Supervisor. 7. The CM Supervisor verifies completion of each item and signs the final Checklist. 8. The CM includes a copy of the signed final Checklist with the draft copy of the Board of Harbor Commissioners memo requesting Final Acceptance, or with the final payment for Informal Contracts. 9. The CM gives the original signed Checklist to DCC. 10. The DCC stamps, scans, logs in Contract Manager (DCC OUT), files the original in the project files, and distributes copies to the CM and CM Supervisor. E. SUMMARY OF DOCUMENTS GENERATED 1. Contract Closeout Checklist Template/Working File Template File Name Chklst-Closeout (version).xlsx Template Location N:\Construction-Inspection Group\Construction Forms File Type MS Excel Completed by CM Final Electronic File Location CM's C: or M: drive Final Document Original Hard Copy Project File File Index 19 Archive Scan Primavera Contract Manager (DCC OUT) Hard Copy Distribution CM CM Supervisor F. EXHIBIT 1. Contract Closeout Checklist CMD Procedures Manual 2.6.1 - Closeout Checklist FINAL 2-5-10.docx Page 4 of 6 2.6.1 - VER 01 2.6.1 Contract Closeout Checklist Exhibit 1: Contract Closeout Checklist CMD Procedures Manual 2.6.1 - Closeout Checklist FINAL 2-5-10.docx Page 5 of 6 2.6.1 - VER 01 2.6.1 Contract Closeout Checklist CMD Procedures Manual 2.6.1 - Closeout Checklist FINAL 2-5-10.docx Page 6 of 6 2.6.1 - VER 01 2.6.6 Post-Construction Review 2.6.6 POST-CONSTRUCTION REVIEW INDEX: Section Page A. Flowchart .................................................................... 2 B. Purpose and Policy Overview ........................................ 4 C. Roles and Responsibilities ............................................. 4 D. Procedure ................................................................... 5 E. Reference.................................................................... 6 F. Exhibits 1. Post-Construction Survey (Page 1 of 8) .................... 7 2. Post-Construction Review Meeting Agenda................ 8 3. Final Post-Construction Review Report Sample (Page 1-2 of 14) ......................................... 9 DOCUMENT APPROVAL: VER Date 01 12/18/09 Approved By: Gary J. Cardamone Director of Construction Management REVISION HISTORY: VER Date CMD Procedures Manual 2.6.6 Post-Con VER 01.docx Summary of Changes Page 1 of 10 2.6.6 - VER 01 2.6.6 Post-Construction Review A. FLOWCHART Post-Construction Review Post-Con Review Participants CM START D.1 Award amount over $1 mill. (or selected by DCM for a Post-Con) NO A YES D.1 Project Accepted by BHC? NO D.1 Wait until project is accepted by BHC before beginning PostCon process YES D.2-3 Obtain a copy of the Post-Con Survey file & modify (see [Survey Administrator] tab for instructions) D.4 D.4 Distribution: Director of Construction Management Deputy Chief Harbor Engineer II Deputy Chief Harbor Engineer I Chief Inspector CM staff assigned to the contract Administrative Analyst I Principal Inspector Lead Inspector Major Discipline Inspectors (if applicable) Chief Surveyor Survey Party Chief Director of Program Management Deputy Chief Harbor Engineer II (PM) Program Manager Director of Design Design Engineer Chief Harbor Engineer Contractor Third-Party Coordinators Project Product Owner (i.e. tenant) CMD Procedures Manual 2.6.6 Post-Con VER 01.docx D.5 E-mail Survey to Project Team and Survey Participants Complete the survey electronically and e-mail the response D.6 Create “Master Copy” file and input survey results (see [Survey Administrator] tab for instructions) B Page 2 of 10 2.6.6 - VER 01 2.6.6 Post-Construction Review Post-Construction Review Post-Con Review Participants CM A B and D.9 Create “Draft” Post-Con Report, Summary of Comments, & Ratings by Role Summary D.7 Schedule Post-Con Review Meeting & arrange for room D.9 D.8 Send e-mail invite to Survey Participants (except Contractor, ThirdParties, and Tenant) Prepare for meeting (Create Meeting Agenda, Sign-in Sheet, copies) D.10 Participate in Post-Construction Review Meeting (except Contractor, Third-Parties, and Tenant) D.10 Conduct Post-Con Review Meeting D.11 Enter comments from the meeting into “Master Copy” file to create “Final” Post-Con Report Print “Final” Post-Con Review Report & Sign D.12 D.13-14 DCC OUT (Go to CMDPM 2.2.3) END CMD Procedures Manual 2.6.6 Post-Con VER 01.docx D.13 Distribution: Director of Construction Management Deputy Chief Harbor Engineer II Deputy Chief Harbor Engineer I Chief Inspector CM staff assigned to the contract Administrative Analyst I Principal Inspector Lead Inspector Major Discipline Inspectors (if applicable) Chief Surveyor Survey Party Chief Director of Program Management Deputy Chief Harbor Engineer II (PM) Program Manager Director of Design Design Engineer Chief Harbor Engineer Page 3 of 10 2.6.6 - VER 01 2.6.6 Post-Construction Review B. PURPOSE AND POLICY OVERVIEW The purpose of the Post-Construction Review is to provide feedback to staff and other stakeholders to improve the quality and cost effectiveness of future projects. The objective of the review is to: Assess the project outcome Document the project Evaluate best practices Examine project issues and lessons learned Provide recommendations for improvement for future projects A Post-Construction Review will be conducted, generally after the contract has been accepted by the Board of Harbor Commissioners, for all construction contracts with award amounts over $1 million, or as selected by the Director of Construction Management. C. ROLES AND RESPONSIBILITIES Construction Management Division 1. DCC: File and distribute Final Report. 2. Administrative Support: Participate in survey and Post-Con Meeting. 3. Lead Inspector: Participate in survey and Post-Con Meeting. 4. Principal Inspector: Participate in survey and Post-Con Meeting. 5. Chief Inspector: Participate in survey and Post-Con Meeting. 6. Construction Manager: Responsible for the Post-Construction Review process.. Distribute survey, collect and analyze results, schedule and conduct Post-Con Meeting, produce and sign Final Post-Con Report. 7. CM Supervisor: Participate in survey and Post-Con Meeting. 8. Survey Party Chief: Participate in survey and Post-Con Meeting. 9. Chief Surveyor: Participate in survey and Post-Con Meeting. 10. DCHE I: Participate in survey and Post-Con Meeting. 11. DCHE II: Participate in survey and Post-Con Meeting. 12. DCM: Participate in survey and Post-Con Meeting. Other Bureaus/Divisions 1. PM: Participate in survey and Post-Con Meeting. Determine if Design Consultant will participate in survey. 2. Deputy Chief Harbor Engineer II (PM): Participate in survey and Post-Con Meeting. 3. Director of Program Management: Participate in survey and Post-Con Meeting. CMD Procedures Manual 2.6.6 Post-Con VER 01.docx Page 4 of 10 2.6.6 - VER 01 2.6.6 Post-Construction Review 4. Director of Design: Participate in survey and Post-Con Meeting. 5. In-house Design Engineer (if applicable): Participate in survey and Post-Con Meeting. Outside/Third Party 1. Design Consultant: Participate in survey, if requested by PM. 2. Construction Management Consultant Support Staff (if applicable): Participate in survey and Post-Con Meeting. 3. Contractor: Participate in survey. 4. Third-Party Coordinators: Participate in survey. 5. Project Product Owner (i.e. tenant): Participate in survey. D. PROCEDURE 1. Begin Post-Construction Review process for construction contracts with an award amount over $1 million after contract has been accepted by the Board of Harbor Commissioners (BHC). If it appears the close-out phase will be delayed due to litigation or an extended maintenance period, discuss with the Director of Construction Management whether to proceed with a Post-Construction Review prior to BHC Acceptance. 2. The CM obtains a copy of the most current Post-Con Survey Excel file from N:\Construction-Inspection Group\Construction Forms\Post-Con Review (version date).xlsx. Instructions for administering the Survey can be found on the [Survey Administrator] tab. (See Exhibit 1) 3. The CM enters the Specification Number, Title, Date, and return e-mail information in the [Survey] tab, and saves the “Survey” file. 4. The CM e-mails the survey to the Survey Participants. Include, at a minimum, the following: Director of Construction Management Deputy Chief Harbor Engineer II Deputy Chief Harbor Engineer I Chief Inspector Construction Management staff assigned to the contract Administrative Analyst I Principal Inspector Lead Inspector Major Discipline Inspectors (if applicable) CMD Procedures Manual 2.6.6 Post-Con VER 01.docx Page 5 of 10 Chief Surveyor Survey Party Chief Director of Program Management Deputy Chief Harbor Engineer II (PM) Program Manager Director of Design Design Engineer (in-house) Chief Harbor Engineer Contractor Third-Party Coordinators (utilities, tenant, COLB, etc. – survey only) Project Product Owner (i.e. the tenant for terminal improvements, Maintenance for sewer lift station, etc. – survey only) 2.6.6 - VER 01 2.6.6 Post-Construction Review 5. The Survey Participants fill out the survey electronically and e-mail the completed survey file to the CM. Instructions on how to fill out the survey can be found on the [Survey Instructions] tab. 6. The CM saves a duplicate copy of the “Survey” file to use as the “Master Copy” and copies and pastes the survey results from each completed survey into the Master file. 7. The CM schedules the Post-Construction Review Meeting and arranges for a room. 8. The CM sends out an e-mail invitation to the Survey Participants listed in D.4, except for the Contractor, Third-Party Coordinators, and Project Product Owner. 9. The CM prepares for the Post-Construction Review Meeting by doing the following: a. Fill-out the information on the [REPORT] tab, adjust the row heights as necessary, and print copies of the “Draft” Post-Construction Report for the meeting participants to review at the meeting. b. Print a copy of the “Average Rating by Role” on the [Raw Scores] tab. c. Print a copy of the “Summary of Comments” on the [COMMENT SUMMARY] tab. d. Prepare the Meeting Agenda using the [Meeting Agenda] tab. (See Exhibit 2) e. Prepare the Sign-in Sheet using the [Sign-in Sheet] tab. 10. The CM conducts the Post-Construction Review Meeting. 11. The CM enters any additional comments from the discussion at the Post-Construction Review Meeting into the “Master Copy” file. 12. The CM prints out and signs the “Final” Post-Construction Report. 13. The CM e-mails the “Final” Post-Construction Report to the Survey Participants listed in D.4. above (except for the Contractor, Third-Party Coordinators, and Project Product Owner) and gives the original to DCC. (See Exhibit 3) 14. The DCC stamps, indexes, scans, enters into Contract Manager, and files the original in the project file. E. REFERENCE 1. Environmental Management System Procedure EMS-SP9 F. EXHIBITS 1. Post-Construction Survey (Page 1 of 8) 2. Post-Construction Review Meeting Agenda 3. Final Post-Construction Report Sample (page 1-2 of 14) CMD Procedures Manual 2.6.6 Post-Con VER 01.docx Page 6 of 10 2.6.6 - VER 01 2.6.6 Post-Construction Review Exhibit 1: Post-Construction Survey (Page 1 of 8) CMD Procedures Manual 2.6.6 Post-Con VER 01.docx Page 7 of 10 2.6.6 - VER 01 2.6.6 Post-Construction Review Exhibit 2: Post-Construction Review Meeting Agenda CMD Procedures Manual 2.6.6 Post-Con VER 01.docx Page 8 of 10 2.6.6 - VER 01 2.6.6 Post-Construction Review Exhibit 3: Final Post-Construction Review Report Sample (Page 1-2 of 14) CMD Procedures Manual 2.6.6 Post-Con VER 01.docx Page 9 of 10 2.6.6 - VER 01 2.6.6 Post-Construction Review CMD Procedures Manual 2.6.6 Post-Con VER 01.docx Page 10 of 10 2.6.6 - VER 01 2.6.7 Contract Closeout Data Sheet 2.6.7 CONTRACT CLOSEOUT DATA SHEET INDEX: Section Page A. Flowchart .................................................................................. 2 B. Purpose and policy overview....................................................... 3 C. Roles and responsibilities ........................................................... 3 D. Procedure ................................................................................. 3 E. References ................................................................................ 7 F. Exhibits..................................................................................... 7 1. Contract Closeout Data Sheet ................................................. 8 DOCUMENT APPROVAL: VER Date 01 6/28/10 Approved By: G.J. Cardamone, P.E. Director of Construction Management REVISION HISTORY: VER Date CMD Procedures Manual Summary of Changes 2.6.7 - Contract Closeout Data Sheet VER 01.docx Page 1 of 8 2.6.7 - VER 01 2.6.7 Contract Closeout Data Sheet A. FLOWCHART Contract Closeout Data Sheet DCM CM Supervisor Administrative Support Section Inspection Section CM SBE Office START D.1 Confirm Contract is ready for Final Acceptance (Sections A, B, & C of the Contract Closeout Checklist complete) (see CMDPM 2.6.1) D.2 Obtain current Contract Closeout Data Sheet (CCDS) Excel template D.3.c D.3 Provide On-Call Contract data Fill out CCDS form. Request data as necessary. D.3.e Provide FAMIS cost report D.4 D.3.f Review SBE amounts, and notify CM if there are any outstanding SBE issues that need to be resolved before Final Acceptance (ORIGINAL) Print final version and sign D.7 Review and Sign D.6 D.5 Route Original signed CCDS with Draft BHC Final Acceptance Memo (see CMDPM 2.6.2) Review D.8 Include a copy of signed CCDS for DCM’s use with final Board Memo for DCM signature (see CMDPM 2.6.2) D.10 Input data into PB Views and CMD Performance Measures spreadsheet (see CMDPM 1.5) D.9 Give Original CCDS to Administrative Aide and copy to DCC D.12 D.11 D.11 Distribution: CM CM Supervisor Administrative Analyst SBE Administrator DCC CMD Procedures Manual Put Original CCDS in DCM’s Closeout Binder, copy in Admin Aide’s Binder, and distribute 2.6.7 - Contract Closeout Data Sheet VER 01.docx DCC IN (See CMDPM 2.2.3) END Page 2 of 8 2.6.7 - VER 01 2.6.7 Contract Closeout Data Sheet B. PURPOSE AND POLICY OVERVIEW The Contract Closeout Data Sheet (CCDS) provides a quick summary of general contract information and key cost and time metrics. The purpose of the CCDS is to: Provide a reference document for reviewers of the draft Final Acceptance memo Assist the DCM in preparing for the Board presentation of Final Acceptance Assist POLB management in evaluating the level of successes of the various aspects of the contract and the construction management team Provide an easy reference to compare statistics between multiple projects The Contract Closeout Data Sheet must be completed prior to going to the Board of Harbor Commissioners for Final Acceptance. C. ROLES AND RESPONSIBILITIES Construction Management Division: 1. Administrative Aide: Input CCDS information into PB Views and CMD Performance Measures spreadsheet. Copy and distribute CCDS. 2. Administrative Analyst: Provide FAMIS cost reports. 3. Construction Manager: Responsible for the CCDS process. Obtain the necessary information, complete and sign the CCDS. 4. CM Supervisor: Review CCDS. 5. DCC: Stamp, index, scan, attach in Contract Manager, and file final CCDS. 6. Director of Construction Management: Review and sign CCDS. 7. Principal Inspector: Provide On-Call Contract information. Other Bureaus/Divisions: 1. SBE Office: Verify SBE/VSBE amounts. D. PROCEDURE 1. Begin CCDS process when Contract is close to Final Acceptance (typically once Sections A, B, and C of the Contract Closeout Checklist are complete - see CMDPM 2.6.1 Contract Closeout Checklist). 