mwra contract no. 7677 - mass.gov

MWRA Contract No. 7677 DCR Quabbin Maintenance Building January 2020

GENERAL REQUIREMENTS 1. Subconsultant Communications

1.1 Any communication from subconsultants shall be through the Consultant and shall include

the Consultant’s recommended action, whether the items in question are design/ technical-related or administrative (e.g., wage rates or personnel changes).

1.2 All recommendations and all work produced by the subconsultants shall be reviewed and approved in writing by the Consultant before submittal to the Authority. If the Consultant takes issue with the product or recommendations of the subconsultant the Consultant may note the difference of opinion in its correspondence, but it shall be the Consultant’s responsibility to make the contractual recommendation that will govern the design.

1.3 All work performed by subconsultants shall be coordinated, administered, and reviewed by the Consultant. Accordingly, all deliverables and any other Project documents prepared by subconsultants shall be submitted to the Authority through the Consultant. All Project documents shall be prepared in a standard format, listing the Consultant’s name and, as applicable, that of the subcontractor preparing the deliverable.

2. Cost Analyses

2.1 At all times during the work under this contract the Consultant shall be cognizant of the

capital, operations, and maintenance (O&M) costs associated with the overall Project and with each of the technical decisions that will be made for this Project. In making these decisions, attempt to meet the Project goals and the specific objectives of this Scope of Services with the lowest cost solutions that satisfy the technical and legal requirements of the Project, as well as Authority policy.

2.2 Evaluate alternative solutions and associated costs in all technical decisions in accordance with the Authority’s Guidelines for Life Cycle Cost Estimating (LCCAP) and associated procedural requirements. LCCAP requires written documentation that, with reasonable detail, identifies the assumptions, sources of information, and technical evaluations that support the technical recommendations. Cost estimate backup and supporting documentation, shall be included with the cost estimate, and shall become a part of the Project records.

2.3 Capital and O&M cost estimates shall be detailed, and shall cover all Project elements for

each design submittal identified in the Scope of Services. All capital and O&M cost estimating performed to support the technical decisions or to produce other cost estimate deliverables required by this Scope of Services shall conform to the Authority’s, Guidelines for Life Cycle Cost Estimating.

3. Submittals

3.1 Every submittal shall include a cover letter directed to the Authority Project Manager’s attention with reference made to the contract number and subtask for which the submittal was prepared. In each cover letter, the Consultant shall state that the QA/QC procedures approved for this Project were followed.

3.2 Every deliverable in the Scope of Services shall include both draft and final submittals. The Consultant shall allow for MWRA review time for all deliverables and time to revise the deliverables in response to MWRA’s review.

3.3 Unless otherwise stated in this Scope of Services for specific submittals, the Authority will normally review submittals within three weeks of receipt.

3.4 Every revised submittal made to the Authority shall include a progress change copy, which identifies any changes made since the previous submittal. Changes shall be identified using redline/strikeout methods. Where the change is made in response to review comments made by the Authority, the change shall be annotated to show the comment which resulted in the change.

3.5 Every submittal, including draft and final memoranda, reports, specifications and

drawings shall consist of ten (10) bound paper copies and one computer file copy, unless otherwise stated in this Scope of Services. Final approved submittals shall be accompanied by one unbound, unstapled reproducible copy. The computer file copies shall be submitted on CD, or other media approved by the MWRA, and shall adhere to the document format and compatibility requirements of this Scope of Services.

3.6 The Authority may reject any draft submittal that is incomplete or otherwise unacceptable; if so, a revised draft submittal shall be prepared and submitted for review at no additional cost to the Authority.

3.7 No information shall be submitted to anyone outside of the Authority without the express permission and direction of the MWRA Project Manager. The Consultant and Subconsultants may conduct project correspondence with third parties only with prior approval of the MWRA Project Manager.

3.8 The Consultant shall meet each submittal deadline as provided in the Project Schedule. 4. Document Format and Compatibility

4.1 All Documents shall be prepared in accordance with the Authority’s Design and Information Systems Center (DISC) Documents Standards and Procedures included in the Supporting Documents. All drawings shall be prepared using AutoCAD 2013, or other acceptable software version currently in use at the Authority. Use only DWG entity types that may be converted to ARC/INFO.

4.2 Drawings generated for this Project may ultimately be input into the MWRA Planning Department’s Geographic Information System (GIS) by Authority personnel. Therefore, the following requirements shall be followed in preparing the base maps, preliminary and final contract drawings, record drawings and detail records:

4.2.1 A digital copy of all drawings shall be submitted in DWG format, which shall be readily transferable to the MWRA GIS which uses ARC/INFO Software.

4.2.2 Drawings shall utilize sheet formats, legend information and symbols provided by the Authority together with any supplemental formats, legend information and symbols which may be provided by the Consultant with the approval of the Authority.

4.2.3 In preparing base mapping and design drawings, the Consultant shall be mindful of the Authority’s requirements (technique and appearance) relative to Record Drawings and Detail Records, which shall be prepared from the Design Drawings by the Consultant following construction.

4.2.4 The DWG electronic file shall depict the same drawing content as displayed on

the hard copy.

4.2.5 Electronic files shall be submitted in TIFF format for each record drawing.

4.2.6 Provide files on a media (CD, DVD, etc.) that is compatible with hardware in use at the MWRA.

4.2.7 Each plan drawing must contain a minimum of four (4) points tied to the Massachusetts State Plane Coordinates (NAD83) and the northing and

easting of these points shall be clearly visible. Each plan drawing must reference elevations tied to the Metropolitan District Water Supply Commission Datum (MDWSC). This Datum is integral to the Quabbin Reservoir and all related infrastructure. Horizontal Datum shall be: NAD83 Massachusetts State Planes, Mainland Zone, US Foot. The provided site survey and base plan drawings are in an assumed horizontal coordinate system. Consultant shall ensure their provided plans meet the specification in the General Requirements, by establishing the above referenced horizontal datum at the site.Vertical Datum shall be: District Water Supply Commission (MDWSC) MDWSC Datum of Elevations is 6.049 feet below “Mean Sea Level” as determined by U.S. Coast and Geodetic Survey, First Order Level Net New England Preliminary Adjustment of January 1928 (with 1929 General Adjustments). MDWSC Datum is not equivalent to Boston City Base. Two (2) Permanent Benchmarks (MDWSC, vertical only) are established at the site and are indicated on the provided plans.

4.2.8 Except as noted elsewhere, Base Mapping, Design Drawings and Record Drawings shall be at 2-foot contour intervals and a scale of 40 feet equals 1 inch, with a vertical exaggeration factor of 10 for profiles. In cases where 40 scale drawings do not provide sufficient clarity, supplemental details at greater scales approved by the Project Manager shall be provided. Engineering drawings shall be 24”x36”. Each drawing shall be stamped and signed by a Massachusetts Registered Professional Engineer for that particular discipline.

4.2.9 In addition, all memoranda, reports and specifications shall be prepared in a

format compatible with Microsoft Word for Windows. 5. Project Communication Records

5.1 Maintain project communication records on behalf of the Authority with interested

communities; federal and state agencies; citizen interest groups; and individuals, including maintenance of written and oral communications records. Maintain Project files for all tasks including all plans, reports, correspondence, calculations, shop drawings and test results such that they can be reviewed by the Authority at any time during the Project. All Project files including computer files will be transferred to the Authority upon Project completion. Provide database management system to maintain all project documents that are accessible only to authorized project personnel.

5.1.1 A document distribution list and a general Project mailing list shall be computer formatted to facilitate mass printings of letters and mailing labels.

MBE AND WBE CONSULTANT UTILIZATION ANALYSIS

SUBCONSULTANTS MBE/WBE

ROLE BY TASK

LEAD/SUPPORT/ADVISORY PROPOSED SERVICES

% OF

PROJECT

WORK

Summary of Commitment:

Percentage of MBE Participation _______________; Percentage of WBE Participation _______________;

As demonstration of the Proposer’s compliance and efforts, the Proposer has completed the MBE/WBE Consultant Utilization Analysis.

The Proposer has identified herein those MBE/WBEs with whom the Proposer will subcontract if awarded this Contract. The Firm, if

required by the Authority, will produce Letters of Intent or subconsultant agreements substantially consistent with the

commitments.

MWRA Project: _______________________________ ______________________________________

Name of Proposer

Signature: _________________________________________

EEO/AA-95-002

Page 1 of 1 Title: ______________________________________________

EEO/AA-95-003 Page 1 of 1

MWRA SWORN STATEMENT

REGARDING EQUAL EMPLOYMENT OPPORTUNITY

The designated consultant shall comply with the following:

A. This Sworn Statement Regarding Equal Employment Opportunity constitutes the Consultant’s plan of affirmative action to ensure equal employment opportunity is afforded by the Consultant and the Consultant’s subconsultants providing specific materials and supplies, consulting or construction services for the Authority.

B. The Consultant agrees that the submission of this Sworn Statement constitutes an

acknowledgement of the Authority’s Equal Employment Opportunity requirements.

C. The consultant herby designates: Name:______________________ Title:____________________________ as the person who has been charged by the Consultant with the responsibility for carrying out the reporting compliance with this plan of affirmative action.

D. The Consultant gives assurance that this policy of affirmative action will be communicated to supervisors and other employees of the Consultant and that the percentages set forth on the Project Employment profile will be the Consultant’s minimum levels of commitment to minority and women employment during this project.

E. The Consultant gives assurance that it will correct deficiencies of underrepresented persons at all levels of the work force by considering underrepresented persons to fill new positions and vacancies. If additional persons are employed as part of the work force, the Consultant shall make every reasonable effort to meet Equal Employment Opportunity goals.

F. The Consultant gives assurance that it will make continuing efforts to recruit minority and female employees, to advertise employment opportunities in ways which will effectively reach minorities and females, and to include in all solicitations or advertisements for employees placed by or on behalf of the Consultant a statement that the Consultant is an “Equal Opportunity Employer.”

G. The Consultant gives assurance that it will provide opportunity for training and advancement for minorities and women.

H. The Consultant has prepared an Affirmative Action Plan and a copy has been included with this Sworn Statement Regarding Equal Employment Opportunity.

____________________________________

Name of Consultant Signature:____________________________________

Title:____________________________________

MWRA PROJECT EMPLOYMENT PROFILE

Prime Consultant:__________________________________ Contract No:________________________ Contract Title:_____________________________________ Telephone:________________________________________ EEO Officer:________________________

Consultant Employees Estimated To Work on Project:

Classification Total All Employees

Black Cape Verdean

Hispanic

Asian or Pacific Islander

American Indian or Alaskan Native

Minority Percentages

Female Percentages

Total Number of Employees

Total Number of Minority Employees

M

F

M

F

M

F

M

F

M

F

M

F

M

F

Officials/ Managers

Professional

Technical

Clerical & Administrative

Trainees

Grand Total

Signature_________________________________________________Authorized Representative

EEO/AA-95-004

Rev. 1-4/30/15

SECTION 01380

CONSTRUCTION PHOTOGRAPHS/VIDEOS

PART 1 – GENERAL

1.01 SUMMARY OF WORK:

A. This Section specifies the requirements for construction documentation using still photography and video.

1.02 SUBMITTALS:

A. Submit the following in accordance with Section 01300:

1. Evidence that the construction photographer possesses the experience and qualifications specified in Paragraph 1.03 below, including references and certifications.

2. Five different samples of construction photographer’s photographs on past construction projects.

3. One sample video in .mp3 format recorded by the construction photographer

4. Preconstruction and post construction videos and photographs in hardcopy and on CD/DVD.

5. Monthly progress photographs in hardcopy and on CD/DVD

1.03 QUALITY ASSURANCE

1. The construction photographer shall have two (2) years of construction photography experience using IPTC Standards within the past (4) years.

2. Construction photographer shall provide all necessary equipment to comply with the requirements specified in this section.

PART 2 – PRODUCTS

2.01 DIGITAL FILE REQUIREMENTS:

A. .jpg format only

B. File naming: do not use duplicate file names

1. File Name: ABCD####_YYYYMMDD_ 00001.jpg a. ABCD: 3-4 letter acronym for project b. ####: contract number c. YYYYMMDD: date taken d. 00001.jpg: Numbered images for that day

Rev. 1-4/30/15

C. Optimum, 300dpi

D. Optimum, Image size: 8 Megapixels

E. Optimum, Image Quality: Fine

F. Optimum output size shall be 8X10

G. Date & time set in camera shall be accurate.

H. Use IPTC (International Press Telecommunications Council) Photo Metadata Standards, fields; description tab; description, description writer and keywords* fields only should be filled in with; image, site, and all project specific information using Photoshop or equivalent.

*A list of suggested keywords will be supplied to the Contractor.

2.03 HARD COPY REQUIREMENTS:

A. Hardcopies shall be filed in a three ring binder with dated tabs.

B. Pre-construction, progress and post construction images shall be labeled as such and in separate binders.

C. Each binder shall be labeled on the cover with the project name, contract number, name of photographer and/or company with contact information.

D. Each print shall be inserted in a clear plastic sleeve, two prints back to back in one sleeve.

E. Each print shall be labeled within the bottom margin, not covering the image with: file name, corresponding CD, DVD or thumb drive, date taken and brief description of subject. (A more detailed description should be included with the IPTC Metadata in the file)

F. Each print shall be 8X10” on photo paper or laser print.

2.04 VIDEO REQUIREMENTS:

A. Format: MPEG-4 (.mp4) only

B. Video files shall be stored on separate media from photographs.

PART 3 – EXECUTION

3.01 REQUIREMENTS:

A. Notify the MWRA 5 days in advance of any photographic sessions.

B. Coordinate with MWRA on what views are to be taken.

Rev. 1-4/30/15

C. Some shots shall be taken consecutively from a variety of selected locations at each visit to show progress when images are shown in secession.

D. All broad views shall contain a general reference that is easily recognizable to provide scale and position on site (i.e., people, equipment, landmarks).

E. All close shots shall have similar references for scale (i.e., ruler, coin or tool).

F. Color photographs shall be taken at site locations chosen by MWRA.

a. Prior to commencement of work on site: [#] photographs in one submission

b. During construction: [#] photographs submitted monthly with application for, and as a condition of, progress payments.

c. At the completion of project: [#] photographs in one submission.

3.02 REVIEW OF SUBMITTALS:

A. All submittals will be reviewed by the MWRA Construction Documentation Team.

B. Final acceptance of photographer’s product will be determined by the MWRA Construction Documentation Team.

END OF PAGE

Engineering Project Filing System Standard Procedures for Professional Services Contracts

September 9, 2014

I. Folder Contents1. Reference Materials

A. Facility/Section Informationi. Record Drawingsii. Photosiii. O&M Manuals/Shop Drawings

B. CDR/PDR (if applicable)2. Scope of Services Development

A. Proposed ScheduleB. Kick off MeetingC. Draft Scope (to go to Selection Committee)

3. RFQ/PA. CorrespondenceB. ScheduleC. Form 2 Contract RequisitionD. Selection Committee/Meeting MinutesE. Form 4 Request for RFQ/P (Advertisement)F. Final RFQ/P with AddendumsG. QualificationsH. Proposals

4. Consultant Selection/Contract Award5. Contract Award6. Staff Summaries7. Contract8. Amendments9. Public Relations/Press Coverage10. Legal/Real Estate11. Grants/Budget12. General Project Correspondence13. Tasks/Subtasks (These are project specific ‐ to be taken directly from project scope)

Example:Task 1 Administration and Management

1.1 Project Administration and Management 1.2 Work Plan and Schedule 1.3 Monthly Report and Invoices 1.4 Meetings 1.5 QA/QC Memo 1.6 Assistance to MWRA and Coordination 1.7 Employee Salary Adjustment Summaries

Task 2 Permits 2.1 Geotechnical and Hazardous Materials Permits 2.2 Construction Permits

II. Naming

A. File naming conventions needed for each item below:1. Correspondence: COR 2. Telephone Log: TELE 3. Meeting Minutes MMIN 4. Memoranda: MEMO 5. Technical Information/Reports: REPORT6. Submittals: SUBM 7. Task Orders: TO# 8. Shop Drawings ShDwg 9. Amendment AMEND 10. Subtask Folder Name: subtask number‐description e.g. 3.2‐GeoTech

B. Filenames must not exceed 100 character total (including spaces): abbreviations and acronyms may berequired in order to meet the name length limit. (Some DVD and CD writers and readers have a problem withlonger names.)

C. Special characters including @ # % & \ / should not be used inside a filename. Use of underscore _ isrecommended as a substitute.

D. Folders inside a subtask may be named by subject.E. The hard copy project files to be archived will use the same folder organization as the electronic files.

III. UseA. The above filing system is only required for those electronic project files to be archived (i.e., personal files

may be saved elsewhere, in any format you like).B. Documents received as hard copy would be scanned into the file system in PDF format.C. PDF electronic file format specification for submittals is "Adobe Version PDF/A-2b" for archived PDF files.D. Design‐Build project files will be organized using the Construction Project Filing SystemE. In‐House Design Projects, Technical Support Project and Task Order Project file systems are to be determined.

IV. Electronic Filing Examples:

Folder “Task 1 – Project Administration”• Subfolder: “1.1‐Proj Admin and Mgmt”

o Files:“1.1‐COR_2014‐07‐29_PS‐MJ” (subtask#, correspondence, date, to‐from (to /from could be maneinitials or company abbrev))“1.1‐TELE_2014‐07‐29_PS‐MJ “ (subtask#, telephone log, date, to‐from)

Folder “Task 2 – Design” • Subfolder: “2.5‐Design Services”

o Sub‐subfolder “ 2.5.2‐60% Design Progress Submittal” Files:

“2.5.2‐SUBM60_2014‐06‐19_MWRA‐CONSULTX” (sub‐subtask#,submittal, date, to‐from)“2.5.2‐COR_2014‐06‐19_PS‐MJ” (sub‐subtask#, correspondence, date, to‐from)

Folder “Task 3- Constr Admin” • Subfolder: “3.3‐Cont Submittals”

o Files:“3.3‐ShDwg03301‐1_20140729_MWRA‐CONSULTX” (subtask#, shop drawing section and number,date, to/from

Use for all Tasks/Subtasks noted: Task 1 – Project Administration 1.1 Project Administration and Management 1.2 Meetings 1.3 Public Participation Program 1.4 Project Initialization/Familiarization

Task 2 – Design (go to sub‐subtask level where indicated)

2.1 2.2 2.3 2.4 2.5 2.6

Health and Safety Plan Survey and MappingPermits and AssessmentsPreliminary DesignFinal Design (2.5.1, 2.5.2, 2.5.3, 2.5.4, 2.5.5, 2.5.6) Bidding Services

Task 3 – Construction Administration 3.1 3.2 3.3 3.4 3.5 3.6 3.73.83.93.103.11

Project Administration Services Construction Advice/Interpretation/Clarification Contractor Submittals On‐Site Meetings/Inspections/Observations Change Order/Dispute Assistance and Technical Support Technical Support During ConstructionStart-Up ServicesSpecial Services During ConstructionRecord DrawingsWarranty and First Year Certification ReportGrant/Loan Assistance

Task 4 – Technical Assistance-Allowance

Full extent of folder set up and nomenclature to be discussed at kickoff meeting. Additional folder to be added as needed for specific tasks/events.

MWRA PDF Specification

For Contract Files and Engineering Plan Images 4/15/2014

1. PDF Version & Format

a. Adobe Version PDF 1.7 (ISO 32000-1)

b. PDF/A-2b

2. Resolution

a. 200 DPI for letter size documents (8 1/2 x 11) or smaller

b. 300 DPI for documents larger than letter size

3. Color

a. Same as Original Document

4. File Image

a. Text Searchable

5. Reproducibility

a. PDF file shall provide a true copy of the original that contains all details of the

document from which it was made.

i. Engineering Plans: PDF page size shall be the same size as the original

printed engineering drawing document.

Exhibit 5

MINIMUM DEFINITIONS FOR CONSULTANT DESIGN SUBMITTALS FOR STRUCTURES

Page 1 of4

Discipline 60 Percent 90 Percent 100 Percent FinalAll • Design criteria • Incorporate comments from • Incorporate comments from • Incorporate

Disciplines • Draft of major 60% design submittal 90% design submittal comments fromspecification sections • Design criteria • Final design criteria design submittal

• Cost estimate • Draft final specifications • Final specifications • Final 100% design

• LCCA • Cost estimate • Final cost estimate criteria

• List of bid items • Revised LCCA • Final LCCA • Final specifications

• Revised list of bid items • Final list of bid items • Final cost estimate

• List of bid itemsArchitectural • Draft floor layout plan • Revised floor layout plans • Final plans & specifications • Final plans and

• Draft reflected ceiling • Revised reflected ceiling plans • Final floor layout plan specificationsplans • Revised roof plans • Final reflected ceiling plans

• Draft roof plans • Revised bUilding & typical wall • Final roof plans• Draft building sections sections • Final building & typical wall

• Draft typical wall • Stair, window, & standard sectionssections details

• Horizontal & vertical • Door and finish scheduledimension

Civil • Draft location plans • Revised location plans • Final location plans • Final plans and

• Draft topographic base • Revised topographic base • Final topographic base specificationsplans/profile . plans/profiles plans/profiles

• Draft design plan/profile • Revised design plans/profiles • Final design plans/profiles

• Draft rehabilitation • Revised rehabilitation • Final rehabilitationplans/profiles plans/profiles plans/profiles

• Draft landscaping plans • Revised landscaping plans • Final landscaping plans

• Draft construction • Revised construction • Final constructionsequencing, traffic sequencing, traffic control, sequencing, traffic control,control, staging area staging area and access routes staging area and accessand access routes • Revised standards details routes

• Draft standards details • Final standards details

• Property Lines, Constr.Work Limits

Exhibit 11

of4

MINIMUM DEFINITIONS FOR CONSULTANT DESIGN SUBMITTALS FOR STRUCTURES Discipline 60 Percent 90 Percent 100 Percent Final

Civil • Utility plans • Revised Property Lines, • Final Property Lines,• Draft erosion control Construction Work Limits Construction Work Limits

plan • Revised erosion control plan • Final utility plan• Final erosion control plan

Structural • Draft location and • Revised location and • Final location and dimensions • Final plans anddimensions (length dimensions (length, width, (length, width, height, specificationswidth, height, wall/slab height, wall/slab thickness, wall/slab thickness, steelthickness) of structures, steel reinforcement, etc.) of reinforcement, etc.) of specialcolumns, beams, structure columns beams, structurereinforcement, and reinforcement, and joints • Final standard detailsjoints • Revised standard details • Final plans and sections

• Draft standard details • Final foundation, floor and base• Draft foundation floors, slabs

& base slabs • Final roofing plan• Draft roofing plan • Final section plans• Draft section plans

Mechanical • Draft legend sheet with • Revised legend sheet with • Final legend sheet with • Final plans and(Process) symbols symbols symbols Specifications

• Draft equipment catalog • Revised equipment catalog • Final equipment catalog cutscuts cuts • Final plans and sections of

• Draft equipment and • Plans and sections of equipment and pipingpiping location equipment and piping • Final equipment and pipe

• Draft equipment and • Revised equipment and pipe schedulepipe schedule schedule • Final standard details