2. The CM obtains the most current version of the Contract Closeout Data Sheet from N:\Construction-Inspection Group\Construction Forms\Contract Closeout Data Sheet (version date).xlsx. CMD Procedures Manual 2.6.7 - Contract Closeout Data Sheet VER 01.docx Page 3 of 8 2.6.7 - VER 01 2.6.7 Contract Closeout Data Sheet 3. The CM inputs the data on the form. a. Number of Requests for Information includes the number of re-submitted RFIs. For example, the last RFI number was 100, however 20 of those RFIs were resubmitted for clarification or additional information, therefore the total quantity of RFIs is 120. b. The number of submittals, WATOs, and CPCOs do not include the number of resubmittals or revisions. c. Request ACTO information from the Principal Inspector managing the On-Call Construction Contracts. d. The Contract Contingency Budget can normally be found on the CWO Supplement in the Board of Harbor Commissioners Conditional Award memo. Contingency increases may occur through additional CWO Supplements during the contract if the initial Contingency Budget is expended through Change Orders. Consult with the Program Manager. e. The “Final CM Costs” are all the charges by the Construction Management Division charged to the project for construction management services, such as POLB CM and inspection staff, CM consultant support, and On-Call Inspection and Material Test Lab services. It should not include other services provided by CMD, such as On-Call Contract services or Surveying services. Request the appropriate cost report from the Administrative Support Section. f. The “SBE/VSBE/DBE” information can be found on the “Final Progress Payment” MUR. Confirm the amounts with the SBE Office and if there are any outstanding SBE issues that would prevent Final Acceptance of the Contract. If the Final Closeout Change Order is being approved by the Board of Harbor Commissioners along with Final Acceptance, you will not have the final SBE/VSBE/DBE numbers for the Contract Closeout Data Sheet. Please put a note in the “Comments/Explanations” section if the SBE/VSBE/DBE numbers are not final. g. The Contract Time for contracts should be calculated as follows: i.) “Original Time” is the original Contract duration. If the Contract includes a Maintenance Period, then “Original Time” is the duration of the Construction Phase only, which includes all work except the Maintenance Period. ii.) “Contract Completion” is the Contract required completion date, excluding the Maintenance Period if applicable. iii.) “Substantial Completion” is the date the work was declared substantially complete. If the Contract includes a Maintenance Period, then it is the substantial completion date of the Construction Phase only. CMD Procedures Manual 2.6.7 - Contract Closeout Data Sheet VER 01.docx Page 4 of 8 2.6.7 - VER 01 2.6.7 Contract Closeout Data Sheet iv.) If the Contract includes a Maintenance Period, check the Yes” box next to “Maint. Period?” and fill in the actual Maintenance Period completion date and the Maintenance Period duration. v.) “Acceptance” is the proposed Board of Harbor Commissioners meeting date for Final Acceptance. vi.) “Closeout days” is the number of days between Substantial Completion (or Maintenance Period completion, if applicable) and Final Acceptance. h. A delay is defined as an impact to the required Contract completion date. Excusable delays result in an extension of the contract time, and inexcusable delays result in Liquidated Damages. Types of Delay are as follows: i.) “Compensable” is an excusable delay for which the Contractor is entitled to compensation for delay costs. Delay costs are costs not covered by the mark-up on the direct costs associated with a change. The delay time excludes any concurrent non-compensable delay (i.e. weather and/or Contractor-caused delay). Categories include: 1. Owner Enhancement – Delay resulting from changes generated by either the Port, or the Tenant/facility owner, changing their mind and requesting something different. Compensation for the delay is included in the Change Order Category 1 -Owner Enhancement. 2. Unforeseen Conditions – Delay resulting from changes generated by the discovery of existing conditions which are not foreseeable. Compensation for the delay is included in Change Order Category 3 – Unforeseen Conditions. 3. Design Related – Delay resulting from a code compliance issue, design clarification, or errors and omissions. Compensation for the delay is included in the corresponding Change Order Category 2, 4 and/or 5. 4. Owner Caused – Delay caused by any Port representative, including consultants, and/or any third party (i.e. tenant or utility). Compensation for the delay is included in the Change Order Category “Other” and explained in the “Comments/Explanations” section. ii.) “Non-Compensable” is an excusable delay for which the Contractor is not entitled to additional compensation. Categories include: 1. Concurrent – The time in which a Compensable Delay occurred at the same time as a Contractor-caused delay. This time does not include concurrent weather delays. CMD Procedures Manual 2.6.7 - Contract Closeout Data Sheet VER 01.docx Page 5 of 8 2.6.7 - VER 01 2.6.7 Contract Closeout Data Sheet 2. Weather – Delay due to adverse weather conditions, including any days which were concurrent with a Compensable delay. 3. Other – Any other non-compensable time extension not covered under Concurrent or Weather. iii.) i. “Unexcused/Liquidated Damages” is a Contractor-caused delay which extended the contract time beyond the required Contract Completion Date. “Comments/Explanations” should include an explanation of any unusual circumstances or conditions. Examples include: i.) Explain any Change Order items that are categorized as “Other.” ii.) Indicate if the SBE/VSBE/DBE numbers are not final. iii.) Explain why Contract Contingency was increased. iv.) Explain any unusual delays in the project timeline. v.) Explain any “Owner Caused” delays. 4. The CM prints and signs the final version of the Contract Closeout Data Sheet. 5. The CM includes the original signed Contract Closeout Data Sheet with the draft copy of the Board of Harbor Commissioners memo requesting Final Acceptance. (Reference CMDPM 2.6.2 Final Acceptance) 6. The CM Supervisor reviews the Contract Closeout Data Sheet with the draft Board memo. 7. The DCM reviews and signs the final version of the Contract Closeout Data Sheet, and returns it to the CM with the draft Board memo. 8. The CM includes a copy of the final signed Contract Closeout Data Sheet with the final version of the Board memo. 9. The CM gives the original Contract Closeout Data Sheet to the Administrative Support Section. 10. The Administrative Aide inputs the data into PB Views for performance measures and the CMD Performance Measures spreadsheet (see CMDPM 1.5 Performance Measures). 11. The Administrative Aide copies and distributes CCDS to the following: a. DCM (original in DCM Closeout Binder) b. CM CMD Procedures Manual 2.6.7 - Contract Closeout Data Sheet VER 01.docx Page 6 of 8 2.6.7 - VER 01 2.6.7 Contract Closeout Data Sheet c. CM Supervisor d. Admin Aide (Closeout Binder) e. Administrative Analyst f. SBE Office g. DCC 12. The DCC stamps, indexes, scans, logs in Contract Manager (DCC IN), and files in the project files. E. REFERENCES 1. CMDPM 2.6.1 Contract Closeout Checklist 2. CMDPM 2.6.2 Final Acceptance 3. CMDPM 1.5 Performance Measures F. EXHIBIT 1. Contract Closeout Data Sheet CMD Procedures Manual 2.6.7 - Contract Closeout Data Sheet VER 01.docx Page 7 of 8 2.6.7 - VER 01 2.6.7 Contract Closeout Data Sheet Exhibit 1: Contract Closeout Data Sheet CMD Procedures Manual 2.6.7 - Contract Closeout Data Sheet VER 01.docx Page 8 of 8 2.6.7 - VER 01 Construction Management Division Procedures Manual Volume 3 - Quality Assurance / Inspection 3.1 Goals 3.1 GOALS To the extent allowed by resources and budgets, the Construction Management Division will strive to: 1) Assure that the construction work conforms to Contract Documents and all Regulatory requirements. 2) Assure adequate documentation to verify that such compliance was achieved. 3) Provide complete and accurate records to document all on site and other critical activities.2 4) Eliminate or minimize, to the extent possible, impacts to our tenants and the public. 5) Mitigate, to the extent possible, adverse impacts of the construction to the environment. 6) Work collaboratively with the Contractor to facilitate a safe working environment at the work site. CMD Procedures Manual 3.1 - Goals VER 01.docx Page 1 of 1 3.1 - VER 01 3.2 Organization Chart / Roles and Responsibilities 3.2 ORGANIZATION CHART / ROLES AND RESPONSIBILITIES A. Organization Chart for Inspection Director of CM Division DCHE I Chief Construction Inspector Principal Inspector Principal Inspector Principal Inspector LEAD Inspector for Project LEAD Inspector for Project LEAD Inspector for Project Support Inspector Principal Inspector Deputy Inspector / Technician from On Call Test Lab B. Roles and Responsibilities Job Title Roles and Responsibilities Director of Construction Management Division Establishes Inspection Goals and organizational structure to implement the goals Provides budget, staffing, oversight and direction to attain goals Deputy Chief Harbor Engineer I Provides management oversight of Inspection Section Provides Technical Support to Inspectors Manages "On Call" Testing & Inspection Lab Contracts Acts as back up for the Chief Construction Inspector Creates and maintains the QA/Inspection Manual Determines QA/Inspection Procedures for types of work not covered in the Manual Responsibility for Training Inspectors per the Manual Provides QA oversight of Inspection and assures compliance with QA/Inspection Manual CMD Procedures Manual 3.2 - Org Chart - Roles VER 01.docx Page 1 of 2 3.2 - VER 01 3.2 Organization Chart / Roles and Responsibilities Job Title Roles and Responsibilities Chief Construction Inspector Supervises the field inspection staff including Principal and Lead Inspectors Assigns day-to-day staffing, assures adequate coverage of all projects Provides direction for resolution of field problems and questions of acceptability of work Performs evaluations for inspectors Interviews and recommends new candidates for staff inspection positions Principal Inspector Assures compliance of Division Inspection Procedures by Lead Inspector (L.I.) Identifies On Call Test Lab services required and completes Request for Directive Documents existing conditions with the L.I. prior to construction Reviews the L.I.'s Daily Inspection Reports Reviews the L.I.'s non-compliance Reports and Safety/Regulatory concerns Reviews QA requirements with L.I. and approach to determining acceptability of work Reviews Plans/Specifications and attends Pre-Construction Meeting Assures adequate Inspection staffing, coverage for time off Review and approve time sheets for assigned inspectors, assure proper project charges Confirm job is ready for final inspection Lead Inspector Reviews project plans and specifications, verifies and documents contractor compliance Coordinates survey requests, Monitors T&M work and reviews Contractor's As-Built Writes Daily Reports and coordinates contractor's work with the Tenant Monitors contractor's compliance with Safety Plans and regulations Obtains and files documentation to support unit price pay quantities Performs final inspection of the work Prepares final Punch List Support Inspector Provides assistance, as needed, to the Lead Inspector On Call Deputy Inspector/Technician Provides Special Deputy Inspection assistance, as needed, to the Lead Inspector (e.g. Reinforced & Prestressed Concrete, Steel & Welding, Masonry, Piling, etc.) Provides Technician assistance, as needed, to the Lead Inspector (e.g. Soils, Asphalt, Concrete, Batch Plant, etc.) CMD Procedures Manual 3.2 - Org Chart - Roles VER 01.docx Page 2 of 2 3.2 - VER 01 3.3.1 Dredging 3.3.1 DREDGING a. Safety Heavy equipment and deep waters pose a significant threat to worker safety. Dangers of being struck by moving equipment or a snapping cable and danger of being knocked or falling into the water are the potential hazards of dredge work. It is extremely important that the Inspector involved in dredge operations be aware of these potential hazards and uses the proper procedures and PPE to work safely in the environment. These hazards can be minimized by following the procedures described below: Always wear your PPE and US Coast Guard approved personal flotation device. Upon boarding a vessel for the first time, request an initial briefing with the dredging foreman to become familiar with the vessel, equipment on board, dangerous areas to avoid, presence and functioning of emergency alarm systems, and emergency contingency plan. Maintain communications with dredge crew for changed conditions and new dangers. Avoid standing on or near moving equipment. Do not stand or walk under elevated loads or ladders. Be alert to corroded cables or damaged mooring ropes and report such observations to the dredging contractor’s foreman. Do not stand in the vicinity of lines/cables for long periods. Stay away from the edge of the vessel. Use extreme caution upon boarding/exiting the vessel. Attendance at dredging contractor’s “tail gate” safety meetings is encouraged. b. Types of Dredging There are three types of dredging operations typically used in the Port. The particular type of operation to be used on a dredge project as well as how the dredge is to be powered (Electric vs. Diesel) may be called out in the project specifications. The three types of dredging are: 1) Clamshell Dredge –– This is a floating derrick barge that dredges with clamshell buckets of various types and sizes. The material is excavated with a clamshell bucket that may have teeth or straight edges. The excavated material is placed in a separate barge, typically a split-hull bottom dump barge called a Scow. The material is placed to a predetermined fill level before the maximum flow back time has been achieved. The scow is then towed or pushed to the disposal site utilizing a tug or work boat. Once positioned in the fill area, the hull mechanically splits in two and the dredge material flows out of the bottom. The clamshell dredge is not required to have a licensed boat captain on board. CMD Procedures Manual 3.3.01 - Dredging.docx Page 1 of 13 3.3.1 - VER 01 3.3.1 Dredging 2) Hopper Dredge –– This is a floating barge that has a self-contained material hold, similar to a scow. Two long arm vacuum pumps are lowered on both the starboard and port sides of the dredge, down to the ocean floor. The two pumps vacuum the material up and place it into the hold area of the dredge. Once the material reaches a predetermined fill level before the maximum flow back time is achieved, dredging stops and the pumps are raised. The filled hopper dredge then proceeds to the disposal site and places it into the fill area, similar to a bottom dump barge. The hopper dredge captain is required to be properly licensed as specified in ACOE Permit. 