• Draft standard details • Revised standard details• Location of pipe • Final schematics

supports• Chemical system

schematics

MINIMUM DEFINITIONS FOR CONSULTANT DESIGN SUBMITIALS FOR STRUCTURES

Page 3 of4

DisciDline 60 Percent 90 Percent 100 Percent FinalHVAC • Draft legend sheetwith • Revised legend sheetwith • Final legend sheet • Final plans and

symbols symbols • Final equipment layout specifications• Draft equipment layout • Revised equipment layout • Finalequipment list• Draft equipment list • Revised equipment list • Final standard details and• Draft standard details • Revised standard details schedules• Odor control schematic • Revised schedules • Final control schematics• Draft schedules • Revised odorcontrol/HVAC

schematics

Plumbing • Draft legend sheetwith • Revised legend sheetwith • Final legend sheetwith • Final plans andsymbols symbols symbols specifications

• Draft location of fixtures • Revised layouts of • Final layouts ofand equipment water/sewer/drainage systems water/sewer/drainage

• Draft layouts of • Revised standard details and systemswater/sewer/ drainage schedules • Final standard details andsystems • Revised riser diagrams schedules

• Draft standard details • Final riser diagramsand schedules

• Draft riser diagrams

Electrical • Draft legend sheetwith • Revised legend sheetwith • Final legend sheetwith • Final plans andsymbols symbols symbols specifications

• Draft single line diagram • Typical conduit and wire, and • Final motor and load list• Draft motor and load list panel board schedules • Final powerand lighting plans• Draft powerand lighting • Revised motor and load list • Final motorcontrol center

plans • Revised power and lighting plans• Draft motor control plans

centerplans • Revised motor control centerplans

MINIMUM DEFINITIONS FOR CONSULTANT DESIGN SUBMIITALS FOR STRUCTURES

Page 4 of4

Discipline 60 Percent 90 Percent 100 Percent FinalInstrumentation • Draft legend sheet with • Revised legend sheet with • Final legend sheet with • Final plans and

symbols symbols symbols specifications

• Draft loop diagrams • Instrument Data Sheet • Final loop diagrams

• Draft panel and • Revised loop diagrams • Final panel andinstrumentation layouts • Revised panel and instrumentation layouts

• Draft controls instrumentation layouts • Final controls descriptionsdescription • Revised controls descriptions

Environmental • Draft HMMP • Revised HMMP • Final HMMP • Final HMMP

Land Acquisitions • Draft impacted areas • Revised impacted property • Final Property Lines, • Final property lines

• Draft impacted property owner list Construction Work Limits • Final easementsowner list • Revised Property Lines • Final Construction Easements

• Draft Construction Construction Work Limits of Impacted areasEasements or License • Revised Construction • Final impacted property ownerAgreement of Impacted Easements or License listareas Agreement of Impacted areas

• Existing, proposed,temporary &permanenteasements

• Property Lines,Construction WorkLimits

Massachusetts Water Resources Authority Design Information Systems Center Document Standards and Procedures

March 2013

Exhibit 10

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MWRA Engineering and Construction

Document Standards and Procedures

Instructions The attachments referenced in this document are a compilation of the Engineering & Construction, Design Information Systems Center (DISC) Procedures Manual, Field Operations Department (FOD) Guidelines, MWRA Records Management Procedures and Standards. The following references are attached and are required in order to use this document: 1. MWRA Document Control Standards 2. MWRA Drawing Standards 3. MWRA Survey Standards 1. Drawing Setup And Preparation

1.1. All contract drawings, record drawings and detail records prepared by Consultants in Service of the Authority shall use Autodesk AutoCAD 2009 or a version compatible with the current version of AutoCAD in use by the Authority.

1.2. The consultant shall setup the electronic AutoCAD drawings as outlined in MWRA Drawing Standards (Reference 2) and MWRA Survey Standards (Reference 3). No deviation from these standards is allowed unless approved through the Authority’s Design Information Systems Center (DISC) Office.

1.3. Detail Records are required for water system projects and shall be developed using the Detail Records section of the Authority’s MWRA Drawing Standards (Reference 2).

1.4. The consultant shall use the AutoCAD template files, provided by the Authority, for all drawings developed as part of this contract (Reference 2).

2. Design Drawings

2.1. At the start of the development of Pre-Bid Design and Construction contract drawings the Consultant shall request, through the Authority’s Project Manager, drawing accession numbers for the estimated number of drawings needed for the entire project.

2.2. The Consultant shall submit the attached Accession Number Request form (Form DP1-3-7.2/1) to the Authority as outlined in the MWRA Document Control Standards (Reference 1). A percentage of extra numbers will be assigned to the project to facilitate any addition of drawings.

2.3. The consultant shall then assign the numbers to the drawings by entering the number in the Accession Number box in the title block of each drawing. This number will remain with the drawing throughout the life of the drawing.

3. Bid Drawings

3.1. Sometime after the completion of the successful bid, the consultant shall submit the following to the Authority

3.1.1. Furnish the Authority with (1) One complete set of 24”x36” (D+, Arch D) Conformed As-bid drawings, signed and stamped by a Massachusetts registered professional engineer and printed on reproducible Mylar as developed using the

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requirements set forth in MWRA Drawing Standards (Reference 1) and MWRA Survey Standards (Reference 3).

3.1.2. Furnish the Authority with (3) three copies of the Conformed As-bid drawings 24”x36” (D+, Arch D) on paper, reproduced from the Mylar set created in 3.1.1

3.1.3. Furnish the Authority with two (2) microfilm copies of the complete set of Mylar Conformed As-bid drawings created in 3.1.1. One (1) master camera negative set and one (1) duplicate set. The master camera negative shall utilize silver halide film. The duplicate film shall be a diazo base. The microfilm shall conform to standards set forth in the MWRA Document Control Standards (Reference 1) and MWRA Drawing Standards (Reference 2).

3.1.4. CD’s and/or DVD’s containing scanned images of the Mylar Conformed As-bid drawings created in 3.1.1 in TIFF format as outlined in the MWRA Document Control Standards (Reference 1).

4. Redline Drawings

4.1. The consultant shall submit prior substantial completion, to the Authority, Redline drawings showing any revisions in the project plans. A revision is any change or deviation from the Conformed As-Bid plans as originally bid.

4.2. The redline drawings are to be submitted to Authority construction personnel for review.

4.3. All changes or revisions shall be clearly marked in red and all text and or annotations shall be clearly legible or they will not be accepted.

4.4. All revisions shall be noted in the revision box in the title block along with the date of the revision and shall be initialed by the reviser.

(Note: For water projects, add Detail Records to the Redline Drawing deliverables. Detail Records should be revised using the Detail Record section of the MWRA Drawing Standards (Reference 2).) 5. Record Drawings

5.1. The consultant shall, sometime after substantial completion of the project, but at least 3 months prior to the contract end date, submit to the Authority project manager the following:

5.1.1. (2) Full sets of 24”X36” Draft Record Drawings printed on paper for Authority review.

5.1.2. Draft Record Drawings must incorporate all revisions and or changes approved on the redline Drawings.

5.1.3. The Authority, after reviewing the Draft Record Drawings, will submit to the Consultant comments or recommendations for change or correction.

5.1.4. The Consultant will then incorporate any comments or recommendations for change or correction into the Draft Record Drawings and resubmit (2) full sets of 24”X36” of revised Draft Record Drawings printed on paper for Authority review. This process shall continue until all comments or recommendations have been satisfied.

5.2. Once the Draft Record Drawings are reviewed and approved by the Authority, the Consultant shall provide the Authority with the following:

5.2.1. Furnish the Authority with (1) One complete set of Mylar 24”x36” (D+, Arch D) Record Drawings signed and stamped by a Massachusetts registered

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professional engineer and printed on reproducible Mylar as developed using the requirements set forth in MWRA Drawing Standards (Reference 2)and MWRA Survey Standards (Reference 3).

5.2.2. Furnish the Authority with (3) three complete sets of Paper 24”x36” (D+, Arch D) Record Drawings printed on paper, reproduced from the Mylar set created in 5.2.1.

5.2.3. Furnish the Authority with two (2) microfilm copies of the complete set of Mylar Record Drawings created in 5.2.1. One (1) master camera negative set and one (1) duplicate set. The master camera negative shall utilize silver halide film. The duplicate film shall be a diazo base. The microfilm shall conform to standards set forth in the MWRA Document Control Standards (Reference 1).

5.2.4. Furnish the Authority (1) CD and/or DVD containing the scanned images of the Record Drawings reproduced from the Mylar set created in 5.2.1. in TIFF format as outlined in MWRA Document Control Standards (Reference 1).

5.2.5. All electronic CAD files used in the development of the final Record Drawings in the format set forth in MWRA Drawing Standards (Reference 1) and MWRA Survey Standards (Reference 3).

(Note: For water projects, add Detail Records to the Redline Drawing deliverables. Detail Records should be revised using the Detail Record section of the MWRA Drawing Standards (Reference 2).) All MWRA Standards will be provided electronically on CD for distribution to Consultants through DISC upon request. Aperture cards will also be provided upon request.

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MWRA Document Control Standards

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1 2/27/09

DISC DRAWING ACCESSION NUMBERING PROCEDURES

PURPOSE AND SCOPE

To establish the program whereby all Engineering and Construction design and construction

drawings are assigned a unique numerical identifier to facilitate indexing, capture, and retrieval.

To establish the requirements and responsibilities for the issuance and control of accession

numbers assigned to plans and drawings.

Note: Accession numbers are required to be on all drawings and plans transferred to the MWRA Records Center.

1. IMPLEMENTATION

1.1. An accession number is a unique, sequential number assigned to each plan and drawing to facilitate identification, indexing, and retrieval. The assigned accession number to a plan/drawing does not change through the design and construction phases. The accession number assigned to a drawing remains with that drawing throughout the life of the project. The uniqueness of the accession number facilitates the retrieval of the most recent, up-to-date drawing.

1.2. The Document Control Specialist will assign a drawing accession number when requested by engineering staff, drafters, and consultants. Requests for accession numbers by consultants should be through the MWRA project manager.

1.3. The consultants shall request accession numbers for all plans and drawings from the Document Control Specialist. The Authority project manager shall make the request. The project manager shall provide the following information, using the electronic Request Form, to the Document Control Specialist:

• Estimated number of drawings

• Location of town of project

• Contract number or job number

• Name of Project Manager

• Facility name or pipe section

• Estimated date for construction completion. 1.4. The project manager shall request accession numbers for new contracts/projects at the

completion of the preliminary design phase and initiation of the final design phase.

1.5. The project manager shall confirm the assigned accession numbers and above information, with the Document Control Specialist at contract award for a new contract/project. The

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2 2/27/09

project manager will confirm the information or revisions, as necessary, by electronically providing the Document Control Specialist with an updated Accession Number Request Form.

1.6. The Document Control Specialist will assign accession numbers to a new contract/project, or to drawings, upon receipt of the competed Accession Number Request Form. The Document Control Specialist will enter the assigned accession numbers into the form, and return the form to the project manager or requestor.

1.7. The Document Control Specialist will record the following information in the Accession Number Log book:

• DATE - date accession number is assigned to plan or drawing • ACCESSION NUMBER - next sequential number in the log book • LOCALITY - pipe section, town, etc. • DATE - if available, date of final sign off • DESCRIPTION OF PLAN - title of drawing, elevation • Requestor’s Name

1.8. The Authority will forward the accession number list to consultant. The consultant shall then assign the numbers to the drawings by entering the number in the Accession Number box in the title block of each drawing. This number will remain with the drawing throughout the life of the drawing.

1.9. The Consultant shall then provide the Authority’s Document Control Specialist with an

electronic Excel spreadsheet with the information shown in fig 1.0 for each drawing. Fig 1.0

ACC # CONTRACT TITLE CONTRACT# REQUESTED

BY DWG# SHEET# DRAWING DESCRIPTION

1.10. If drawings are added or deleted during the course of the project, the consultant will revise

the spreadsheet and resubmit it to the Authority’s Document Control Specialist.