3) Hydraulic Dredge –– Typically, this is a large floating barge with a single cutter head mounted on a pivoting ladder that is lowered to the ocean bottom. The cutter churns up the bottom material while vacuuming the dredge material with a ladder mounted pump and an on-board pump. The material is pumped to the disposal site via steel or plastic, floating or submerged pipeline. The discharge end of the pipeline may have a spill barge that regulates velocity and placement of the material. It is common to position the discharge pipe on the fill for placement. The hydraulic dredge operator is not required to be a licensed boat captain. c. Requirements Prior to Dredging The Inspector shall verify the following before start of dredging project: ACOE and CRWQCB permits are secured. Thoroughly read and understand the conditions of applicable permits. Become familiar with approved dredging plan. Proper notification to ACOE and CRWQCB is made (generally 14 calendar days in advance). Notification to USCG is made. Emergency contact list is available. Electronic Positioning System of the vessel is certified. MLLW (Mean Low Lower Water) datum is established and POLB Survey and the contractor are in agreement. Depth of dredging and measurement method shall be clear to all parties. Bucket (Clamshell dredging) is of the size as approved. Wire rope connected to the clamshell bucket is marked accurately for depth measurements. USCG Captain and Jacobson Pilots are notified. Submerged utilities or marine cables, if any, are identified. Load limit line, as required by the ACOE Permit, is established and marked on the disposal barge or scow. Verify the calibrations of free board rod at four corners of the barge. Verify the barge accompanies an approved submittal of its displacement table. CMD Procedures Manual 3.3.01 - Dredging.docx Page 2 of 13 3.3.1 - VER 01 3.3.1 Dredging d. Requirements During Dredging The successful completion of a dredging project in compliance with regulatory permits requires good collaboration between the POLB CM staff and its contractor. The Inspector shall verify the following: The vessel displays the regulatory permits (ACOE & CRWQCB etc.). The Captain of the vessel is licensed as required. Monitoring of VHF-FM channels 13 and 16 is performed. Barge or scow shall not be filled above the load line. No water shall be allowed to flow over the sides of a barge or a scow. For hopper dredging, flow back time shall not exceed the limit as specified in ACOE permit. Depth of dredging shall be monitored closely by the contractor and verified by the Inspector to prevent over digging and violation of permit requirements as well as to prevent undermining slope or causing slope stability concerns. e. Requirements During Disposal The disposal of the dredge material requires the same level of monitoring as actual dredging activities. The Inspector shall verify the following: Material is disposed of in permitted locations in accordance with the contract requirements. Jacobsen Pilots is notified of each departure trip of disposal barge or scow. Continuous course of each disposal trip to the disposal site is plotted. Disposal barge or scow is not leaking during transportation trip. (Check for discoloration and turbidity of the sailing waters) Dredging crew gauge the barge before departure and after arrival at the disposal site. For ocean disposal, the vessel shall be within the distance specified in ACOE permit from the center of the disposal site during discharge. Placement of disposal material shall be evenly distributed. Mounding shall be avoided. For land disposal, transfer areas are kept clean and runoff is contained. Trucks are watertight and roadways are kept free of dredge material. f. Inspector’s Daily Record and Daily Report It is vital that complete and detailed records be kept of activities in the field and of discussions pertaining to the dredging operations. The daily report needs to be prepared to withstand scrutiny during the project and later in possible litigation. The contents of a Daily Inspection Record shall include the following: CMD Procedures Manual 3.3.01 - Dredging.docx Page 3 of 13 3.3.1 - VER 01 3.3.1 Dredging Project title and Specification No. Day, date and Inspector’s work shift. ACOE permit number. Weather conditions during the work. Contractor’s name, number and class of personnel working on dredging activities. List name, size and type of dredging equipments in detail. Indicate if working or idle and reason for idle. Summarize the construction activities. List start and stop of dredge. List the reason for stopping. List the scow name, number, load number, and size and type of bucket being used. Note any debris or large rocks being dredged, how it is being handled and where they are being placed. Identify the location of dredging work by station and range or by latitude and longitude. Use contractor’s dredge area map for this information. List any field problems that could result in delay or claim. Note any observations of unforeseen conditions that may cause a slow down to the operation. List any non-conforming work. If a Report of Possible Violation Form was issued, list the specifics of violation & attach a copy to the daily report. For Time and Material work of clamshell dredging, track duty-cycle times at least twice per hour. Duty Cycle Time is the time taken for one complete cycle of a dredging operation. It is the total time taken starting with pick up of the bucket, lowering it to bottom, fill it with excavated material, bring it up and unload into the barge. Identify extra work performed on the daily report. Track the time on a Daily Extra Work Report form. g. Permit Reports The dredging Inspector is required to fill out an Army Corps of Engineers permit report and a California Regional Water Quality Control Board’s permit report on daily basis. (See attached samples) The contents of Army Corps of Engineers (ACOE) Permit report shall include the following: Date –– The day of the report. Dredge Site –– The designated area that is being dredged. Load Number –– Each load placed in the fill area shall be consecutively numbered. No load number is required for Hydraulic Dredging. Disposal Site –– The fill site where dredged material is being disposed. Pipeline Intact –– This applies to Hydraulic Dredging only. The Inspector, with the help of work boat crew, shall make two daily runs along dredge pipeline to inspect for leaks. If leaking is detected, dredging shall be stopped immediately and shall be restored only upon repairs to the pipeline. Dredging Start Time –– Actual time the dredge begins picking up material. CMD Procedures Manual 3.3.01 - Dredging.docx Page 4 of 13 3.3.1 - VER 01 3.3.1 Dredging Dredging Stop Time –– Actual time the dredge stops picking up material and placing in the barge. Flow Back Start Time and Flow Back Stop Time –– This applies to Hopper Dredging only. Flow back is defined as the dredged water that has been placed in the dredge hold which over tops the dredge’s internal weir and flows back into the surrounding area surface waters. The flow back time shall not exceed the limit as allowed by the ACOE permit for each load. Disposal Start Time –– Actual time when dumping begins. Disposal Stop Time –– Actual time when dumping is complete. Barge Draft at Start of Disposal Trip –– Record the actual barge gauge reading before the barge leaves for disposal. The free board shall be measured by the barge crew at four corners of the barge. The Inspector shall verify the reading. Barge Draft on Arrival at Disposal Site –– Record the actual barge gauge reading 5 minutes before disposing the dredge material. The free board shall be measured by the barge crew at four corners of the barge. The Inspector shall verify the reading. Dredging and Disposal Operations –– All the requirements of this table shall be answered “Yes” or “No” by the Inspector or Contractor’s rep. as noted on the report form. Explain the “No” answer and what corrective action was taken. Signature –– Both the Inspector and Contractor’s rep are required to sign and print their names on the report. The contents of California Regional Water Quality Control Board (CRWQCB) Permit report are similar to that of ACOE Permit report except the following: Dredging and Disposal Monitoring –– Answer all the questions in the table. Some of the questions need to be answered by the contractor’s representative. Make sure no column is left blank. h. Permit Violations If the Inspector observes that any one of dredging permit requirements may have been or about to be violated, try to resolve it with contractor’s representative before it becomes a violation. If a resolution can’t be made and a violation is imminent, the Inspector shall issue a “Report of Possible Violation” to the contractor. Contact the Director of Construction Management as soon as possible and ask for further directions if ACOE needs to be notified by the Director of Construction Management. i. Construction Manager’s Role The Construction Manager coordinates with appropriate assigned staff from the Program Management Division and the Environmental Planning. The goal is to ensure total permit compliance for all dredging operations. The CM shall verify the following: Sampling and testing of material to be dredged is completed by the Environmental Planning Division in a timely manner. CMD Procedures Manual 3.3.01 - Dredging.docx Page 5 of 13 3.3.1 - VER 01 3.3.1 Dredging All necessary permits (ACOE, CRWQCB, EPA etc.) are secured by Environmental Planning. “Authorization to Dredge” is issued by ACOE for specific project. A pre-dredge survey is conducted within 30 days and 90 days prior to actual dredging (The time is dictated by ACOE Permit). The CM arranges a pre-construction meeting with all involved. Discuss all possible violations of the permits, specifically over-dredging, and checks to avoid violations. Notifications to all Permitting Authorities are made by responsible party. First notification to USCG and Jacobson Pilots is made by responsible party. SCAQMD (South Coast Air Quality Management District) permit is obtained by the contractor for a diesel dredge. Disposal site is clearly defined. Submittals are approved prior to dredging. An emergency contact list with 24 hour phone numbers is available for the Inspector. Contractor acknowledges agreement with Port’s pre-dredge survey or provides his own survey for review by the POLB before start of dredging. Ask the contractor to submit his cross-sections, line and grade survey before sending the Port Survey to fulfill contractor’s survey request. Require the contractor to provide daily survey of dredged areas when working near existing slopes to avoid slope undermining. A post-dredge survey is conducted within 30 days of completion of dredging and submitted to ACOE. CMD Procedures Manual 3.3.01 - Dredging.docx Page 6 of 13 3.3.1 - VER 01 3.3.1 Dredging CMD Procedures Manual 3.3.01 - Dredging.docx Page 7 of 13 3.3.1 - VER 01 3.3.1 Dredging CMD Procedures Manual 3.3.01 - Dredging.docx Page 8 of 13 3.3.1 - VER 01 3.3.1 Dredging Figure 1: Bottom-dump scow Figure 2: Clamshell CMD Procedures Manual 3.3.01 - Dredging.docx Page 9 of 13 3.3.1 - VER 01 3.3.1 Dredging Figure 3: Clamshell Dredge Figure 4: Clamshell Dredge CMD Procedures Manual 3.3.01 - Dredging.docx Page 10 of 13 3.3.1 - VER 01 3.3.1 Dredging Figure 5: Hydraulic Dredge Figure 6: Hydraulic Dredge CMD Procedures Manual 3.3.01 - Dredging.docx Page 11 of 13 3.3.1 - VER 01 3.3.1 Dredging Figure 7: Hydraulic Dredge Figure 8: Hopper Dredge CMD Procedures Manual 3.3.01 - Dredging.docx Page 12 of 13 3.3.1 - VER 01 3.3.1 Dredging Figure 9: Hopper Dredge CMD Procedures Manual 3.3.01 - Dredging.docx Page 13 of 13 3.3.1 - VER 01 3.3.2 Railroad Track 3.3.2 RAILROAD TRACK a. Safety Safety of the Inspector is of utmost importance during Railroad inspection. All involved in the project must be committed to provide a safe work environment and contribute to the safe performance of the job. During railroad construction, the Inspector shall at all times, wear his Personal Protection Equipment. This shall consist of a hard hat, safety glasses, hearing protection (ear plugs/ear muffs), safety vest for enhanced visibility and protective footwear (steel toe boots). The following procedures shall be followed for safe and effective inspection: Do not park your vehicle within ten (10) feet of any track, either under construction or a fully operational track. Be alert and attentive at all times. Never step on the rail when crossing a track. Rail, especially when wet, presents a slipping hazard. Do not place feet, hands or any other body part near moving parts of a switch, a derail, a wheel Crowder or inside a switch point protector due to tripping and entrapment hazards. If working next to an operating track, do not walk down the middle of any operating track. Expect the movement of trains, engines, cars or other movable equipment at any time, on any track and in either direction. Be alert of train and moving equipment at all times. When crossing the tracks, look both ways and cross only when it is clear and safe to do so. Do not cross within 25 feet of the end of standing equipment. Do not walk or drive between split parked railroad cars. Typically all rail used in the Port is CWR (Continuous Welded Rail) which makes it hard to hear an approaching train. In the old days of jointed rail use, it was easy to hear an approaching train as the wheels crossed the rail joints; this is no longer the case. When working next to an operating track and a train approaches, the work crew will typically stop work, step back, move to an area that is clear of the train operating envelope and face the moving train. The Inspector shall follow the actions of the crew; always pay attention to a moving train. Pay particular attention to a train that is being pushed in. This means the locomotive is at the other end of the train and is pushing the cars in. If the train derails, the locomotive engineer may not know and continue to push the train. Be aware of what is going on around you! CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 1 of 22 3.3.2 - VER 02 3.3.2 Railroad Track When a contractor takes a track out of service for relocation, surfacing or for a tie-in, the Inspector shall make sure that the contractor puts all the safety measures in place before starting work. Make sure he follows his approved safety plan and implements every safety measure in the plan; such as notifications, spiking & locking out switches that crossover onto the track he is working on; placing red flags on the track & communicating with the Terminal Rail Superintendent and Pacific Harbor Lines Railroad (PHL). When working on a main line, the contractor must use PHL flagmen/watchpersons. The contractor’s approved safety plan will tell you what is required before he can start work. During the construction meeting make sure everyone knows their responsibilities during the track shut down. An approved Contractor Safety Plan shall be a pre-requisite to the start of any field work. The Inspector shall familiarize himself with contractor’s approved safety plan and to the extent possible, observe and notify the contractor of work being performed out of compliance with the plans. The contractor shall have primary responsibility for safety at the job site. However, the Inspector is empowered and urged to make sure that any activity involving the use of unsafe practices or tools is discontinued as soon as possible and that all co-workers are warned of unsafe conditions. b. Materials Approvals Prior to the delivery of materials to the jobsite, the Inspector shall thoroughly review the specifications to identify contractor requirements for QC of materials fabricated off-site. The Inspector shall obtain copies of all certifications, plant inspections, off-site test results, and any documentation that indicates compliance with specifications requirements. Additional off-site QA measures to be performed by the Port should be identified in the port’s QA plan for the project. The Inspector should arrange for and verify that these additional QA requirements are satisfactorily completed. See subsection “L” for Materials QA Requirements at the end of this chapter. c. Site Preparation The Inspector shall be thoroughly familiar with the phasing plan before beginning site preparation to avoid conflicts with terminal operations. Prior to any railroad construction, usually there is demolition, existing utility work (protection, relocation or removal), new utilities and grading (excavation, fill, compaction and possibly strengthening with geo-synthetics) included in the project. The inspector shall be responsible for monitoring all demolition work, including but not limited to, asphalt removal and utility work. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 2 of 22 3.3.2 - VER 02 3.3.2 Railroad Track The demolition limits shall be defined on the approved plans. Surveyors shall lay out the demolition limits for the contractor. Follow the approved plans and specifications as to demolition and utility abandonment/relocation/protection. After all removals and utility abandonment/relocation/protection has been accomplished per approved plans and specifications, the contractor shall prepare to build the roadbed (sub-grade), install track drains, geosynthetics, possibly duct banks and vaults for future power operated switches and communications. If temporary storage sites or fabrication areas are required, they shall be prepared per plans, specifications and approved contractor submittals. d. Unloading, Fabricating & Stacking Continuous Welded Rail (CWR) If CWR is specified, there are two methods available to the contractor to provide the CWR. Check the approved submittal as to what method is approved: CWR delivery on a rail train. Site fabrication of CWR, from generally 39'-80' long sticks, using electric flash butt welding process. One of these two methods can be used concurrently with the demolition or roadbed construction. CWR that is delivered on a dedicated rail train will typically be in excess of 1000 feet long. Whatever method is used, a temporary storage site/fabrication should be defined. Check the plans for the storage site location and if needed have surveys stake the storage yard site limits, clear and prepare the site to meet requirements (possibly including surfacing, fencing, power and water). The contractor shall submit a list of equipment and methods to be used in unloading the train and moving the CWR to the storage/fabrication site. Typically a “speed swing”, a rubber tired articulated machine with a boom attached on the front is used to pull the CWR off the train. The speed swing is also designed to “high rail” and has flanged wheels similar to a train; this allows it to travel on the track. The speed swing is used in all track construction, the Inspector shall enforce that the backup alarm is working at all times during track construction as with all construction equipment. The contractor shall use an approved method to move the CWR over existing grade to the storage/fabrication site & also when pulling the CWR to its final location during track construction. Rollers and dunnage are used to support the CWR when it is being moved. When moving CWR on rollers, care must be taken so as not to flip the CWR. The inspector shall make sure the contractor has men on the ground observing the movement of the CWR and that each member of the crew is thoroughly briefed on the moving process and their individual tasks. If the CWR flips over, it can cause a whiplash effect and care must be taken not to be too close to the end of the rail. The CWR must be set back on the rollers in an upright position before the contractor can continue pulling it. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 3 of 22 3.3.2 - VER 02 3.3.2 Railroad Track Prior to moving the CWR, inspect all the rollers with the contractor to make sure they are greased & in good working condition. Reject the rollers that do not roll freely. At no time allow the contractor to drag the CWR over the ground. No CWR shall be stacked on top of any utility lines unless authorized by the Engineer. A dig alert shall be called out to identify utility lines. When stacking CWR, care shall be taken that no valves or vaults are under the CWR stack. Attention shall be paid to the locations of fire hydrants. Fire Department permission must be obtained if a fire hydrant is to be taken out of service because of the CWR site location. All CWR must be stacked in an upright position. When the CWR is unloaded, check the rail markings and make sure it’s the approved submitted rail. The markings are located on the web of the rail. The markings shall include: The weight of the rail, 136 lb; (The weight of a three foot section of the rail, POLB uses this rail only on the new construction. Compromise bolted or welded joints may be necessary for connections to existing rail with other than a 136 lb section). RE: Section of rail recommended by the American Railway Engineering & Maintenance-of-Way Association. CC/BC/VT: Controlled Cooling/Bloom Cooling/Vacuum Treated (Method of hydrogen elimination during production process, as specified by the Engineer). RMSM: (This is the mill initials of manufacture. RMSM, for example, would indicate Rocky Mountain Steel Mills). 2001 is the year of manufacture. IIIIIII: Month of manufacture, this is marked by roman numerals, for example IIIIIII would indicate the rail was rolled in the seventh month, i.e. July. The typical markings on the web of the rail would look like this: 136 RE VT RMSM 2001 IIIIIII The other side of the rail may have marked or indented characters. Following is an example: FT 297165 B 12 CMD Procedures Manual CC 3.3.02 - Railroad Track VER 02.docx Page 4 of 22 3.3.2 - VER 02 3.3.2 Railroad Track RAIL MARKING FT indicates that the rail is fully heat treated. The numbers following FT indicate the heat number from which the ingot is poured. The letter B indicates that it is the second from the top of the ingot. This is followed by the ingot number. The specification may also call out for high strength rail to be used, typically on approaches to curves and curves that are greater than 3º. The high strength rail is marked by either a metal plate permanently attached to the rail, hot stamped or painted at both ends of the stick of rail. Check the submittal for painted color on the rail. If onsite fabrication is used to produce the CWR, the welding contractor will set up an onsite welding plant with grinding and testing stations. Check the fabrication submittal for the layout of the welding plant and grinding and testing stations. Typically, the stations consist of an electric flash butt welding plant, a rail profile (head) grinding station, a rail web grinding station, a rail base grinding station and a NDT testing station. The same care must be taken while moving and stacking CWR as was undertaken during unloading and manufacturing CWR. Check the CWR fabrication submittal, if required, for stacking requirements and make sure that the contractor does not stack the CWR any higher than approved on the submittal. When laying CWR or any rail, the rail markings must be on the field side of the rail (unless the rail is being transposed). The field side is the outside of the track. The gage side is the inside of the track. The gage side is used to check the gage and level of the completed track using a track gage/level. Check the specification for rail markings and make sure the contractor lays the rail accordingly. If the contractor fabricates the CWR on site; he will stack his rail (typically 78´ lengths) adjacent to the welding machine. When the sticks of rail are unloaded and prior to stacking, make sure that all rail markings are on the same side. If the rail is not stacked in a way that all the markings will be on the field side of the CWR, the contractor will have to turn it prior to welding. The inspector shall stop the CWR production until the rail is aligned the correct way. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 5 of 22 3.3.2 - VER 02 3.3.2 Railroad Track *The markings on the rail flange are designed to be on the field side (outside) of the rail for inspection purposes. The numbers can be read while there is a parked train on the track. If jointed rail is specified, this will typically come in 39´ lengths of rail. When the rail is laid, it will be attached by two joint bars per joint. The plans will specify how many holes per joint bar and also will show a bolt pattern. The same principles will apply to laying jointed rail as CWR. If crossing signals, track circuits for train-in-motion systems or track occupancy circuits are to be included in the project, the plans will call out for insulated joints (I J’s) to be installed. Check the plans for the I J locations. When all I J’s have been installed, they will be tested to make sure the joint is properly insulated. Check the submittal for the approved I J. Typically, a field fabricated I J comes in a box with two joint bars, fiberglass matting, epoxy, a spacer that separates the two rails & bolt insulators. An alternate method is the use of pre-fabricated and certified bonded insulated joint plug assemblies welded into the running rail. Installation of field fabricated insulated joints shall only be installed by forepersons and crew qualified per the specifications. e. Unloading & Stacking Concrete & Wooden Ties Concrete ties will typically be delivered on a train. When unloading the ties, care must be taken as not to damage them. The contractor may use a boom truck or a crane to unload the ties. Typically the ties are unloaded using a jig that attaches to five ties. The following procedure shall be followed: The Inspector shall confirm that the ties and fastening components match the test reports per approved submittals. The ties shall be stacked per approved submittal or as specified in the specifications. Care must be taken not to stack them too high for weight and safety concerns. Count and record the number of ties unloaded each day. The concrete ties may have varying stamps and markings on them, make sure the stamps and markings are per approved submittal. Every tie shall be visually inspected for the following: The bottom surface of each tie shall have a rough struck, leveled surface. Projections from and indentations into the general level of the surface shall not exceed 3/16". Air voids in the side of ties up to ⅜" diameter by ¼" deep are acceptable as is. Voids larger than this size but less than 1¼ inch² and ½" deep may not exceed two per tie and can be repaired, if approved by the Engineer. Ties with air voids larger than 1¼ inch² and deeper than ½" are to be rejected. The surface of the rail seat shall have a smooth, formed finish not inferior to the comparison standards (two ties representing the required bottom surface finish and two ties with maximum allowable rail seat defects shall be set aside as comparison standards for acceptance of ties). No forms, seams or warpage in the rail seat will be allowed. The rail seat flatness shall not vary by more than 1/32" across any part of the rail seat. When referring to voids and flatness in the rail seat area, the rail seat is defined as “area between the cast rail shoulders along width of the tie extending ⅜" on each side of the cast rail shoulder”. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 6 of 22 3.3.2 - VER 02 3.3.2 Railroad Track Corner breakage at tie ends shall not exceed 1" in depth below the finished surface. Spalling over 2" shall be brought to Engineer’s attention before rejection. Prestressing tendons shall not protrude more than ⅛" beyond the tie end and shall not have ragged ends causing handling hazard. Holes in tie ends shall not exceed ⅜" in diameter and ½" in depth or ¼" in diameter and 1" in depth below the general surface level of concrete. Surface cracks under 0.3 mm wide and 12" long are acceptable as is. Cracks over 0.3 mm wide and 12" long shall be reported to the Engineer for further investigation and acceptance criteria. Ties with honeycombing and large air voids are indicative of poor workmanship, hence cannot be repaired and shall be rejected. Grinding or shaving of ties with a jig is acceptable, if approved by the Engineer. Freehand grinding shall not be allowed. The Engineer must approve any grinding to correct surface finish deficiencies. Rail seat air void in excess of ¼" diameter and ⅛" depth is unacceptable. Those smaller may be repaired at the plant with high strength epoxy paste. Filling of larger rail seat voids with fillers is not acceptable. No rubbing, brushing or other treatment shall be used on the rail seat. STACKED CONCRETE TIES Timber ties will be delivered in bundles. The inspector shall inspect the top, bottom, sides, & ends of each tie for the following defects: Decay–– The disintegration of the wood due to the action of wood destroying fungi. A tie showing decay shall be rejected. Holes–– Any hole more than ½” in diameter and 3” deep or numerous holes exceeding ½” in the sections of the tie between 20” and 40” from its middle shall cause the rejection. Knots–– Within the rail bearing areas (20” and 40” from the center of the tie), a knot or numerous knots equaling to an average diameter more than 1/3 the width of the surface on which it appears, shall be rejected. Split–– A separation of the wood extending from one surface to an opposite or adjacent surface. In unseasoned ties, a split no more than ⅛” wide and/or 4” long is acceptable. In seasoned ties, a split no more than ¼” wide and/or longer than the width of the face across which it occurs is acceptable. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 7 of 22 3.3.2 - VER 02 3.3.2 Railroad Track Shake–– A separation along the grain, mostly between the rings of annual growth. A shake not more than 1/3 the width of the tie and not extending within 1” of any surface is acceptable. Slope of Grain–– Except in woods with interlocking grain, a slope in grain in excess of 1 in 15 shall not be permitted. Bark Seams–– A patch of bark partially or wholly enclosed in the wood not more than 2” below the surface and/or 10” long is acceptable. Checks–– A separation of the wood due to seasoning which appears on one surface only (ends are not counted as surfaces). Ties with continuous checks deeper than ¼ the thickness and longer than ½ the length of the tie shall be rejected. Manufacturing Defects–– All ties must be straight, square sawn, Cut square at ends, have top and bottom parallel and have bark entirely removed. STACKED WOODEN TIES Generally, POLB specifications require nail plates as anti-splitting device at the ends of each tie. Check the approved ties submittal for conformance. Check for end plates when required by the specifications. The Inspector shall confirm that the tie sizes and lengths meet the specifications requirements (generally 7" deep. 9" wide and 9' long for cross ties. Turnout ties lengths will vary per plans). When unloading the wooden switch and transition ties, care must be taken as not to damage the ties and to keep them bundled together. Check the bill of lading for conformance with the approved submittal. No ties shall be stacked on top of any utility lines unless authorized by the Engineer. A dig alert shall be called out to identify utility lines. When stacking ties, care shall be taken so that no valves or vaults are under the tie stack. Attention shall be paid as to the location of fire hydrants. Fire Department permission must be obtained if a fire hydrant is to be taken out of service for any reason. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 8 of 22 3.3.2 - VER 02 3.3.2 Railroad Track f. Special Track Work, Turnouts & Crossovers Special Track work is a term in the specifications that includes the construction of Turnouts and Crossovers. A Turnout is a track that branches off one track to the right or to the left from a straight main track. It is an arrangement of a switch and a frog with closure rails by means of which rolling stock may be diverted from one track to another. A track diverting from the parent track to the right is a right hand turnout, to the left is a left hand turnout and a track that diverges equally is an equilateral turnout. The parent track may be straight or curved. A Crossover is a track that links two tracks and gets the train from one track to the other track. It is a combination of two turnouts in which the track between the frogs is arranged to form a continuous passage between two parallel tracks. If the tracks are not parallel, it is designated as a connecting track. A turnout and a crossover consist of a series of components that make up the finished product. These consist of a frog, a switch, a switch stand, a switch point protector, switch points, stock rails, rail braces, tie and gauge plates, switch rods, connecting rods and guard rails. A Frog is a track structure used at the intersection of two running rails to provide support for wheels and passageways fir their flanges, thus permitting wheels on either rail to cross the other. New construction in the Port generally requires rail manganese frogs (other types in use include: bolted rigid; solid manganese; spring; and movable point). All frogs are size numbered and the size of the frog being used determines the angle of the turnout. The frog number is located on the side of the frog. Verify the delivery upon arrival with the approved submittal. SWITCH CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 9 of 22 3.3.2 - VER 02 3.3.2 Railroad Track A switch is comprised of a number of interacting components such as a switch point protector, switch points, stock rails, rail braces, switch, frog, tie and gauge slide plates, switch rods, connecting rods, guard rails and switch stand. SWITCH ASSEMBLY When building a switch, make sure the contractor is placing the switch ties in the right location per approved plans. The switch ties are of varying length and are designed to be in a particular location within the switch. Make sure that the switch stand is on the side shown on the plans. The inspector shall check the gage of the rail periodically during construction of the switch & when it is completed. All parts of a switch shall come from the same manufacturer. Mix and match of parts from different manufacturers to build a switch (except for the switch stand–– a device for manual operation of a switch or a derail or the switch machine ––a device for power operation of a switch or a derail) shall not be permitted. When a railroad track crosses a crane rail on a wharf, a special frog is needed. This is a different type of frog than used on a railroad and shall be addressed in the specifications. g. Precast Concrete Ties/Creosoted Timber Ties The cross ties being used on most tracks within the Port are concrete ties with the exception of switch ties, derail ties and transition ties, which are creosoted wood. The transition ties are included in the track work before and after a switch, before and after concrete grade crossing modules and a derail. Check the plans for the number of ties called out in the transition. The switch and transition ties will have tie plates spiked to them during construction. Check the spiking pattern on the plans and do not let the contractor deviate from the approved spiking pattern. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 10 of 22 3.3.2 - VER 02 3.3.2 Railroad Track The gage on all track work is 4´- 8 ½ ˝ (56 ½˝), the concrete tie gage is predetermined during fabrication and the gage plates are incorporated into the tie. The concrete cross ties will have varying stamps and markings on them. Make sure the stamps and markings conform to the approved submittal. During construction of a crossover and transition, the inspector shall inspect the ties as they are being distributed on the ballast. The inspector shall inspect all wood ties for straightness and shall reject ties that have defects such as, decay, large splits, large shakes, excessive grain slope, large holes and large knots. h. Preparing the Roadbed (sub-grade) The contractor shall prepare the roadbed (sub-grade) as defined by the plans and specifications. The inspector shall monitor the grading and shall arrange for a soils technician to perform compaction tests. Refer to section 3.4.13 of this Manual for details. Track Drain: Monitor the excavation, installation and backfilling of the track drain. Check the submittal for the approved geo-fabric material, drain pipe and type of rock specified for drainage. Check the clean-outs for alignment, location and the finished elevation of the cleanout cover. Geosynthetics: Check the Geosynthetics upon delivery to confirm it is the approved product per the submittal. When the Geosynthetics are rolled out on the roadbed, make sure the overlap on each roll is per plans/specifications or manufacturer’s recommendations. In general, Geotextiles are used for soil separation and Geogrids are used for strength. Refer to section 3.3.11 of this Manual for details. Check for tears when the sub-ballast is placed. The contractor must repair or replace any torn Geotextiles. Base/Sub-Ballast: Typically the Base/Sub-Ballast will be CMB or CAB (see the submittal for approved material). The Inspector shall monitor the placement and field testing of the sub-ballast. He shall arrange for a soils technician to perform compaction and gradation tests. One gradation test shall be performed for each 300 cubic yards or part thereof or per specifications. Gradation tests shall be performed in accordance with procedures described in ASTM C 136. Placing and spreading of sub-ballast shall be done with approved spreading equipments in layers not exceeding 6” before compaction. Each layer shall be compacted to at least 97% per CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 11 of 22 3.3.2 - VER 02 3.3.2 Railroad Track ASTM D1557 before next layer is placed on. Hauling over the CMB surfacing in the process of construction shall not be permitted unless approved by the engineer. Ballast: Check the submittal against the ballast delivery tickets. Upon ballast delivery, the Inspector shall arrange for a soil technician to perform compaction and gradation tests as required by the project specifications or AREMA (Generally one gradation test for each 1000 tons of ballast). Gradation tests shall be performed in accordance with procedures described in ASTM C 136. When placing ballast, make sure the roller is constantly rolling the ballast as it is being placed and graded. Lifts shall be no more than 4” thick except for the final track raise which shall not exceed 2”. Each layer shall be uniformly spread and compacted with no less than four passes. The finished elevation for the ballast during this operation is usually within +/- 2˝ below bottom of the tie elevation. When the track is built, the contractor shall raise the track by adding ballast to top of rail elevation. When the ballast is at +/- 2˝ below bottom of the tie elevation, the roller must continue to roll the ballast until a ballast delivery truck can run on the ballast without causing a “wave” in the ballast. This is the only way to check if the ballast is compacted enough to begin laying ties. Ties: When the ballast has been placed & compacted to +/- 2˝ below bottom of the tie elevation, the contractor shall begin distributing the ties. Record the track number, and the beginning and ending stations of the ties laid that day. Check the survey stakes and make sure that the contractor is following the designed track centers and tie spacing. Pull a tape from the survey stake and measure to the center of the tie. Check the plans for track centers and tie spacing (generally 24" for concrete ties and 19½ " for timber ties). Check that the ties (concrete, timber cross ties, timber transition ties and turnout ties) are located per plans. Typically the ties will not be right on track center and will need minor adjustment when the track is built. Laying Rail: After the ties are in place, the contractor will be ready to pull in the CWR. Prior to this, the rail seat pads shall be inserted on the concrete ties. Check and make sure the correct rail seat pads are in the correct location. Rail seat pads used on curves may be different than those used on the tangent track. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 12 of 22 3.3.2 - VER 02 3.3.2 Railroad Track The contractor shall follow the same procedure to pull the CWR along the ties as used when unloading/fabricating the CWR. Check the rail seat pads when the CWR is in place and reject any damaged pads. After the rail is seated in place, the contractor shall start installing rail clips and insulators. Check and make sure the correct rail is used on curves. Check the plans for the location of the high strength rail. Record the beginning and ending stations for the high strength rail. Typically the turnouts and crossovers will be under construction during this time. Check the survey stakes for track centers and tie spacing. Destressing CWR: The specification shall call out for the CWR to be destressed. This is done by heating or cooling the rail as necessary to the desired laying temperature or by adjusting it mechanically and/ or vibrating the rail. The rail shall be vibrated along its entire length during heating or after it has achieved zero stress temperature to facilitate the relieving of internal rail stresses. The rail is stretched to within 1" of its final location, anchored and then welded to another string of CWR. Make sure the rail clips are in all the way and fully seated on the insulators and rail base. Follow the specifications for the destressing procedure and record the air and rail temperature, gap in the rail, time of destressing, length of CWR and any other measurements required to be recorded per the specifications. Thermite Welding: Generally all field welds are done using the Thermite welding process; however, field welds may be done by a portable flash butt welding unit on a rail mounted vehicle. The welder must be certified by the rail welding kit manufacturer. The contractor shall submit the welders’ credentials prior to welding. The manufacturer’s representative may certify the welders on site also. Check the weld package against the submittal prior to welding. Make sure all welding procedures are in conformance with the specifications. Record the location of each weld and make sure the welder follows all procedures during and after the welding process. Make sure the welder writes the weld information on the web of the rail as outlined in the specifications. Observe the weld grinding process and make sure all the slag has been removed from the web and base of the rail. All slag from the weld must be removed from the tie crib. The tie crib is the space between the ties. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 13 of 22 3.3.2 - VER 02 3.3.2 Railroad Track The Inspector shall call the on-call testing lab for a UT technician to test each Thermite weld. Defective welds shall be repaired per the specifications. THERMITE WELDING i. Raising, Aligning & Tamping the Track After the track has been built, the contractor shall raise and align the track. This is achieved with a track tamper. The tamper is a piece of rail equipment that runs on the rail. The tamper has vibrating paddles that are inserted between the tie cribs. The ballast is vibrated under the ties for compaction. A ballast car is used to supply ballast during this operation. When the tamper is tamping the track, it is also raising the track to within +/- ¼ ˝ of final top of rail elevation. The specifications will call out how many insertions the paddles have to make between the tie cribs and what portion of the cross ties and switch ties are to be tamped. Coordinate among the track foreman and tamper operator that they are in agreement on the correct number of insertions. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 14 of 22 3.3.2 - VER 02 3.3.2 Railroad Track j. Final Track Raise & Alignment Using the track tamper and a ballast regulator, the contractor shall finalize the track horizontal and vertical alignment and dress the ballast surface. The Ballast Regulator is a piece of track equipment that sweeps and shapes the ballast. The regulator has a broom on the front and rear, the broom rotates to sweep excess ballast from the track. The regulator also has fins on both sides; these are used to shape the ballast at the shoulder of the tie. Check the rail plans for the designed shoulder width and slope. The shoulder and slope may be designed differently at various locations throughout the track. When this operation is completed, check the slope on the ballast shoulder. Check the tie spacing and alignment; advise the Track Foreman if adjustments are needed. Check that the rail clips are free from ballast, the contractor must remove all ballast from inside the rail clips. This is important as it relates to track safety. If the ballast covers the clips and the clips become loose, the track maintenance personnel from PHL will not be able to see any loose clips during their track inspections. Check that the switch rods are free from ballast to allow free movement and adjustment. Walkway Ballast: Walkway ballast is smaller than track ballast, typically 1½ ˝ versus 2½˝ and is laid to a depth of 4˝unless otherwise specified. Walkway ballast is laid around switches and any other areas that require the switcher to walk on. Check the plans and specifications for walkway layout. OTM: OTM (Other Track Material) is a term used during track construction. OTM consists of all track materials other than rail, ties, frogs, switches and switch stands needed to build a railroad track. Basically, it is the small nuts and bolts type of materials used in track construction. j. Track Testing & Final Track Inspection Walk The specifications will describe track criteria and tolerances. A load test on the track is required prior to accepting the track. A locomotive of a specified weight is run over the completed track. This can be done by either walking along with the locomotive and watching the track for any flexing or deviation; or riding on the locomotive and feeling for any flexing or deviation as the locomotive travels over the track. If any flexing or deviation is observed, make a mark on the tie at that spot and the contractor must retamp and/or realign the track. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 15 of 22 3.3.2 - VER 02 3.3.2 Railroad Track When the track is completed, a final inspection walk shall be scheduled. Typically, this will include all parties with a vested interest in the track, namely PHL, Terminal Operators, POLB personnel, Project Designer etc. The walk shall include but is not limited to, checking all bolted track, the operation of all switches, switch target alignment, testing compressed air systems (if they are designed in the project), checking walkway ballast, checking any washout of the ballast shoulder, checking for tripping hazards etc. During the testing period all personnel, equipment and materials necessary to make corrections to the track shall be available for replacements, re-ballasting, resurfacing and realignment, or repair of constructed items, as the Engineer may direct, to ensure proper completion of the work in accordance with contract documents. k. Understanding the Project When assigned to a rail project, study the track layout and see the big picture. Check all materials to verify they are in compliance with approved submittals. Get to know the Superintendent and Track Foreman. Sometimes the contractor will have a Track Foreman and a Switch Foreman working on their own related parts of the project. Stay in touch with the Terminal Rail Superintendent and PHL Chief Engineer throughout the project. As an Inspector, make sure the contractor is not violating track operating procedures. Leaving railroad equipment parked on a track too close to a crossover or turnout may result in a collision and/or derailment. Make sure all equipment is parked in a safe manner and is never parked on a live track. All proper notifications should be given to PHL and the terminal rail superintendent when equipment is parked off the main line. When putting a track back into service, make sure that all red flags are removed, all switches are unlocked and all spikes are removed from the switch point. Finally, stay SAFE and be alert at all times. Be aware you are on a railroad track or working next to operating tracks. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 16 of 22 3.3.2 - VER 02 3.3.2 Railroad Track Commentary for Special Track Work, Turnouts and Crossovers Turnout–– It is entirely possible that you may be in the habit of referring to a “turnout” as a “switch”. This is a common practice but not accurate. A switch is part of a turnout. The switch consists of two switch points (or switch rails), a switch stand and the fittings needed to hold them in position. A turnout consists of a switch and a frog connected by closed rails together with the necessary ties, switch stand and other parts needed to complete both routes. Determining Turnout Direction–– It can be seen that the way to determine whether a “Turnout” is right hand or left hand is to stand at a location ahead of the switch points and look towards the turnout. From this location, the curved side of a right hand turnout will go to your right. The curved side of a left hand turnout will go to your left. RIGHT HAND TURN CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 17 of 22 3.3.2 - VER 02 3.3.2 Railroad Track LEFT HAND TURN The less frequently used equilateral turnout might be found at a location where two main tracks converge into a single main track. The equilateral turnout splits the curvature between both sides. Neither route has the unrestricted speed that the straight side of a turnout would have, but both routes have less of a speed restriction than the turnout side of a right or left hand turnout. Crossover–– It is a combination of two turnouts in which the track between the frogs is arranged to form a continuous passage between two parallel tracks. If the tracks are not parallel, it is designated as a connecting track. It might be said that a crossover consists of two turnouts. This is almost true, but not quite. Behind the frog of a turnout, one of these things can happen: The turnout track can curve back to parallel the main track. The turnout track can continue to curve away from the parent track. The turnout track may continue at the same angle as the frog. In a crossover, the track between the two frogs follows the frog angle. The tie layout for each half of a crossover will be different from that of a turnout. The turnout ties length will be longer than the ties length of a crossover. Except for this minor difference, a crossover might be considered as two turnouts. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 18 of 22 3.3.2 - VER 02 3.3.2 Railroad Track CROSSOVER TIES LAYOUT CROSSOVER W/MANUAL SWITCH CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 19 of 22 3.3.2 - VER 02 3.3.2 Railroad Track CROSSOVER W/ POWER SWITCH What is a Frog?–– The first part of a turnout structure that will be considered is the frog. A “Frog” is a device that permits flanged wheels running on a rail to cross another running rail track structure used at the intersection of two running rails to provide support for wheels and passageways for their flanges, thus permitting wheels on either rail to cross the other. Every turnout must have a frog. In addition, turnouts are classed as to size of the frog. In determining where a turnout is to be located, the position of the frog is determined first. All other parts of the turnout are then located relative to the position of the frog. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 20 of 22 3.3.2 - VER 02 3.3.2 Railroad Track FROG Some turnouts are designed for operating trains on both routes at substantial speeds. Others, such as a spur off a main line track, are designed for high-speed operation on one route and low-speed on the other route. At other locations, such as in yards, they are designed for lowspeed operation only. Turnouts of various types and sizes are available to meet the requirements of local conditions (speed and geometry). The size of a turnout will be considered first. The sizes are usually stated in whole numbers. POLB uses only #8, #9, #10, #11, #15 and #20 turnout sizes. No other size shall be used unless approved by the Engineer. A track may use one size or combination of multiple sizes as specified in the plans. Actually, these numbers refer to the ratio of length to separation in the frog angle. As the frog angle is of the utmost importance in determining the size of the turnout, which is why this designation is used to indicate the size of the turnout. The frog angle is the angle between the two gage lines of a frog and is used to designate the turnout. In general, with a smaller frog angle the “lead” (distance from the point of switch to the ½" point of frog–– pointed end of frog is machined back by ½" for increased strength) is increased resulting in a greater radius which allows greater speeds through the diverging track. Turnouts with larger numbers generally require more space and materials and are therefore cost more. CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Page 21 of 22 3.3.2 - VER 02 3.3.2 Railroad Track l. Material Quality Assurance Requirements Checklist Quality Assurance Requirement Material Contractor Port Contractor Contractor Submittal Contractor Independent OnSubmittal Test Compliance Certification Inspection Site Required Results Confirmation Report Testing Track Drain Geo Fabric Sub-Ballast Track Ballast Conc. Ties Timber Ties Rail Walkway Ballast Timber Tie Treatment Turnout/ Crossover Frog Switch Clips Insulators Inspector shall assure each requirement is performed and date the appropriate shaded column to signify compliance. This checklist shall be kept current and be available for review by CMD Inspection Supervisors. At the completion of the project, this checklist shall be filed with the Inspector’s daily reports. Note–– 1) Inspector shall verify or perform the plant inspection of concrete ties. POLB Inspector (or his representative) shall verify there is a QC program in place at the plant. ––––––––––––– (Initial/Date) 2) If a conflict exists between these requirements and the specifications requirements, the specifications requirement shall generally take precedent. Discuss any such issue with the DCHE I of Construction Management Division. Inspector Signature CMD Procedures Manual 3.3.02 - Railroad Track VER 02.docx Print Name Page 22 of 22 3.3.2 - VER 02 3.3.3 Striping 3.3.3 STRIPING INSPECTION CHECKLIST: a. General and Preliminary Are the required submittals of materials and equipment approved? Is traffic control plan required? b. Surface Preparation Have the existing markings, if any, been removed by wet blasting? Is the pavement surface dry and clean? Is the air temperature above 40°F? The weather is not windy, foggy or humid? Are the control points marked by survey? Has the surface been mechanically wire brushed for Thermoplastic application? Is the manufacturer’s recommended primer applied before Thermoplastic application? Has temporary center line been marked with string before start striping? c. Paint Application Check the paint containers with specifications and/or approved submittals for conformity. Is certificate of compliance accompanying the paint containers? Is the paint mixed in accordance with manufacturer’s recommendations? Is the striping machine capable of performing work without excessive stopping? Is the striping machine capable of being guided within the straightness tolerances per specifications? Is the striping machine capable of producing curved lines without abrupt breaks? Is the painting width adjustment working properly? CMD Procedures Manual 3.3.03 - Striping.docx Page 1 of 3 3.3.3 - VER 01 3.3.3 Striping Is the air pressure adequate on the machine? Can the spraying produce a uniform film thickness? Check the first coat is dry before applying subsequent coat. This can be achieved by touching the first coat and checking for tackiness. Are the markings with clean-cut edges and without running or spattering? For Thermoplastic material application, check the material is dispensed between 400°F – 425°F and/or per manufacturer’s recommendations. As a rule of thumb, the paint will flow freely if the temperature is within specified temperature range. If the paint has a brownish tint, it means it is too hot and starts to burn. Check that the Thermoplastic material is applied by spray or extrusion method in single uniform layer. Check the thickness of Thermoplastic spray is 1/8˝– 3/16˝. The Inspector shall verify the computer thickness settings with the truck operator. Also, a thickness gage shall be used frequently for thickness conformity. Are all traffic stripes beaded in the final coat? d. Pavement Markers Application Check the surface is cleaned by blasting before marker application. Check the markers are cemented to pavement with hot melt bitumen or rapid set epoxy type adhesive. The Inspector shall visually confirm the material during installation. Check that the pavement is cured or seal coat is applied before markers application. Check non epoxy adhesive is used for non-reflective plastic markers. e. Final Inspection and Testing Check the paint for bleeding, curling or discoloring over bituminous surface. Check that the drips, over sprays and improper markings are removed. Check the straightness of stripes within a tolerance of ½˝ in 50´. Check the gap and stripe length is within ± 2˝ of specified for broken stripes. Check the width tolerance of stripes is within ± ¼˝. CMD Procedures Manual 3.3.03 - Striping.docx Page 2 of 3 3.3.3 - VER 01 3.3.3 Striping Is striping protected till dry? Are markers protected till dry or as required by the engineer? Check for abrupt breaks in striping alignment. Check the excessive adhesive is removed around the markers. Check for any damage to the pavement surface. Daily Reports completed including a list of uncompleted work? CMD Procedures Manual 3.3.03 - Striping.docx Page 3 of 3 3.3.3 - VER 01 3.3.6 Storm Drain 3.3.6 STORM DRAIN INSPECTION CHECKLIST: a. General and Preliminary Check plan requirements, utilities and other substructures, pipe materials, joints, bedding and traffic requirements. Obtain and review copies of all required shop drawings. Confirm Dig-Alert has marked utilities at site. Confirm excavation permit has been issued to the contractor by CAL/OSHA, if required. Confirm contractor’s competent person is named. Coordinate with POLB survey for staking of the line and necessary control. Review soil borings report for soil conditions and recommendations for shoring and ground water handling. Review contractor’s approach for disposal of ground water. Confirm dewatering method is per Planning Division guidelines. Confirm Traffic Control Plan has been submitted and approved. Coordinate inspection at the point of manufacture, if required. If connecting to existing pipe or structure, confirm provisions are in place to prevent debris from entering existing system. b. Trenching Check for maximum trench width and if line and grade control are satisfactory. Confirm actual soil conditions agree with the plans and the approved shoring method is adequate for the actual trench condition. Confirm the spoil bank is clear of trench and does not encroach into traffic lanes or tenant property. Check subgrade to verify it is firm and unyielding. Consult with designer to determine if imported bedding material is required Check trench for evidence of unconsolidated fill. CMD Procedures Manual 3.3.06 - Storm Drain VER 01.docx Page 1 of 5 3.3.6 - VER 01 3.3.6 Storm Drain Confirm temporary support of existing utilities and improvements is being provided, if necessary. Confirm sufficient ladders being provided and are within 25 feet of workers. c. Pipe Laying Confirm loose soil is removed from the trench. Confirm required granular bedding material of proper thickness is provided and shaped to pipe. Confirm excavation is provided for projecting bells. Confirm method of transferring line grade into trench is accurate. Verify accuracy of contractor’s system for grade and alignment. Pipe shall be marked every 20´ intervals. Port survey shall verify frequently. Verify direction of construction is uphill, i.e. pipe shall be laid up-grade. Verify provisions made for increased bedding at locations where maximum trench width is exceeded. For bell and spigot pipe, confirm the bell end of the pipe points upstream and spigot is facing downstream. Pipe with collar joints shall be laid with the collar end up-grade unless otherwise authorized by the Engineer. Confirm pipe handling is satisfactory with no damage. Confirm each pipe is checked for damage before lowering into trench. Confirm groundwater is controlled adequately (maintained below rock bedding invert until any concrete bedding has set). Confirm gaskets and contact surfaces of mechanical compression joints are lubricated as necessary and required. Confirm maximum joint gap is not exceeded. Confirm spigot of pipe is marked in black for Inspector’s verification of full depth joint closure. Confirm tongue and groove pipe is being laid with tongue end of pipe in the direction of flow. CMD Procedures Manual 3.3.06 - Storm Drain VER 01.docx Page 2 of 5 3.3.6 - VER 01 3.3.6 Storm Drain Confirm the “T” is oriented at the top or bottom when concrete pipe with elliptical cage reinforcing is laid. Confirm concrete pipe is being laid with proper joint space for caulking. Confirm sleeve type coupling bands are tightened to required (recommended) torque. Check if joint mortar or mastic seal is required. Confirm wyes and tees are accurately located and measured. Confirm proper spur details for connections of laterals. Confirm curves being laid in accordance with the plans requirements. Confirm if beveled pipe is required, or if pulled joints are permitted. Check the maximum joint space allowed. Check for proper corrugated metal pipe (CSP or CAP), joint materials, and gage of metal. Check the band couplers, style, width, gaskets or other requirements for watertight joints (if required). Check laying of corrugated metal pipe for proper location of longitudinal laps and circumferential laps. Is space between adjoining pipes within allowable? Is band coupler centered on the joint? Check in-place pipeline for line and grade regularly during laying with light or mirror. Confirm additional bedding (if required) has been placed alongside and under the haunches of the pipe after laying. Confirm bedding (concrete or granular) is rodded or spaded so that it completely fills all the space in the trench. Confirm pipeline is “shaded” (backfilled to 1´ over top of pipe with sand if trench backfill is mechanically placed) with finer soil material. d. Trench Backfill and Jetting (or compaction) Confirm concrete and brickwork has sufficient set to avoid damage (special concrete mix for “early backfill”). Confirm all support walls or beams for existing utilities or other improvements have been installed. CMD Procedures Manual 3.3.06 - Storm Drain VER 01.docx Page 3 of 5 3.3.6 - VER 01 3.3.6 Storm Drain Confirm abandoned pipes and conduits bricked up or sealed (if required). Confirm corrugated metal pipe elongated before backfilling (if required), backfill material compacted under haunches and along side of the pipe. Check that method of compaction does not deform pipe beyond the requirements of strutting or elongation. Check that heavy equipment does not cross over corrugated metal pipe or other pipe until there is sufficient backfill to distribute the load. Check for maximum lift thickness for jetting or mechanical compaction. Check jet pipe size and length is satisfactory and water supply is adequate. Check spacing of jet pipe is adequate and trench backfill is saturated from top to bottom (last 2-3 feet dry, mounded and rolled). Check downstream manhole is open to check for leakage during jetting. Verify required thickness of temporary paving has been spread and rolled. e. Manholes and Structures Confirm excavation size is sufficient for working room and sloped back or shored. Check grading for bottom or invert slab is completed before reinforcing steel is placed. Verify all loose soil is removed and subgrade is firm and unyielding. Check concrete is at least 24 hours old before brickwork is laid or pre-cast units are set. Review requirements with manhole builder. Verify pipe and pipe joints at the manhole provide for flexibility as required (see COLB Standard Detail). Check if pipe stubs are required and installed accurately. Check if brickwork is laid with full head and bed joints, arches