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Engineering and Construction Department

Design-Information Systems Center Accession Number Request Form

To enter information: Tab over to gray text boxes or click mouse button on cursor in the gray area. Submit completed form to:

[email protected] 2 Griffin Way, Chelsea, MA 02150

Phone: 617-305-5785 Fax: 617-305-1606

Requestor:

Date: 3/4/2013

Division/Department:

Phone:

Contract Name:

Contract Number:

Project Location:

Facility Name or Pipe Section:

Estimated Construction Project Completion Date:

Estimated Number of Drawings: Contractor/Consultant Name:

Comments:

Project Manager FOR DISC USE: Request Approved: Estimated Hours: Tracking Date:

NOTES:

FORM DP1-3-7.2/1

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MWRA Records Management - 03/04/13

1

MWRA Records Management Procedures, Specifications and Standards for Microfilming Records

General Purpose: Records Management procedures establish the requirements, responsibilities and methods for preparing documents for microfilming. It dictates uniform standards, certification of completeness and authenticity of the microfilming process. All records created, received and maintained during the course of business are the property of the MWRA. It is MWRA Records Management policy to microfilm records as required by the State Approved Retention Schedule. Selected records can be sent out for microfilming with Records Management review and approval.

General Scope: The standards and specifications set out in the this procedure shall be adhered to in all microfilm application for records of the MWRA and for records of consultants which relate to MWRA projects and are to eventually be transferred to the MWRA Records Center. The MWRA Project Files; Construction Files and General Files as noted on approved filing schemes define the organization and filing guidelines for MWRA submitted records to be filmed.

The MWRA general Specifications for Microfilming Records defines the standards that must be complied with for all MWRA and MWRA Contractor documents that will be maintained in microfilm/fiche format.

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MWRA Records Management Procedures, Specifications and Standards for Microfilming Records (cont’d)

Created by MWRA – Records Management on 03/04/13 2

Responsibilities Section Responsibility Remitter

• Ensures proper care of original records. • Informs Records Management of any deviation from

the requirements of this Procedure or from the approved Retention Schedule.

• Retains a duplicate set of film relative to particular records for reference.

Records Management • Ensures that all microfilming activities including

contracted micrographic services are performed in accordance with this procedure.

• Reviews all microfilming requests to ensure correct media choices are selected.

• Provides micrographic inspection and information targets to the microfilming company.

• Stores silver-halide film off-site. • Retains a diazo copy of all film in a secure location

at the MWRA Record Center.

Micrographic services • Follows MWRA microfilming procedures. • Verifies microfilmed documentation before delivering

to MWRA Records Management. • Responsible for returning the hard copies (originals)

on schedule. • Responsible for the authenticity of the microfilming

processes as presented in the MWRA Microfilming Procedure

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Definitions: The following definitions was complied using Document Technology, ANSI/AIIM TR02-1998

Blip Coding: A method of coding accomplished buy placing a blip below each image to identify it.

Certificate of Authenticity A frame, which identifies that the records were filmed and the operator verifies the accuracy and completeness of the reproduction.

Density: A numeric measurement of the amount of light, which passes through a black background of negative microfilm.

Jacket: A transparent plastic carrier for strip of microfilm,

Microfiche: A sheet of film containing multiple miniature images in a grid pattern.

Microform Any medium which contains miniature images.

Micrographics The procedures for treating, using and storing microforms.

Microimage: A reduced copy of the original document that may be stored on a film roll, fiche, aperture card, or jacket .

Reduction Ratio: The size of a microimage as compared to the size of the original document.

Resolution: A measure of sharpness of microimage.

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Procedure: Preparation of Project, Construction, or General Records

NOTE: Library & Records Manager must approve changes to these procedures.

Hard Copy Preparation:

Remitter The remitter shall submit the original document or the best possible copy prior to send a closed project to the Record Center.

• Removes binders, paper clips, staples, and rubber bands when possible so as not to impair the filming process, which works similarly to photocopying.

• Places target (notice) in front of pages indicating best copy available when submitting records.

• Indicate on target (notice) if there are two-sided documents.

Records Staff Microfilming records is in accordance with MWRA Records Retention Schedule.

• Informs the remitter and the Department Record Officer that selected records are being sent out to be filmed.

• This effort will be in accordance with the MWRA State approved Retention Schedule.

• Places a “TITLE” identification sheet in front of the documentation indicating record series name, content, microfilming company and the dates of the document and filming.

• Places when necessary a target (notice) indicating “OVERSIZED” document and requests on the target that is the item is a map or drawings it is to be filmed

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on an aperture card which will include the title, date and identifying number of the originating document.

• Thoroughly checks microfilmed material when it returns from the vendor.

• Notify vendor within a week of receipt of any need to have retakes made.

• Add data to InfoSTAR indicating records that have been filmed.

• Distributes copies of film to the remitter, Record Center storage and the off-site storage facility

Vendor Services Contracted Micrographic services’ staff is responsible for the authenticity of the filming process as presented in these microfilming procedures.

• Inserts required filming sequence targets according to the type of film.

• Places the "START" and "END" targets at the beginning and end of each document package.

• Complete and sign a “CERTIFICATE OF AUTHENTICITY “ at the end of the microfilmed materials ANSI/AIIM MS19-1993

Film

Resolution targets proceeding the following microfilmed material include BLIPS on the first page of the actual document. Title microfiche with information provided on the TITLE Sheet. Fiche aperture cards and roll film must contain record identification information in eye readable headings.

Specification The standards set out in this procedure must be adhered to in all microfilm applications for records if the MWRA and its consultants

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Original microfilm governed by this specification is generated on silver halide film. Duplicate copies for reference or additional duplicate copies for security maybe of the diazo, silver halide compositions/duplicates will be commensurate with the quality of the original.

Standards All such film must conform to the standards of ANSI/ AIIM Recommended Practice for Microfilming Public Records on Silver-Halide film (ANSI/AIIM MS48-1999. Such film must also comply with the minimum standards of quality approved for archival photographic records of Micrographics Microfiche (ANSI\AIIM MS05-1992z)(r1998).

Microfilming Specification Microfilm practices must adhere to the latest microfilm standards revision. These practices are to conform to the standards of ANSI/AIIM Micrographic Microfiche MS05-1992 (r1998) and ANSI/AIIM recommended practice for Microfilming Public Records on Silver Halide MS48-1999.

Color microforms Color microforms must be used when filming of report pages and drawings that have colored documents and are to conform to ANSI/AIIM Color Microform TR09-1989 (r1992)

Reduction ratio When using a planetary camera roll film application in simple camera, conventional size documents (8.5x11 or smaller) must not exceed medium reduction limits (i.e. 30x). Duplex must not exceed 32X. The reduction ratio employed in the filming of oversized documents may be adjusted consistent with above. When using a rotary camera, roll film applications in a simple mode of conventional size documents must not exceed 32X

NOTE: Reduction rations of 24X are regarded as optimal in regular (16mm) roll film production/ Unitized microforms also are becoming standard-sized on the basis of 24X. Certain application may require variations from this standard. Example: lower reduction maybe beneficial where 35mm film is used; higher reductions maybe necessary where 105 film is used or where duplex filming is performed on a rotary camera. While

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such factors may necessitate variations, follow the 24x optimum as closely as possible.

The reduction standards for computer output microfilm (COM) is 24x or 48x as defined in the Microfiche ANSI/AIIM MS5-1992 (r1998) regardless of format the guiding consideration in establishing a reduction ratio must be the reproduction of readable records on film, which shall be system compatible in usage.

Resolution Resolution must be sufficient for the production of film capable of being used on compatible readers, producing there in fine image detail and sharpness. Resolution quality must permit accurate return of information on film to hardcopy.

The method for determining the minimum required resolution must conform to the quality index method of determining resolution as given in the Imaging Media (Film) Silver Gelatin Type Specifications for Stability ANSI /NAMP IT 9-1992. One must obtain the 5.0 pattern when using planetary cameras at a 1:24 ewduc5ion ratio. When using rotary cameras at a 1:24 reduction ration you must obtain the 3.6 pattern as an absolute minimum, although the 4.0 pattern should be regarded as the minimum standard whenever possible. The rotary test target must conform to Rotary Microfilm Camera Test Chart and Test Target ANSI/AIIM MS17-1992.

Constantly monitor density through out filming. The qualitative significance of density requires constant supervision and control over the parameters of density as a filming occurs. Density values must be such that exposed film will have clear and open lines, without spread and or widened characters.

First generation film the most favorable background density value is 1.1 +/- 0.2, excepting computer output microfilm whose optimal background density value1.9 =/- 0.1. Lower density value's maybe necessary when filming deteriorated documents or items with particularly low contrast. Photography Density Measurements –

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Geometric Conditions for Reflection Density. ANSI/NAMP IT2.17-1995

Film Processing To ensure properly fixed film images process all film as soon after the date of exposure (ideally within 24-48 hours). Film processing wash will be used to reduce chemical tolerances as determined by the adoption of National Association of Photographic Manufactures Standards.

Storage procedures Procedures for storing original and duplicate film must comply with Imaging Media – Process Safety Photographic Films Storage. ANSI/NAMP IT9.11-1993

• Reels of wound microfilm should stored in roll on reels following dimensions specified in ANSI AIIM MS29-1992 and ANSI AIIM MS34-1990.

• Containers must comply with standards of Imaging Media – Photographic Process Films ANSI IT9.2-1992.

• Label each container with the series title and the number complying with the Standards ANSI/AIIM MS06-1981 (r1999).

• Produce microfilm jackets according to standards in ANSI/AIIM MS11-1987 (r1999).

Inspection Process This process will establish the responsibilities for inspecting microfilmed documentation

Records Management

• Prepares an annual inspection report on the microfilmed material stored off-site.

• Inspects all microfilm for deterioration and takes corrective actions necessary.

• Conducts inspection of microfilm generated by other organizations before adding to the database.

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Microfilming services

• Inspects film for errors and quality before delivery to MWRA.

• Performs a resolution check of film before delivery to MWRA.

• Performs retakes as necessary during the filming process and provides retake information in a report noting how many retakes on the roll.

_______________________

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MICROFILM SERVICE CONTRACT

Scope of Services The microfilm services required consist of several microfilm applications in various MWRA departments. Microfilming will be performed on an as-needed basis. Applications listed on the attached series list must be completed by June 25, 2000 in so far as this work does not exceed $ _____________. Total estimated images: 250,000 Please provide a price for each line item in the last three columns on series list and for the hourly price of labor for document preparation for those record series for which this is required (see below). Also, provide the price for the entire job including prep. Vendor’s Capability The vendor must perform services in accordant with MWRA technical specifications attached. The vendor shall produce images on silver halide base film and shall produce two duplicate sets of diazo film. The diazo film base shall have a minimum thickness of 4.0 mil. The vendor shall blip and number each film of 16mm film. The vendor shall adjust camera exposure in order to meet resolution and density standards when filming blueprint documents or documents written in faded ink or pencil. The vendor shall perform frame by frame inspection and submit reports as completed to the MWRA Records Management and Library Manager. The vendor shall provide a list that cross-references the micromedia roll, reel or fiche number with the corresponding MWRA box number.

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Frames improperly filmed shall be re-filmed at the vendor’s expense. The retake shall consist of at least twelve inches of images which shall them be reinserted to the master negative using an ultrasonic splice, No more than two splices may be made on one roll of film. The MWRA shall be responsible for document preparation of all applications except Journal Entries (1.1.3) that shall be prepped by the vendor. Also, continuous feed reports will be submitted to vendor in an estimated ______ mechanical binder. Vendor shall be responsible for both unfastening binders prior to filming and refastening binders after filming. Vendor shall be aware that in each continuous feed series there are several breaks, occurring with greater frequency in earlier documentation. The following specifications shall apply exclusively to journal entries: 1. All staples and paper clips shall be removed prior to filming. 2. The backup documents to each journal or invoice shall be filmed front and

back where there is information on overleaf of to capture date stamps. 3. Each journal entry shall be refastened after filming by application of

staple, or where volume required, clips or clamps. There are approximately ______ such packages, the majority requiring only a staple.

4. Hard copy shall be returned to the MWRA within five working days from date of pick-up. Vendor shall fax or return hard copy on same day (as required) if so needed by MWRA.