turned over all pipes, shape of manhole, vertical wall height, taper (without “bottleneck”) and opening size at top satisfactory. Check channels and shelves for dimension, slope and finish. Check for proper catch basin hardware, namely gratings, manhole ring and covers etc. Are protection bars required? CMD Procedures Manual 3.3.06 - Storm Drain VER 01.docx Page 4 of 5 3.3.6 - VER 01 3.3.6 Storm Drain Verify catch basin wall thickness is per plan. Check slope of invert slab. Confirm provision is made for constructing catch basin deck with sidewalk construction. Verify forms for sidewalk culverts and other shallow culverts are designed for satisfactory removal after placing concrete. Check pre-cast manhole assembly. Confirm shape and size correct and concentric or eccentric, as required. Check mortar joints between unit and at bottom. Check frames and covers for compliance, and cover seats in frame properly without rocking. Check if inner cover is required or if locking cover is required. f. Final Inspection and Testing Check if air pressure testing is required and completed prior to permanent resurfacing. Verify traffic control is adequate prior to permanent resurfacing. Confirm As-Built drawings have been completed to include location and elevation of laterals etc. Confirm Port Survey has verified the As-Built. Verify restoration of curbs, sidewalks and paving is completed. Check concrete lateral connection and collars for complete stripping and finish on the interior. Verify manholes, catch basins and sewer are clean and free of debris, sewer bypasses and plugs are removed. Verify Daily Reports are completed including a list of uncompleted work. CMD Procedures Manual 3.3.06 - Storm Drain VER 01.docx Page 5 of 5 3.3.6 - VER 01 3.4.1 Reinforced Concrete 3.4.1 REINFORCED CONCRETE a. Qualifications It is the Deputy Inspector’s (DI’s) responsibility to verify that he or she has the appropriate license or licenses for the project. For Port of Long Beach (POLB) projects not in the City of Los Angeles (COLA) jurisdiction, he or she is required to have a current City of Long Beach Deputy Inspector license for Reinforced Concrete. City of Long Beach requirements are included as an Appendix to this Manual. Note that these requirements are subject to change and the most up to date information may be obtained on the City of Long Beach website (www.lbds.info/forms). The Reinforced Concrete Deputy Inspector must call the City of Long Beach Deputy Coordinator immediately upon being assigned to the POLB work. If the POLB Lead Inspector calls out a Deputy Inspector from our On Call Test Lab, he must verify at the earliest that the Deputy has a current COLB Reinforced Concrete license and retain a copy of the license for his records. The POLB Lead Inspector shall verify with the DI about his call to COLB Deputy Coordinator. If the work being performed for the POLB is inside the City of Los Angeles, then the Reinforced Concrete Deputy Inspector must possess a current COLA license. The POLB Lead Inspector must verify that the On Call Test Lab Deputy Inspector’s license is current and valid for the City of Los Angeles and retain a copy of the license for his records. The On Call Test Lab Deputy Inspector must also notify the COLA Building and Safety prior to start of inspection work. The POLB Lead Inspector shall verify with the DI about his call to COLA Building and Safety. b. Requirements Prior to Inspection The Deputy Reinforced Concrete Inspector (DI) must verify that appropriate Building Permits have been obtained. The DI must also verify that approved plans, specifications and submittals are available at the project site. c. Reinforcing Steel The DI must verify that the reinforcing steel is of the specified grade and it is accompanied by appropriate mill test reports. If the approved plans, specifications or building code (e.g. COLA) require reinforcing steel to be tested before use, the DI must verify that the approved Testing Agency has sampled the steel. This is indicated by tags attached to the bundles at the time of sampling. If the steel has not been sampled, the DI must notify the contractor (and the POLB Lead Inspector) that samples must be taken on site. The DI must check the entire area to be inspected for compliance with the approved plans. All deviations from the approved drawings (e.g. Substitution of 2-#4 bars for 1-#5 bar, splices at changed locations, etc.) must be approved in writing by the Engineer. Particular attention shall be paid to any typical details on the structural drawings. This is a common location for typical details such as trim steel around openings, added reinforcement at intersections, added reinforcement at construction joints, and required splice lengths etc. CMD Procedures Manual 3.4.01 - Reinforced Concrete VER 01.docx Page 1 of 6 3.4.1 - VER 01 3.4.1 Reinforced Concrete In addition to reinforcing steel, the DI must check for embedded items. This includes items such as anchor bolts, ledger angles, weld plates, etc. These items are often difficult to locate on the plans and are frequently shown in sections other than the reinforcing steel sheets. The DI shall obtain and use the approved shop drawings for embeds. It is imperative that the DI checks the plans for any construction which will adjoin the area currently being inspected, whether the adjoining construction is reinforced concrete, masonry, structural steel, etc. Before approving an area as ready for concrete placement, the DI shall make an overall assessment of the area. This will include the “three C’s”: Coverage Clearance Cleanliness This also includes adequate support for reinforcing steel such as chairs, concrete blocks or spacers as required and verification that reinforcing steel is securely tied. The DI must verify that construction joints are in locations as approved by the Engineer, and are detailed as shown on approved plans or submittals. This may include items such as keyways, mechanical load transfer devices (e.g. key cold connectors), added shear steel, etc. Construction joints being installed at locations other than as shown on approved plans must be approved by the Engineer. d. Reports of Reinforcing Steel The DI must write a complete report of the areas inspected and the condition of compliance. The report must be thorough enough so that any interested party (subsequent concrete placement inspector, Contractor, Engineer, Building Official, etc.) can easily and positively determine what areas have been inspected and whether they were determined to be in compliance and ready for concrete placement. If the permit granting jurisdiction requires a particular form be used (for example, City of Los Angeles IN.Form.07), it is the responsibility of the DI to complete the form and distribute it as required. e. Requirements Prior to Concrete Placement The DI must verify that the reinforcing steel has been inspected and approved by all required authorities. This may include the Deputy Inspector, the POLB Lead Inspector, the City Inspector, etc. The DI must have an Approved Mix Design and verify that this Mix Design satisfies the Code and Specification requirements. This does NOT mean that the DI shall review ingredients, proportions, etc., but rather he or she verifies that the mix has an appropriate f’c (compressive strength) and is in compliance with other provisions of the specifications (maximum size aggregate, slump, air content, etc.). The DI must verify that the Mix Design has been reviewed and/or approved by an appropriate authority (Engineer, etc.). Note that in the City of Los Angeles and the City of Long Beach, the Mix Design proportions must be set forth in a CMD Procedures Manual 3.4.01 - Reinforced Concrete VER 01.docx Page 2 of 6 3.4.1 - VER 01 3.4.1 Reinforced Concrete “Statement of Mix Design for Concrete” by a Civil Engineer or Architect registered in the State of California. The DI shall verify that the overall condition of the area in which concrete is to be placed is acceptable. Conditions may easily change after the area has been accepted by the reinforcing steel inspector. The DI shall verify that appropriate equipment for placement is available and ready for use by the contractor. This includes items such as concrete pumps, vibrators, tremies, etc. The DI must possess the appropriate equipment for sampling and testing concrete. This includes items such as cylinder molds, slump cone, scoop, tamping rod, wheelbarrow, shovel, thermometer, weigh scale, and air meter. f. Requirements During Concrete Placement The DI must verify the information on the ready mix truck trip ticket. This includes the verification of key information such as the mix design number, the compressive strength, the water added at plant etc. In other words, the DI must ensure that the batch received is in accordance with the mix design ordered. The DI must keep an eye on the time of first water addition to the mix and the drum revolutions to comply with the Building Code and project specification requirements. ASTM C94-07 states “Discharge of the concrete shall be completed within 90 minutes, or before the drum has revolved 300 revolutions, whichever comes first, after the introduction of the mixing water to the cement and aggregates or the introduction of the cement to the aggregates.” The 90 minute time limit may be waived at the discretion of the DI if the 300 revolution limit is not exceeded, the temperature of the concrete is within limits, and the concrete can be discharged and properly placed without the addition of any mixing water. The DI must sample and test concrete in accordance with applicable codes, plans and specifications. All sampling and testing shall be performed in strict accordance with applicable American Society for Testing of Materials (ASTM) specifications. This includes the requirement of performing slump test each time compressive strength test cylinders are cast. The DI may have an American Concrete Institute (ACI) certified Concrete Field Testing Technician to perform the tests and to fabricate of the cylinder samples. It is the DI’s responsibility to verify that the Technician has a current certification card from ACI. ASTM C31 includes the requirements for “initial curing in air” for concrete cylinders. Compliance with this specification typically requires an insulated box for cylinder storage. This box must be supplied by the Contractor or Concrete Subcontractor. If this box is not used for the initial curing of cylinders then the contractor or concrete supplier can claim that low compressive strength test results are the result of improper curing conditions. Normally the DI will be given authority to perform “water control” duties by the POLB Lead Inspector. So, based on the DI’s slump test result, his visual observation and the maximum water allowed per Approved Mix Design, he will decide if and how much water is to be added. CMD Procedures Manual 3.4.01 - Reinforced Concrete VER 01.docx Page 3 of 6 3.4.1 - VER 01 3.4.1 Reinforced Concrete The DI must COMPLETELY fill out the cylinder data sheet. It is important and critical to report the actual location of the concrete poured in the structure as represented by the test cylinders. All other items on the data sheet must also be completely and accurately reported. The DI must label the cylinders in agreement with their designation on the data sheets. The Placement DI must verify that the conditions of the formwork, reinforcing steel coverage, clearances, etc. are maintained in accordance with the approved plans and specifications and applicable Building Codes. While these conditions should have been verified prior to start of placement of concrete, the placement operations frequently disturb reinforcing steel and formwork. The Placement DI must ensure that any deficiencies caused by these disturbances are corrected. The DI must verify that appropriate measures are employed to ensure adequate consolidation of concrete. These measures may consist of rodding, internal vibration, external vibration, etc. Please note that the vibrators are consolidation tools. They are not to be used for “moving” concrete to its desired location. If there are any doubts as to the proper consolidation procedures, please refer to ACI 309R. This document is available for review in the Construction Management Division library. The DI must ensure that the contractor takes adequate precautions to prevent segregation of concrete. These measures include such items as: (i) Placement of concrete as near as possible to its final destination. (ii) Minimizing the vertical drop of concrete when placing concrete in walls, piles, etc. (iii) Minimizing, as far as possible, segregation caused by dropping concrete through multiple layers of reinforcing steel. The DI must verify that placement methods employed are such as to minimize the likelihood of “cold joints”. The placement sequence, staging of ready mix trucks, etc. are a few operations to consider. If cold joints occur despite such precautions, their locations must be noted on the inspection report. g. Requirements After Concrete Placement The DI must verify that any requirements for curing shown on the approved plans and specifications are implemented. These may include spraying with a membrane forming curing compound, burlap curing, water spraying curing, etc. h. Reports of Concrete Placement The DI must write a complete report of the areas inspected. The DI shall write a separate non compliance report for incomplete work of non compliant area. If the permit granting jurisdiction requires a particular form be used (for example, City of Los Angeles IN.Form.07), it is the responsibility of the DI to fill the report forms and distribute them as required. The POLB Lead Inspector shall retain copies of DI’s reports for his records. CMD Procedures Manual 3.4.01 - Reinforced Concrete VER 01.docx Page 4 of 6 3.4.1 - VER 01 3.4.1 Reinforced Concrete i. Inspection Checklist 1) Concrete Mix Verification Verify that concrete is batched based on approved mix design with correct water/cement ratio, cement type, aggregates and admixtures. Verify that the batch weights are recorded on the trip ticket. Determine that mixer truck trip ticket specifies mix in truck is the approved mix. Verify that the total water added to the mix does not exceed that allowed by the approved mix design and is of acceptable quality. Verify that concrete mixing and placing equipment at the site is adequate. Verify that the quality of the concrete is indicative of adequate mixing time, consistency and relevant time limits. 2) Reinforcing Steel Verify the mill certificates are provided and show the correct grades. Verify grade and visual conformity of rebar with approved plans/specs. Verify that rebar is free of oil, dirt, excessive rust and handling damage. Verify that rebar is adequately tied, chaired and supported to prevent displacement during concrete placement. Verify minimum and maximum clear distances between bars and minimum concrete cover. Verify minimum concrete cover is maintained between rebar and the surface of the concrete. Verify size and spacing of rebar. Verify bar laps for proper length and stagger, bar bends for minimum diameter slope and length. Verify that welding of rebar, if any, is approved and properly inspected. 