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1

MWRA Engineering and Construction Department

Design-Information Systems Center Drawing Microfilming Technical Requirements

November 6, 2012 The intent of the microfilming of drawings on aperture cards is to provide a true copy of the original drawing. A true copy is one that contains all significant details of the document from which it was made. A true copy is an adequate substitute for that drawing for all purposes for which the original drawing was created. Vendor shall ensure the drawings are filmed on aperture cards according to the following MWRA standard: The Vendor shall furnish the Authority with two (2) microfilm sets of plans: a master camera negative set and a duplicate set. The master camera negative shall utilize silver halide film. The duplicate film shall be a diazo base. The silver halide master shall conform to standards set forth in the Authority General Specifications, where applicable, for Microfilm Records, see Attachment “Specification and Standards for Microfilming Records”. Both microfilm sets of drawings shall be 35-mm film mounted on standard microfilm aperture cards. Each frame of microfilm shall be exposed and processed so that every line and character on the document appears on the microfilm. Film shall be free of scratches, holes in the emulsion or base, tears, finger marks, or any other defect that might adversely affect quality.

Title information should be placed at the top of the card and contain from left to right, the Operations Unit (single character), the contract number, the sheet number, the project name (abbreviated), and accession number of the plan. The data printed at the top of the card shall be read into a file such as an ACCESS database and a report generated that lists the information printed on each aperture card.

Aperture Card Title Format Description: OPERATIONS UNIT: single character maximum Water Projects Shall Use: W Sewerage Projects Shall Use: S CONTRACT NUMBER: eight characters maximum For Example: 1234 For Example: C5514-01 SHEET NUMBER in the Set: 10 characters maximum For Example: 154/155 For Example: M-42 PROJECT NAME: 14 characters maximum For Example: CVA Redund ACCESSION NUMBER: six characters For Example: 123456

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2

Example: Fig. 1

The following reduction ratios should be used in the production of 35mm aperture cards: - Up to and including 610mm x 457mm (24" x 18") (C or A2 size) should be filmed at a ratio of 16:1. - Over 610mm x 457mm and up to 914mm x 610mm (36" x 24") (D or Al size) should be filmed at a ratio of 24:1. - Over 914mm x 610mm and up to 1,219mm x 914mm (48" x 36") (E or AO size) should be filmed at a ratio of 30:1. - Over 1,219mm x 914mm (to be filmed in sections) should be filmed at a ratio of 30:1.

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MWRA Engineering and Construction Department Drawing Scanning Technical Requirements

May 11, 2009 The intent of the electronic imaging of drawings is to provide a true copy of the original drawing. A true copy is one that contains all significant details of the document from which it was made. A true copy is an adequate substitute for that drawing for all purposes for which the original drawing was created. Vendor shall ensure the drawings are scanned as raster images according to the following MWRA standard:

• TIFF Format (Tagged Image File Format) Revision 6

• ITU-T (Formerly CCITT) Group 4 Compression

• Minimum 400 DPI (Dots Per Inch)

• Each drawing scanned is its original size (not a reduced sized)

• One TIFF file is created for each scanned drawing

• Each TIFF image file name is the MWRA accession number from the drawing

• Directory name is the MWRA contract number from the drawing

• The image file shall be Windows (Byte Order) applications compatible

The MWRA utilizes the following applications: Windows XP Microsoft Office Document Imaging AutoCAD 2009 AutoCAD Raster Design 2009 AutoVue Desktop Professional The Vendor shall format the TIFF Revision 6 file such that the images are viewable and printable utilizing existing MWRA applications.

• The image orientation is in the right-reading orientation

• The image alignment is such that the document is not skewed

• The black background images shall be inverted to provide a white background

• The Vendor shall record the images on CD-ROM according to the MWRA CD/DVD Digital Media Recording Requirements.

• The Vendor shall supply a duplicate copy of each CD-ROM produced

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MWRA Drawing Standards

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FIGURE - 1DRAWING STANDARDS FOR AUTOCAD APPLICATIONSENGINEERING AND CONSTRUCTION DEPARTMENT

This outline describes drawing standard topics most frequently encountered in drawing preparation in the Engineering and Construction Department of the Operations Division, Massachusetts Water Resources Authority. Topics are listed with figure numbers which refer to one or more 8.5"x11" sized sheets in this set.

INDEX TO TOPICS

DRAWING LETTER/NUMBER REFERENCING

PICTORIAL DRAWING BORDERS AND TITLE BLOCKS

SAMPLE LOCUS MAPS

SIZE, STYLE AND LAYER FOR TEXT

MECHANICAL ARRANGEMENT FOR NOTES & DIMENSIONS

CIVIL ARRANGEMENT FOR NOTES & DIMENSIONS

LAYER UTILIZATION

DRAWING SYMBOLS AND STATUS LABELS

SCALE BAR SAMPLES

FIGURE 1 -

FIGURE 2 -

FIGURE 3 -

FIGURE 4 -

FIGURE 5 -

FIGURE 6 -

FIGURE 7 -

FIGURE 8 -

FIGURE 9 -

FIGURE 10 -

REV. 1 05/14/08

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Drawings are referenced with a "letter-number" combination; the letter part of the drawing designation is chosen according to the following schedule:

Cover sheet

General sheet

Civil, Site plan

Architectural

Structural

Mechanical

Electrical

Plumbing

Heating, Ventilation, Air Conditioning

Instrumentation

Details

Traffic

Cover sheet

G-n

C-n

A-n

S-n

M-n

E-n

P-n

H-n

I-n

D-n

T-n

Demolition plans go under respective disciplines.

For more details on Contract Drawing Preparation format and entity arrangement on drawings see figures attached in this set and DP3-2, the Authority Standard Procedure for Contract Drawing Preparation.

where, "n" is a sequence number within a given construction discipline letter designation.

FIGURE - 2DRAWING LETTER/NUMBER REFERENCING

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TEMPLATE

MWRA CONTRACT No.

DESIGN INFORMATION SYSTEMS CENTER

DESCRIPTION

SHEET 1 OF 5

NUMBER

DRAWING

INDEX TO DRAWINGS

DATE

MASSACHUSETTS WATER RESOURCES AUTHORITY

PREPARED BY

ENGINEERING & CONSTRUCTION DEPARTMENT

NUMBER

ACCESSION

NUMBER

SHEET

TITLE SHEET

LOCUS PLAN, LEGEND, ABBREVIATIONS, AND NOTES

SITE PLAN

PLAN OF BRIDGE

SECTIONS AND DETAILS

-

G-1

C-1

C-2

C-3

1

2

3

4

5

XXX,XXX

TITLELOCATION

ACCESSION No. XXX,XXX

LOCUS PLAN

SITE PLAN

N

WATER

RESOU

RCES AUTHO

RIT

Y

MA

SS A C H U S E T

TS

NO. DATE BY CHK'D REVISION

CONTRACT NO. :

ACCESSION NO. :

DATE:

SCALE:APPROVED BY:

CAD FILE NO. :

CHECKED BY:

DESIGNED BY:

DRAWN BY:

SECTION NO. :


PREPARED BY :

DRAWING NO.

OF

A

C

M

SSA HUSETT

S

WATERR

ESOURCES A

UTHOR

ITY

ENGINEERING & CONSTRUCTION DEPARTMENT


TEMPLATE

FIGURE - 3PICTORIAL DRAWING BORDERS AND TITLE BLOCKS

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PROJECT LOCUS

RAILROAD

FORE RIVER

BOSTON

SCALE IN MILES

1 43210

NAVY YARD (MWRA)

EXPRESSWAY

SOUTHEAST

3A28

RIVER

CHARLES

RIVER

CHARLES

CHELSEA

MASSACHUSETTS TURNPIKE

53

WALTHAM

WESTWOOD

16

9

ROXBURY

WEST

RIVER

MYSTIC 1

1A

145

BAY

QUINCY

BAY

HINGHAM

24

NAHANT

NEWTON

BRAINTREECANTON

ROSLINDALE

PARK

HYDE

ROXBURY

95

NORWOOD

RANDOLPH

128

SEA ST.

QUINCY SHORE DR

.

90

2

99

93

3A

3

1

EVERETT

ISLAND

GEORGES

ISLAND

LOVELL

HARBOR

BOSTON

AIRPORT

LOGAN

ISLAND

SPECTACLE

ISLAND

THOMPSON

ISLAND

GRAPE

ISLAND

PEDDOCKS

ISLAND

LONG

NUT ISLAND

DEER ISLAND

WINTHROP

REVERE

BELMONT

MEDFORD

SOUND

BROAD

MILTON

BROOKLINE

DORCHESTER

QUINCY

WEYMOUTH

HULL

HINGHAMDEDHAM

WATERTOWN

CHARLESTOWN

SOMERVILLE

CAMBRIDGE

LOCATION PLAN

LOCUS PLAN

N

BROWN CIRCLE

MWRA

SECTION 53-REVERE

COPELAND CIRCLE

STA. 129+00

STA. 193+00

BR

O

O

K

PINES RIVER

PINES RIVER

ATLANTIC

OCEAN

REVERE BEACH

1A

60

GENERAL LOCUS MAP

LOCUS MAP LOCATING

MAJOR ROADS AROUND

JOB SITE

T

O

W

N

LI

N

E

FIGURE - 4

SAMPLE LOCUS MAPS

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1. The adopted Authority Standard text font is ROMAND.

2. Three text style sizes using Romand font are standard: a. MWRA style (small text size) - 0.12" high with a 0.80 width factor b. MWRA18 style (intermediate text size) - 0.18" high with a 0.90 width

factor.

c. MWRA22 style (large text size) - 0.22" high with a 1.00 width factor

3. MWRA style is used for: a. notes column heading - MWRA18 b. legend heading - MWRA18 c. section and elevation view titles - MWRA22

4. Text in section, elevation and detail standard symbols are fixed as attributes.

5. Text and dimensioning shall go on the text layer

6. Text in the title block is fixed as an attribute, and is editable by using the DDATTE command.

7. Dimension and leader arrow heads are 0.12" long and are set in the template.

FIGURE - 5SIZE, STYLE AND LAYER FOR TEXT

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A

P

3

E

2 3

2

3

23

O

8"

3'-6

"

B

H

D

F

Fb=1450 AND 1700 (APPLICABLE SIZES) B. BALANCE OF WOOD: NO. 1 GRADE

Fb=2000 PSI, E=1.7M PSI. A. STAIR STRINGERS: PREMIUM GRADE

WITH 0.4 CCA - ASTM D1760. PRESSURE-TREATED SOUTHERN YELLOW PINE2. ALL FRAMING WOOD AND PLANKING TO BE

COVERS BY OTHERS.

WITH PLATFORM DECK. OPENING; MANHOLE RING SHALL BE FLUSH4. PLATFORM SHALL BE CENTERED ON MANHOLE

TO MAIN PLATFORM; SEE DETAIL H, SHEET 3. FOR SECURING STAIR AND LANDING ASSEMBLY3. FAR 4"X4" POSTS EXTEND ABOVE HANDRAIL

PIPE CRADLES, RC PIPE AND RC PIPE END1. MANHOLE STRUCTURE, FRAME AND COVER,

NOTES

The illustration shows a suggested way of Mechanical note arrangement about an object. Where possible, notes should be located outside the linework and

aligned vertically with left justification; some attempt should be made in horizontal alignment as well. More lengthy notes are located in column starting in the upper right corner of the drawing sheet under the NOTES heading. Items in the notes column are numbered consecutively. A blank space shall be left between each note item.

The north arrow shall be placed along the top margin of the drawing; if it applies to one section of the drawing, it shall be placed near it; orientation of pointer shall be in the second quadrant.

Scale bars shall be placed just above the change block of the drawing or where clearly visible: a scale bar for each scale used shall be included.

NOTES:

FIGURE - 6MECHANICAL ARRANGEMENT FOR NOTES & DIMENSIONS

HANDRAIL SHOWN IN

DETAIL N, SHEET 2

4"X4" BRACE CENTERLINE

SECOND LANDING

4"X4" HORIZ. BRACE, TYP.

2"X4" CROSS BRACES, TYP.

TOP OF PLATFORM

(REFERENCE)

FIRST LANDING

2"X6"

FINISH GRADE

(3) 2"X6"

SCALE - 3/8"=1'-0SECTION

DETAIL DETAIL

DETAILSEE NOTE 3

DETAILDETAILDETAIL

DETAIL

9'-4

1/2

" 5'-6

1/2

"3'

-0"

10"

10'-

0"

9'-6

"

5'-0

"

1'MIN.

4'-10"5'-0"4'-10"

14'-8"

24"x12"DUCT

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ROOF PLAN

ROOF DRAIN SEE DETAIL THIS DWG.

ROOF DRAIN SEE DETAIL THIS DWG.

PLUMBING VENT SEE DETAIL THIS DWG.

H.P.

FLUE-SEE DETAILTHIS DWG.

PITCH

PITCH

FURNISH AND INSTALL NEW MODIFIEDBITUMEN ROOF SYSTEM AS SPECIFIED

MM

LL

N

N

SCALE: 1/8" = 1'-0"

42'-1"

3'-9

"

3'-0"

33'-

9"

3'-9

"

3'-0"

The illustration shows a suggested way of Civil note arrangement about an object. Where possible, notes should be located outside the linework and aligned vertically with left justification; some attempt should be made in horizontal alignment as well. More lengthy notes are located in column starting in the upper right corner of the drawing sheet under the NOTES heading. Items in the notes column are numbered consecutively. A blank space shall be left between each note item. The north arrow shall be placed along the top margin of the drawing; if it applies to one section of the drawing, it shall be placed near it; orientation of pointer shall be in the second quadrant.

Scale bars shall be placed just above the change block of the drawing or where clearly visible: a scale bar for each scale used shall be included.

NOTES:

FIGURE - 7CIVIL ARRANGEMENT FOR NOTES & DIMENSIONS

NOTES

MANHOLE STRUCTURE, FRAME AND COVER, PIPE CRADLES, RC PIPE AND RC PIPE END COVERS BY OTHERS.

ALL FRAMING WOOD AND PLANKING TO BE PRESSURE-TREATED SOUTHERN YELLOW PINE WITH 0.4 CCA - ASTM D1760.

STAIR STRINGERS: PREMIUM GRADE

Fb=2000 PSI, E=1.7M PSI.

BALANCE OF WOOD: NO. 1 GRADE

Fb=1450 AND 1700 (APPLICABLE SIZES)

FAR 4"X4" POSTS EXTEND ABOVE HANDRAIL FOR SECURING STAIR AND LANDING ASSEMBLY TO MAIN

PLATFORM; SEE DETAIL H, SHEET 3.

PLATFORM SHALL BE CENTERED ON MANHOLE OPENING; MANHOLE RING SHALL BE FLUSH WITH PLATFORM DECK.

1.

2.

3.

4.

A.

B.

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1.Layer assignments for entities may be based on entity relatedness: layer 0 shall be black. Use the template and its layers as a start adding specific layers as needed.

2.All text should be placed on a layer called "text"; color shall be black

3.All dimensions should be placed on a text layer; dimension standards are preset in the drawing template.

4.Line types other than continuous should be placed on separate layers (i.E. Phantom, Hidden). Dashed lines should be placed on the layer with the object they are associated with.

5.Column lines are shown as center lines and are on their own layer along with the column line balloon.

6.All hatch patterns are placed on the "Hatch" layer; color 8 or hatch solid (shade) layer color 253.

7.Where a contrast between existing features and new work is to be emphasized, the existing work shall be rendered in color black line weight .005

8.For plotting purposes use mwra cbt file.

9.Layer 0 should be used only for insertion of blocks and templates (no graphics).

FIGURE - 8

LAYER UTILIZATION

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NOT FOR CONSTRUCTION

AND COMMENT BY THE OWNER AND ITS AGENTSNOT INTENDED FOR ANY PURPOSE EXCEPT REVIEWTHIS DOCUMENT IS PRELIMINARY ONLY AND ISNOTE:

PRELIMINARY COPY

100% SUBMITTAL

90% SUBMITTAL

60% SUBMITTAL

30% SUBMITTAL

1

THIS SET OF DRAWINGS ISSUED ISSUED RECORD PURPOSES.

approved changes to the design that have been incorporatedthe drawing. This drawing is issued to incorporate previouslyNo engineering review has been performed for this issue ofdrawing do not apply to changes on this issue of the drawing.The Professional Engineer Seals on any prior issues of this

into the work by the contractor.

RECORD DRAWING

FIGURE - 9DRAWING SYMBOLS AND STATUS LABELS

Use this symbol to indicate changes in the drawing; showing the extendsof the change area outlined by a cloud.

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0

5

SCALE IN FEET

SCALE: 1" = 10'-0"

10 30

20

40

6020

SCALE: 1" = 20'-0"

SCALE IN FEET

10

0

80

12040

SCALE: 1" = 40'-0"

SCALE IN FEET

20

0

0

50

SCALE IN FEET

SCALE: 1" = 100'-0"

100 300

200

400

600200

SCALE: 1" = 200'-0"

SCALE IN FEET

100

0

PROFILE

0

20

SCALE IN FEET

SCALE: 1" = 40'-0"

40 120

80

HORIZONTAL

VERTICAL

8

124

SCALE: 1" = 4'-0"

SCALE IN FEET

2

0

VERTICAL

HORIZONTAL

PROFILE

0

1

SCALE IN FEET

SCALE: 1" = 2'-0"

2 6

4

20

3010

SCALE: 1" = 10'-0"

SCALE IN FEET

5

0

16

248

SCALE: 1/8" = 1'-0"SCALE IN FEET

4

0

0

2

SCALE IN FEET

SCALE: 1/4" = 1'-0"

4 12

8

8


0

0

8

SCALE IN FEET

SCALE: 1/16" = 1'-0"

16 48

32

0

1

SCALE IN FEET

SCALE: 1/2" = 1'-0"

2 6

4

6

4

2

1

3

42


1

0

2

31

SCALE: 1" = 1'-0"

SCALE IN FEET

0

0

SCALE IN FEET

SCALE: 1 1/2" = 1'-0"

2

1

1

SCALE: 3" = 1'-0"

SCALE IN FEET

0

NOTE: THESE SCALE BARS ARE NOT SHOWN TO SCALE

FIGURE - 10SCALE BAR SAMPLES

NOTE: SCALES 30,50, 60, 80 AND 300 ARE NOTTO BE USED UNLESS SPECIFICALLY AUTHORIZED.

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DETAIL RECORD CHECKLIST For E&C Staff

MWRA Contract number Contract Title Designer Resident engineer Construction coordinator Project manager Drawings All details records furnished? All detail records numbered? Do detail record numbers correspond to valve or meter numbers?

Title on each detail record? Pipe sections number, size, type, location shown for new and existing pipe

Taking lines shown for new and existing pipe Appurtenances shown with horizontal stationing Buildings, underground and above ground structures and ties shown

Elevations of water main and existing ground surface on Boston City Base Datum

Three ties shown, with distances, for bends, manholes, meter, other appurtenances, etc.

Building numbers shown Street names shown Other detail records referenced Field book reference indicated Pipe station shown Detail record numbers and meter numbers shown Type of appurtenance indicated E&C format followed 8 ½” x 11” or 11” x 17”? Horizontal scale of 1” = 20’ North arrow Date of drawing preparation, revisions, and name of preparer

Valve information shown Valve numbers Type and size of valves Number and turns and direction to open Valve manufacturer and actuator manufacturer Elevation at top of pipe barrel

E&C October 14, 2003 Page 1 of 1

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REDLINED DRAWING CHECKLIST

For E&C staff MWRA Contract Number Contract title Designer Resident Engineer Construction coordinator Project Manager Transmittal form with drawings Statement of verification by MWRA staff of the as-built conditions

Drawings All drawings furnished? Redlined markup on contract drawings? Correct contract number and title on each drawing? All contract drawings have accession numbers? Buildings numbers or names shown? Pipe section number, size and type, and street shown for existing and new pipe

Installed locations of pipe, manholes, valves, and appurtenances shown?

Pipe restraints shown and located? Meter and valve numbers shown All drawings have dimensions where different from contract drawings or where appurtenances added?

All drawings have elevations where necessary? All drawings have survey information and ties on appurtenances?

Revised horizontal distance of pipeline (manhole to manhole)stationing to show actual location of pipeline?

Locations of horizontal and vertical survey controls points Permanent easements and right-of-way shown Dimensions showing equipment pad layout Relocation of utility plumbing and process piping Building column line locations Massachusetts grid coordinates of structures (northings and eastings)

Equipment finishes and coatings from approved shop drawings

Weir elevation settings Location and depth of cover of buried items (pipelines, utilities, valves, etc) with reference to above ground permanent marker


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REDLINED DRAWING CHECKLIST

For E&C staff


Electrical, control, and instrumentation diagrams updated? Changes in designed location of support piling under buildings, pipe joints, and electrical conduit encasements

Obsolete notes, demolished or removed items crossed out? Uncovered utilities, ledge, other obstructions noted? Station and elevation?

Site conditions encountered, such as geotechnical features, not reflected on the drawings

Locations of contaminated sites shown with stationing where tested?

Sewer contract: Elevations of sewers and existing ground elevation on MWRA datum, 99.97 feet below Boston City Datum

Water contract: Elevations of water mains and existing ground surface on Boston City Base Datum, 5.65 feet below USGS mean sea level

E&C format followed? Title block lower right? North arrow Detail drawings at 10-scale Horizontal scale at 1”= 40’ Vertical scale at 1”= 4’ 24” x 36” sheet size Water Pipeline Contracts Pressure zone, street location, city or town Year pipe laid and MWRA contract number Land taking number and plan number Meter and valve numbers indicated next to location of appurtenances on drawings

Survey elevations shown Survey ties shown Construction field book number Appurtenances placed on plan view by three ties and referenced to detail record

As-built location and dimensions of appurtenances that are assembled or arranged at site are shown in enlarged detail and/or section

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RECORD DRAWING CHECKLIST For E&C staff

MWRA Contract Number Contract title Resident Engineer Designer Construction coordinator Project manager Transmittal form with drawings Drawings All drawings furnished? Correct contract number and title on each drawing? All contract drawings have accession numbers? All redlined changes incorporated? Pipe section number, size and type, and street shown for existing and new pipe

Meter and valve numbers shown All drawings have dimensions where different from contract drawings or other appurtenances added?


Locations of horizontal and vertical survey controls points Revised horizontal pipeline stationing (manhole to manhole, and linear on ground), where necessary?

Permanent easements and right-of-way shown Dimensions showing equipment pad layout Relocation of utility plumbing and process piping Building column line locations Massachusetts grid coordinates of structures (northings and eastings)


Weir elevation settings Location and depth of cover of buried items with reference to above ground permanent marker

Electrical, control, and instrumentation diagrams updated? Changes in designed location of support piling under buildings, pipe joints and electrical conduit encasements

Obsolete notes, demolished or removed items crossed out? Uncovered utilities, ledge, and other obstructions noted? Station and elevation?



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Sewer contract: Elevations of sewers and existing ground elevation on MWRA datum, 99.97 feet below Boston City Datum Water contract: Elevations of water mains and existing ground surface on Boston City Base Datum, 5.65 feet below USGS mean sea level

Enlarged plans and profiles, where necessary Actual installation of pipe, valves, manholes, appurtenances in detail

Elevations shown Enlarged plan in 10-scale Professional Engineer’s stamp on drawings? Stamped as record drawing Revision date entered Disclaimer stamped on drawing E&C format followed? Title block lower right? North arrow Detail drawings at 10-scale Horizontal scale at 1”=40’ Vertical scale at 1”= 4’ 24” x 36” sheet size Mylars of all drawings received? 3 paper copies of all drawings received? Water Pipeline Contracts Pressure zone, street location, city or town Year pipe laid and MWRA contract number Land taking number and plan number Meter and valve numbers indicated on drawings Survey elevations shown Construction field book number ? Aperture Cards All drawings filmed onto aperture cards? Two aperture cards received with each drawing: one master and one copy?