3) Concrete Formwork and Embedded Items Verify proper preparation of construction joint surfaces prior to placing. Verify that the formwork is tight to prevent leakage and will result in a final structure with correct shape and member size. Verify that embedded items are properly sized and placed. Ask for shop drawings for embed placement. Ensure the Electrical and Mechanical sign off in the pour. 4) Concrete Preparation and Placement Verify acceptable general condition of the concrete base prior to placement. Verify that the concrete base is properly wetted and standing water is removed before concrete is placed. Verify that concrete conveyance and depositing avoids segregation due to handling or flowing. Verify that concrete is properly consolidated. CMD Procedures Manual 3.4.01 - Reinforced Concrete VER 01.docx Page 5 of 6 3.4.1 - VER 01 3.4.1 Reinforced Concrete 5) Samples and Tests Determine the frequency of test cylinder fabrication from the approved plans and specifications (e.g. every 100 Cubic Yards of placement). Sample concrete, and then perform slump tests and temperature tests every time a set of cylinders is fabricated. Perform these tests per the latest ASTM Standards. ASTM C172 Sampling Freshly Mixed Concrete, ASTM C143 Slump, ASTM C1064 Temperature, air content for air entrained voids per ASTM C231 or C173, and ASTM C31 Making and Curing Test Specimens in the Field. Properly handle and store specimens in the correct environment (Cure Box) for initial curing (60-80 °F). Arrange for transporting specimens to the test lab (at least 8 hours after final set but before 48 hours). CMD Procedures Manual 3.4.01 - Reinforced Concrete VER 01.docx Page 6 of 6 3.4.1 - VER 01 3.4.14 Asphalt Paving 3.4.14 ASPHALT PAVING a. Qualifications A Port of Long Beach Construction Inspector may perform asphalt paving inspection if experienced and qualified in the opinion of Chief Construction Inspector. No additional certification from the City of Long Beach is required. b. Requirement Prior to Asphalt Concrete Paving (New Construction) It is desirable to hold a pre-paving meeting (see attached typical agenda listing desired attendees) with the contractor prior to asphalt paving operations. The points of discussions should include the continuity and sequence of operations, number of pavers needed, number and types of rollers, number of trucks required, and reasons for possible rejection of the mix, weather and temperature requirements, truck staging and traffic control. Prior to start of paving, the Inspector must verify that the subgrade is compacted firm, dry, smooth, stable and unyielding. The contractor is responsible for meeting and maintaining the final CMB grades. The final grades must be certified by the POLB Survey team. The elevation of manholes and other structures shall be verified for finish grades. All equipment to be used in the asphalt paving operation shall conform to the specifications and shall be approved by the Engineer. All equipment shall be functioning properly. The Inspector shall have copies of and become familiar with the approved submittals and approved mix design. The inspector shall ensure that tack coat, prime coat or paint binder is being applied properly. The contact surfaces of all cold pavement joints, curbs, gutters, manholes, and any other structure shall receive a similar coating. Adequate distance in advance of paving operation shall be maintained. The inspector must verify the installation of header upon the line of termination of pavement per plans and specifications. Asphalt concrete shall not be placed unless the atmospheric temperature is at least 50°F and rising. c. Requirement Prior to Asphalt Concrete Paving (Grind and Overlay) The Inspector shall verify that the milling machine conforms to the approved submittal. A smaller machine shall be available at project site for areas inaccessible to the larger machine. The contractor shall sweep the roadbed with a mechanical sweeper and remove all loosened material from the surface. All necessary measures shall be taken to avoid dispersion of dust. The POLB shall mark the existing locations of traffic loop detectors. The contractor shall not grind within 12˝ of loop detector conductors. Any damage to the existing loops caused by the contractor shall require replacement of the loop. Structures and vertical joints transverse to through traffic and greater than 1½˝ shall be ramped with temporary asphalt concrete pavement. The Inspector must verify that the surface of pavement after grinding shall be uniformly rough grooved or ridged as required by approved plans and specifications. The CMD Procedures Manual 3.4.14 - Asphalt Paving VER 01.docx Page 1 of 7 3.4.14 - VER 01 3.4.14 Asphalt Paving surface shall be free from any loose material. Manholes and structures shall be raised to the new grades. Any disintegrated or spalled areas or large cracks encountered in grade preparation, not covered by the approved plans, shall be reported to the Engineer for further action. All equipment to be used in the asphalt paving operation shall conform to the specifications and approved submittals. All equipment shall be functioning properly. The Inspector shall have copies of the approved submittals and approved mix design. The inspector shall ensure that tack coat, prime coat or paint binder is being applied properly. The contact surfaces of all cold pavement joints, curbs, gutters, manholes, and any other structure shall receive a similar coating. Adequate distance in advance of paving operation shall be maintained. d. Requirements During Asphalt Concrete Paving Spreading ––– The asphalt concrete as delivered shall be deposited directly into the hopper of the spreading and finishing machine. Spreading, once started, must be continued without interruption. No greater amount of material shall be delivered in any day that can be properly spread and rolled during that day. With the prior approval of the Engineer, the contractor may use bottom dump trucks to deposit the asphalt concrete into a uniformly sized windrow and then conveyed to the spreading machine. The Inspector shall verify the load tickets for correct mix design and binder grade. The Inspector must collect the load tickets from each truck at the point of discharge. The temperature of the mixture directly behind the paving machine shall not be lower than 270°F or higher than 320°F, the lower limit to be approached in warm weather and the higher limit in cold weather. Any material not meeting the temperature requirements shall be immediately removed from the site. Rolling ––– Asphalt concrete shall be thoroughly compacted by rolling. The number of rollers with operators used with each paving operation shall not be less than specified in table below: Rollers required Tons Placed per Hour Less than 100 100 to 200 201 to 300 More than 300 Compacted Thickness 1 ½” or less More than 1 ½” 1 1 2 2 3 2 3 3 Tandem or vibratory rollers shall be used for initial/breakdown rolling. Tandem, vibratory or pneumatic tired rollers shall be used for second/intermediate rolling. Finish rolling shall be performed by static or vibratory steel rollers in static mode. Other rollers may be used subject to prior approval of the Engineer. No leakage of petroleum products from any roller shall be allowed to come in contact with pavement being constructed. The surface of all CMD Procedures Manual 3.4.14 - Asphalt Paving VER 01.docx Page 2 of 7 3.4.14 - VER 01 3.4.14 Asphalt Paving roller wheels shall be treated with sufficient water to prevent the pickup of bituminous materials, but under no circumstances shall the quantity of water used be detrimental to the surface of the pavement being rolled. Wobble-wheel rollers shall not be permitted. Breakdown, Intermediate and Finish Rolling––– As soon as the layer of asphalt concrete has been placed, breakdown rolling shall commence. The layer of asphalt shall still have an internal temperature greater than 260ºF and shall not displace under the roller. When vibratory rollers are used, they shall operate at the highest frequency possible without breaking rock. All breakdown and intermediate rolling shall be completed prior to the surface of the mat reaching 180ºF. Rolling shall be continued until the pavement layer has become thoroughly compacted throughout and is true to grade and cross section. Finish rolling shall be performed by static or vibratory steel rollers in static mode. The finish rolling shall remove all marks from the surface of the mat. All finish rolling should be completed prior to the asphalt temperature falling below 175ºF. Proper Rolling Techniques for Compaction––– When compacting lifts 4" or less in compacted thickness, rolling shall be commenced along the lower edge of the area to be rolled and continued until the edge is thoroughly compacted, after which the roller shall be gradually advanced to the crown point, both sides being rolled in a like manner. For lifts greater than 4" in compacted thickness, rolling shall be commenced in the middle of the mat, after which the roller shall be gradually advanced to both edges. The roller should be advanced to a supported edge first, if applicable. Rolling of unsupported edge may be delayed provided the required densities are obtained after the completion of the finish rolling. Paving Joints––– The Longitudinal Joint or edge of paving in the first lane should have a near vertical face. In laying the first lane; the stringline, curb or other reference line must be used to guide the paver. When the adjoining lane is not placed the same day, the edge of the lane should be carefully trimmed and applied with a thin coating of emulsified asphalt. The first lane should be overlapped by adjoining lane by 1" to 2". The overlap thickness should be ¼ the desired compacted thickness. The Transverse Joint should be straight edged to assure smoothness and true alignment. A vertical face transverse joint can be constructed either by using a bulkhead or sawing the paving. In either case, the transverse joint should be applied with a thin coating of emulsified asphalt before the fresh material is placed against it. New Classification of Binders ––– “GREENBOOK” 2009 Ed. (SSPWC) has replaced existing AR (Aged Residue) grading system for asphalt binders with PG system (Performance Graded). The following table gives approximate substitution of AR grades with new PG grades: AR Grading AR 4000 AR 8000 AR 16000 CMD Procedures Manual 3.4.14 - Asphalt Paving VER 01.docx PG Grading PG 64-10, PG 64-16 PG 64-10, PG 64-16, PG 64-28 PG 70-10 Page 3 of 7 3.4.14 - VER 01 3.4.14 Asphalt Paving The table above is only for reference and in no way to be used as a substitution by the Inspector. The Inspector shall follow the approved mix design for the project. AR grades are obsolete in California. Appropriate PG grade will be selected by the design engineer. The Inspector shall check the load tickets for proper PG grade asphalt binders. Definition: (PG 60-10) PG –––– Performance Grade 60 –––– Average 7-day Maximum Pavement temperature in °C 10 –––– Minimum Pavement Temperature in °C e. Possible Causes of Rejection of a Load at the Site The following deficiencies may justify the rejection of the load: Too Hot––– Blue smoke rising from the mix usually indicates an overheated batch. The temperature of the batch should be checked immediately, preferably with infrared thermometer. If the batch temperature exceeds the maximum limit, it should be rejected. If the temperature does not exceed the maximum limit, the batch may be used. But the contractor should be alerted to correct the condition for future batches. Too Cold––– A stiff appearance of mix or lack of bitumen coating of larger aggregates indicates a cold mix. The temperature should be checked immediately. If it is below the minimum limit, the batch should be rejected. Too Much Bitumen––– When a load is not domed up or peaked in the delivery truck, but rather flat, it may contain too much bitumen. Mix slicking off under the screed also indicates excessive bitumen. Area receiving such a load shall be sampled and tested. Too Little Bitumen––– If a mix has a lean, granular appearance, improper coating and lack of typical black shiny luster; the mix doesn’t have enough bitumen. The pavement surface has a dull, brown appearance and roller does not compact it satisfactorily. Generally this deficiency is difficult to detect, but when in doubt, check by testing the area. Non-Uniform Mixing––– Non-uniform mixing is spotted as lean, brown, or uncoated dull-appearing patches within areas of rich, shiny appearance. Such areas shall be repaired with the Engineer approved procedure. Excess Coarse Aggregate––– A poor workability of the mix indicates the excessive presence of coarse aggregates. It is easily detected when the mix is spread over the surface. Such areas shall be repaired with the Engineer approved procedure. Excess Fine Aggregate––– A different texture than a well graded mix indicates the excessive presence of fine aggregates. Such areas shall be repaired. Excessive Moisture––– Steam rising from the mix as it is dumped into the hopper indicates excessive moisture in the mix. It may be bubbling or popping as if it were boiling. Such batch may be rejected. Miscellaneous––– Segregation of the aggregates due to improper handling, contamination of batch due to spilled gasoline, kerosene, oil or anything else should cause the rejection of the batch. For the above mentioned observations of non-compliant material, the field Inspector must call the plant Inspector immediately. The Inspector must record the load number and the CMD Procedures Manual 3.4.14 - Asphalt Paving VER 01.docx Page 4 of 7 3.4.14 - VER 01 3.4.14 Asphalt Paving area of rejected batch in his daily report. The Inspector shall issue a non conformance notice for rejected work. f. Compaction Testing of Asphalt Paving The POLB Inspector shall call for a technician from the Port on-call testing Lab assigned to the project. The field density of compacted asphalt paving shall be determined by a properly calibrated nuclear asphalt gage and cores shall be taken for lab testing. The laboratory technician shall perform 25±5 random nuke tests per day. A minimum of 4 cores or as required by the specifications shall be taken for testing per day. The cored areas shall be repaired immediately per specifications. The minimum compaction shall be 95% or as required by the specifications. Other tests, namely Marshall Stability Test, % Asphalt Content test, Gradation Test, Air Voids test, and Maximum Density test may be required by the Engineer. g. Acceptance of the Asphalt Paving Upon completion, the pavement shall be true to the grade and cross section. A longitudinal variation of no more than ⅛˝ in 10 ft and a transverse variation of no more than ¼˝ in 10 ft shall be allowed. After the curing, the contractor shall perform a flood test, if required by the specifications, to check the local depressions on the pavement. Any honeycombed surfaces or depressions shall be repaired before acceptance. The Inspector shall verify that seal coat, if required, is applied properly and asphalt surface is well sealed. Good housekeeping shall be maintained during construction. Discarded mix, boards, trash, broken equipment parts or hand tools shall be removed on a daily basis. A final cleanup shall be made before de-mobilization. h. Painting/Striping Paint shall not be applied to bituminous surfaces at least for 7 days after the bituminous material has been placed. It shall be applied only on thoroughly dry surfaces. Painting shall not be permitted when atmospheric temperature is at or below 35°F, or when freshly painted surfaces may become damaged by rain or condensation. No paint thinners shall be added to the paint. Mechanical mixers shall be used to mix the paint. Paint shall be kept thoroughly mixed while being applied. Paint shall not bleed, curl, or discolor when applied to bituminous surfaces. Any unsatisfactory areas shall be repainted before final acceptance. CMD Procedures Manual 3.4.14 - Asphalt Paving VER 01.docx Page 5 of 7 3.4.14 - VER 01 3.4.14 Asphalt Paving CMD Procedures Manual 3.4.14 - Asphalt Paving VER 01.docx Page 6 of 7 3.4.14 - VER 01 3.4.14 Asphalt Paving CMD Procedures Manual 3.4.14 - Asphalt Paving VER 01.docx Page 7 of 7 3.4.14 - VER 01 Construction Management Division Procedures Manual Volume 4 - Safety Construction Management Division Procedures Manual Volume 5 Environmental \ Permits Construction Management Division Procedures Manual Volume 6 Professional Service, On-Call, and Other Contracts