Electronic Files TIFF files for each full-size drawing? AutoCADD files for each drawing?

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DESIGN INFORMATION SYSTEMS CENTER DRAFTING & DESIGN PROCEDURES

NO.: DP3-2 REV: 2

Page 1 of 10

TITLE:

Contract Drawing Preparation DATE: 05-14-08

APPROVED: _______________________________________________ Assistant Director of Engineering

A

C

M

SSA HUSETT

S

WATER

R

ESOURCES A

UTHORITY

1.0 PURPOSE AND SCOPE

1.1 To establish the responsibilities and describe the method by which contract drawings and revisions are prepared.

1.2 To establish the work flow for the preparation of drawings and revision among the drafters,

checkers and CADD Manager.

1.3 To establish a standard approach for the preparation of contract drawings generated by the Authority or consultants.

2.0 RESPONSIBILITIES

2.1 SENIOR PROGRAM MANAGER

Ensure the implementation of this procedure.

2.2 CADD MANAGER

Review and approve with the Project Manager the information to be incorporated into the contract drawing set.

Assign the drawings to drafters with a schedule of completion.

Oversee the drawing checking guidelines in accordance with DP3-3 Drawing Checking

Procedure.

Review drawings to ensure they are prepared in accordance with applicable MWRA standards, guidelines, and procedures.

Route the drawings to project technical review personnel for intermediate review; confer

with technical review staff on adequacy of graphical completeness for various disciplines.

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NO.: DP3-2 TITLE: Contract Drawing Preparation

Page 2 of 10

On completion of drawing package, notify the project manager who shall confirm the

accession numbers for each drawing with the Accession Number Specialist in accordance with DP2-2 Drawing Accession Number Program.

Review the red-lined bid set of drawings from the Construction Unit for adequacy, clarity

and necessary information for the preparation of as-built (record) drawings.

Transfer mylars to document control for distribution in accordance with DP1-2.

2.3 DRAFTER/DESIGNER

Incorporate work methods and procedures in drawings and drawing design in accordance with this procedure.

3.0 IMPLEMENTATION

3.1 The CADD Manager, in conference with project manager, shall:

3.1.1 Determine the appropriate method of drawing preparation, (eg., AutoCAD Raster Design).

3.1.2 Determine the number of required drawings in each discipline and standard details.

3.2 The CADD Manager shall assign contract drawing tasks to the staff drafters.

3.3 Drafters shall prepare contract drawings using the following standard criteria:

1. Initial geometry drawings shall be 1:1 in model space; enlarged views of models shall

be shown in paper space

2. Plotted sheets shall be made using paper space on 36" x 24" sheet size; all plotting shall be done to minimize medium trimming wastage; see the CADD Manager for guidance in this area.

3. When possible, the graphics of only one construction discipline shall be placed on a

given sheet.

4. The adopted Authority Standard text style is ROMAND font, MWRA style.

5. The MWRA standard drawing cover sheet shall be used for the title page. The locus plan on the cover sheet shall be a site map showing the location of the work area, and the project name marked with an arrow. The index to the project drawings shall be shown on the right side of the cover sheet indicating drawing title, drawing number sheet number and accession number. The cover sheet shall be numbered sheet 1.

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Page 3 of 10

6. When the Drawing index is too lengthy to fit on the title page, it shall be placed on the second sheet of the project drawing series and shall be labeled G-1; for this purpose, the drawing border title block shall be the MWRA standard discipline sheet; this sheet may be used for legends and general notes.

7. The site plan drawing shall be the next drawing in sequence, defined in a standard

engineering scale showing the local street environs about the facility location; the site plan shall show but not limited to such details as:

ingress and egress to the project site with street names

security fence perimeters

construction equipment and materials lay down areas

North arrow and drawing scale bar

The site drawing number shall be prefixed with "C-".

8. The information on the cover sheet shall match information on each following sheet.

9. The drawings of the contract set shall be arranged in the discipline order listed as

follows: cover sheet G-n general sheet C-n site plan; civil A-n architectural S-n structural M-n mechanical E-n electrical P-n plumbing H-n heating, ventilation, air conditioning I-n instrumentation D-n details T-n traffic

where, "n" is a sequence number within a given construction discipline letter

designation.

10. All drawings shall bear a sequence number as "n of m" in the editable space provided in the title block.

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Page 4 of 10

11. The subject matter on each drawing of a given discipline series shall be as ordered as

follows:

legends and/or symbols and general notes demolition of old work plans and sections of new work details of new work when there are a large number of them equipment schedules.

12. The scale on each drawing of a given discipline series shall be defined as standard engineering scales. Scales are presented in Appendix C.

13. Notes placed on a drawing shall be placed in the upper right hand corner under the heading "NOTES" underlined and in MWRA18 text style 0.18" high uppercase letters; notes must link to items on the drawing and not take the place of the discourse that more appropriately belongs in the specifications or on a legend sheet. The notes shall be in upper case romand characters 0.12" high. See Appendix C. If the notes cannot be placed in the upper right hand corner due to length or graphics on the drawing, the notes shall be placed where appropriate on the drawing.

CAUTION

The intention of the notes feature of drawings is to supplement or clarify the graphics shown on the drawing; if there is no direct, meaningful link between the content of the note and the referent graphic entity on the drawing, the instruction should be placed in the appropriate specification section, or in the general notes.

14. When appropriate, drawings shall have a key plan placed in the lower right hand

corner of the sheet as an aid in locating within the structure where the work illustrated on the drawing is to be placed.

15. All plans, sections and details shall be identified with MWRA standard symbols and

titled with uppercase underlined MWRA22 text style 0.22" high characters; the appropriate scale notation (part of the symbol block) shall be shown below the title.

16. Notes located at the point of reference and indicated with a leader shall be left justified

and where possible lined up vertically, to the left or right side of the elevation, plan or sectional view; all characters for notes and shall be MWRA text style, 0.12" high upper case characters.

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Page 5 of 10

17. All dimension characters shall be 0.12" high MWRA text style characters placed in the

middle of the dimension line and paralleled to the direction of the dimension line when possible; dimension and leader arrowheads shall be 0.12" in length and filled.

NOTE: Dimension style criteria are subject to construction discipline interpretation

and this standard chooses to accommodate interpretation.

18. The minimum layer convention for a drawing is established with the insertion of the standard drawing border and the named layers are as follows:

0 centerline – for columns and center lines dashed - dashed existing – out of function grade - grade hatch – cross hatching hide – lines not to be displayed image – raster image insertions logo – title block mwra&facnm – title block newpipe – for new pipe work (heavy) newpipethin – for new pipe work (thin) profilegrid – for profile grids profiletick – for scale tick marks on profile projdwttl – title block solid - shading text – for notes, labels and dimension text and line work titleblock – title block vport - viewport

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Page 6 of 10

19. The template for standard layering conventions shall be used as follows:

20. Line color conventions facilitate drawing plotting with the use of .ctb files; these files can be made drawing specific; all final plots are required to be in black and white; the line-color-line width convention, as a minimum, and used at the Authority Standard is as follows:

a. color 1, red; line width 0.005"; applicable to hidden lines and lines making up

hatched entities; the layers "hidden" and "hatch" contain the entities.

b. color 12 (a shade of red); width 0.016" used for bold text styles on cover sheets and in title blocks for drawing and project titles; these are fixed in the drawing border-title block blocks.

c. color 2, yellow; line width 0.008"; applicable to "drawing info layer".

d. color 3, green; line width 0.007"; applicable to center lines and column lines

on the "centerline" layer.

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Page 7 of 10

e. color 4, cyan; line width 0.007"; applicable dimension and leader lines;

dimension entities are contained on the "dim" layer; leaders are on the text layer.

f. color 5, blue; unassigned.

g. color 6, magenta; unassigned.

h. color 7, black; line width 0.010" this color as well as those unassigned may be

used for visible entities (ie object lines) as seen fit and upon unreserved layers.

i. color 253; line width 0.005"; applicable to "out of function" layer.

j. color 240; line width 0.005” is reserved for the MWRA logo in the title block.

3.3 All contract drawings prepared either by Authority personnel or by Consultants in Service of the Authority shall use AutoCAD of a version compatible with the current Version in use by the Authority.

3.4 On completion of final checking of the drawing package by CADD staff and the reviewing

engineer, in preparation for bidding, the CADD manager and the project manager shall have the drawings initialed by appropriate CADD and engineering staff, respectively. The project manager shall arrive for affixing of a Professional engineer’s stamp to mylar copies of each drawing.

1. The following convention shall be used in placing personnel initials in the title block

of contract drawings:

The "designed by" box shall contain the design engineer's initials.

The "drawn by" box shall contain the drafter's initials.

The "checked by" box shall contain the initials of the engineer who reviewed and checked the work.

The "approved by" box shall contain the senior program manager(s)'s initials. The final drawing in mylar shall be manually signed (initialed) by the design

engineer, the drafter, and the engineer who reviewed and checked the work. The final drawing in mylar shall be initialed by the senior program manager when the documents are ready to bid.

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Page 8 of 10

The Director of Engineering shall place his engineer's stamp on the contract

drawings after all other boxes have been initialed in the title block, when the final documents are ready to bid.

3.5 All electronic contract drawings shall be secured in the designated directory structure for the contract in the appropriate server.

4.0 REFERENCES

4.1 Massachusetts General Law, Chapter 149, Section 44a - Governs all contracts for construction, reconstruction, installation, demolition, maintenance or repair of any building, including modular buildings, estimated to cost more that $25,000. Chapter 149 applies to all contracts over $25,000 which include building work, regardless of its cost.

4.2 Massachusetts General Law, Chapter 30, Section 39m - Chapter applies to contracts for

construction, reconstruction, alteration, remodeling or repair of any public work (e.g., horizontal construction - sewers, water lines, roads, etc.) or construction materials estimated to cost between $10,000 and $25,000.

4.3 Massachusetts General Law, Chapter 30 or Chapter 149 - All projects subject to Chapter 30 or

Chapter 149 of the Massachusetts General Laws require a detailed design set forth in plans and specifications.

4.4 Massachusetts General Law, Section 44b(1), Chapter 149 - All Chapter 149 contracts must

have plans drawn on a scale of not less than one-eighth inch to one foot except for site plans that have not been mechanically reduced.

4.5 The Uniform Drawing System the Construction Specifications Institute, 1997

4.6 DISC Procedure, DP1-2 Management of DISC Requests for Work for CADD Services.

4.7 DISC Procedure, DP2-2 Drawing Accession Number Program.

4.8 DISC Procedure, DP3-3 Drawing Checking Procedures.

4.9 DISC Procedure, DP3-6 Procedures for Obtaining Output (Plotting).

5.0 DEFINITIONS

5.1 Drawings - All drawings, diagrams, charts, illustrations, schedules, and other data which are specifically prepared or revised by the Project Manager to illustrate the work in support of the construction project related activities.

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Page 9 of 10

5.2 CADD Work Group(s) - Drafters, checkers and CADD Manager of DISC

5.3 MWRA Drafting Standards

5.3.1 Establishes AutoCAD template drawings for use in the Authority; the AutoCAD

features addressed include (see also Appendix C):

1. line widths 2. line types 3. line colors 4. layers for text, hatching, dimensions, column and center lines, images, objects

and viewports 5. drawing border styles 6. text styles

5.3.2 Establishes unique ways for the creation and use of raster images with AutoCAD and

Raster design.

5.3.3 Establishes protocol for the interchange of electronic drawing files in AutoCAD.

5.3.4 Establishes the methodology and format that shall be used in the preparation of drawings for Authority construction projects; special emphasis is given in fixing the methods for use of paper space and model space features of AutoCAD.

5.3.5 Establishes the methods for the preparation of record drawings based on the red-lined

entries on the bid set of drawings received from the construction management division.

5.3.6 Establishes the method for the preparation of plan and profile drawings for sanitary

sewer and potable water conduits.

5.3.7 Establishes that the final form of each contract drawing be on 4 mil mylar (polyester) film, single matte finish; each of these shall bear the engineer's stamp and shall be used for the preparation of the bid set of drawings.

5.4 Standards: wherever used in this procedure shall be understood to mean MWRA drafting and

CADD standards. 6.0 ATTACHMENTS

None.

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Page 10 of 10

7.0 FORMS

None.

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DRAFTING & DESIGN PROCEDURES

TITLE:

Drawing Checking Procedures

NO.: DP3-3 REV: 2

Page 1 of 4

DATE: 05-14-08


A

C

M

SSA HUSETT

S

WATER

R

ESOURCES A

UTHORITY

1.0 PURPOSE AND SCOPE

1.1 To establish the responsibilities and describe the methods for the use of checking guidelines when reviewing drawings and drawing revisions.

1.2 To establish checking guidelines as a tool to be used to assist the drawing checker in

identifying the items to be checked on the drawings. 2.0 RESPONSIBILITIES

2.1 SENIOR PROGRAM MANAGER (Manager - DISC)

• Ensure the implementation of this procedure.

2.2 CADD MANAGER

• Oversees the drawing checking guidelines and assigns checking jobs to drafters and/or checkers.

2.3 DRAWING CHECKER

• Performs checking of drawings, using the items on the drawing checklist, as a

minimum. The CADD Manager will assign an individual other than the drafter making the drawing to check the drawing.

3.0 IMPLEMENTATION

3.1 SCHEDULE FOR CHECKING

3.1.1 The CADD Manager is responsible for the review of all drawings during the progress of the work to ensure MWRA drafting standards, as defined in this manual, are used.

3.1.2 CADD staff are responsible for the quality of their work and shall check their work for technical accuracy and coordination on a daily basis.

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TITLE:

Drawing Checking Procedures NO.: DP3-3

Page 2 of 4

3.1.3 The CADD Manager will assign checking jobs to drafters and/or checkers during the progress

of the work to cross -check work.

3.1.4 At a minimum, the CADD Manager will assign cross-checking of work to CADD staff at two design milestones:

• Checking of plans and profiles at the 30 percent design • Checking of all drawings on or before the 90 percent design.

3.2 ITEMS TO CHECK

3.2.1 The drawing checker will review new construction drawings for the following items to ensure MWRA standards are used, and drawings are complete and coordinated among disciplines. Form 7.1 Drafting and Design Procedures Drawing Checklist is a summary of the items listed below and shall be used as a checking tool.

1. The MWRA standard drawing template for drawing border and title block is used.

2. All graphics are on the sheet of the same discipline where possible 3. Sufficient number of sections taken to reduce the number of hidden objects; section

references between sheets are correct.

4. All text is of uniform style, size and of upper case 5. All line styles and widths are appropriate for use on the drawing 6. Notes column starts in upper right corner of the sheet; notes located near reference

item right or left justified and outside the limits of dimensioning 7. Legend contains all symbols and abbreviations used in the drawings. 8. Project title, drawing title, drawing number, sheet number and accession number on

the drawing agree with that shown on the drawing set title sheet. 9. Scale bars are shown for each scale used on views 10. Check scales on drawings 11. Engineering scales are appropriate for the discipline. 12. North arrow is correctly oriented and located along the top of the sheet

13. Match lines on plans are coordinated between drawings.

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TITLE:


Page 3 of 4

14. New work (pipeline, facilities, equipment, etc) is shown shaded and with heavy lines.

15. All discipline specific symbology are taken from the MWRA standards. 16. All drawings should utilize multiple layers; i.e., text, border, new pipe, etc. These

layers are automatically created when the template is inserted in the AutoCAD drawing.

17. The drawing is marked “Progress Print”, with the plot print indicating date and time

inside the border, if the drawing is not final.

18. The title block contains the scale, date and initials of the designer, drafter, checker, and engineer approving the drawings.

3.2.2 Standard colors will be used to mark the checking print when checking a drawing; the

following formality will be observed:

YELLOW - Item verified, (corrected or checked) RED - Item to be revised, (add, delete or modify)

4.0 REFERENCES

None. 5.0 DEFINITIONS 5.1 Drawings - All drawings, diagrams, charts, illustrations, schedules and other data which are

specifically prepared or revised by the Authority to illustrate some portion of the working support of the project-related activities.

5.2 Drawing Checklist - A list of items that are to be checked by the drawing checker as shown

on the Form 7.1. The form is suitable for duplication and use as a checking tool.

6.0 ATTACHMENTS

None. 7.0 FORMS

7.1 Drafting and Design Procedures Drawing Checklist

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TITLE:


Page 4 of 4

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DRAFTING & DESIGN PROCEDURES

TITLE:

Drawing Checking Procedures

NO.: DP3-3 REV: 2

Page 5 of 4

DATE: 05-14-08


A

C

M

SSA HUSETT

S

WATER

R

ESOURCES A

UTHORITY

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DRAFT

Guidelines for MWRA Waterworks

Detail Records and Record Drawings

(Revised: February 2006)

By: Rajesh Shah,

Field Operations, Waterworks Please email ‘[email protected]’ should you have any comments/suggestions on items presented in this document.

Contents 1. General Information on Record Drawings and Detail Records Pages 2 & 3 of 13 2. Detail Records Pages 4 to 9 of 13 3. Record Drawings Pages 10 to 13 of 13 4. Sample Detail Record and Record Drawing Three Sheets

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1. General Information

1.1 Waterworks Record Drawings and Detail Records: Waterworks Record Drawings and Detail Records are essential in routine operations, operations planning, maintenance, emergency response, as well as design engineering and construction of MWRA Waterworks Distribution and Transmission Mains and Facilities.

1.1.1 Record drawings are essentially final forms of ‘As Built Drawings’ of any Design Engineering/Construction Projects. They don’t show construction related information, and correctly represent final conditions of the Pipelines/ Facilities after they are put in Operations. 1.1.2 Detail Records are developed to show enlarged views of details and appurtenances (such as, gate/BV/air/BO valves, bends, fittings meters, and connections to cities/towns or any other water mains etc.) on waterworks pipelines/facilities.

1.2 Record Drawings and Detail Records are related in a way that the references of the

‘Detail Record Numbers’ are made on to the Record Drawing sheets at locations where those individual Detail Record exists. (See Page 11, Section 3.2.2.8)

1.3 There are two main categories of Detail Records and Record Drawings : 1.3.1 Pipelines (Small/large diameters Distribution pipelines, excluding transmission tunnels) 1.3.2 Facilities (Buildings, Transmission Tunnels, or any physical structures other than Distribution Pipelines, such as, Storage Reservoirs, Treatment Plants, Pump Stations, Valve Chambers, Gate Houses etc.)

1.4 A major way of ‘Record Drawings’ and ‘Detail Records’ developed:

(1) One of the major ways Record Drawings and Detail Records are developed is through Design Engineering and Construction Contracts on Waterworks Pipelines/Facilities. Consultants for the respective Contracts coordinate with MWRA Engineering and Construction Staffs in the development process of the Record Drawings and Detail Records.

(2) MWRA Field Operations Staffs participate in interim review process on Draft Record Drawings and Detail Records submittals by the consultants.

(3) As one of the end products of the Contracts, these Drawings are submitted to the MWRA staffs. These Drawings are accepted by the MWRA after ensuring that all of the review comments are addressed.

1.5 Before working on a new Design Contracts, it is important to find if any existing

MWRA Pipelines/Facilities are situated within the geographic limits. Consultants/

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Designer must obtain copies of the existing Record Drawings & Detail Records from the MWRA staff for review to see if there is any presence of existing pipeline/facility. Existing Pipelines/Facilities shall be duly shown on the new Pipelines/Facilities Record Drawings and Detail Records. (For further information on ‘Detail Records’, please see Page 4, Detail Records Section 2.3).

1.6 When existing pipeline/facilities are to be relocated or rehabilitated, Detail Records and Record Drawings showing them shall be updated. Any annotations, redlines or as built notes on to the existing Detail Records and Record Drawings shall be finalized

1.7 Final submission of Record Drawings and Detail Records shall be made to the MWRA staffs on a set of Mylar, 2 sets of paper copies and on latest version of CAD files.

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2. Detail Records

2.1 Detail Records showing Pipelines shall be developed at all locations where anything other than straight pipeline passes.

2.2 A Detail Record shall show one geographic location or street address. 2.3 New Design Project would require to have new Detail Records, however, if there

is an existing pipeline/facility is in vicinity, then the following listed 2 (two) scenarios shall be reviewed:

Scenario 1: If the locations of new pipeline/facility have valve/appurtenance or fitting and existing pipeline/facility does not have a Detail Record at this location: To Do:

A new Detail Record shall be developed to show the existing pipeline/facility. Scenario 2: If the locations of new pipeline/facility have valve/appurtenance or fitting and existing pipeline/facility also have a Detail Record at this location: To Do:

A new Detail Record shall be developed and all the information from the existing pipeline/facility Detail Record shall be transferred onto the new Detail Record.

2.4 Drawing shall be clear and legible. The topography shall not be shown. 2.5 Duplication or overlapping of the information on Detail Records is not permitted. 2.6 Generally one appurtenance shall be shown on a given detail record, however,

multiple appurtenances can also be shown to the extent possible without compromising legibility.

2.7 Detail Records are generally of 8 1/2" X 11" size sheet in portrait orientation.

A landscape orientation and an 11" X 17" size are acceptable on a case by case basis where appropriate, with prior approval from the MWRA staff.

2.8 Borderlines shall be 3/4" on the left side and 1/4" on the remaining three sides.

2.9 Area within the borderlines is divided into two portions: 1. Upper 2/3 portion shall be called as Drawing area, and 2. The remaining 1/3 portion shall be called as Title block area.

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The following is a description on ‘Items to be shown’ in Drawing and Title Block areas:

2.9.1 Drawing area:

2.9.1.1 Pipelines Detail Records shall normally show the Plan view of subject feature. However, sometimes Profile view helps in better understanding of the features; so, it shall be included in that case.

2.9.1.2 Plan view shall be drawn at a scale of 1" = 20'.

2.9.1.3 Scale bar and Scale shall be labeled underneath the date(s)

in the Title block area (See Section 2.9.2.2).

2.9.1.4 Tie Lines: Tie Lines help in locating valves/ appurtenances or fittings in field. Tie Lines are shown with tie distances labeled on them. Tie distances are measured in reference to a point located on a given valve/ appurtenance/ fittings on the pipeline and a point on a near by physical structures (such as, light/telephone pole, corner of building). There shall be no more than 3 tie lines shown.

There are few important points to note as follows: (1) No ties are needed to show pipeline features that are abandoned. (2) Only one valve/MH cover shall have tie lines shown, if there are multiple valves/MH covers are shown. Other appurtenances can be located by measuring distances on the Detail Record. (3) Show tie lines to bends and fittings that are not close to valves shown on the D.R. For any fittings close to valves, tie lines shall not be shown.

2.9.1.5 Where available, GPS coordinates shall be shown indicating whichever items they are referring to. (Note: Facilities Detail Records must show GPS coordinates)

2.9.1.6 Drawing shall be positioned such that the North arrow is

oriented and pointed as close to the top of the drawing as possible. The North arrow shall be configured vertically in Northeast direction as best as possible.

2.9.1.7 Detail Records showing Valves shall be labeled with Valve

IDs and a leader line with arrow pointing towards the valves. Right underneath the Valve ID label, ‘Valve

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Label’ shall be placed and it’s shown in brackets. ‘Valve Label’ identifies the type of Valves, type, sizes referred to. The MWRA staffs shall provide with ‘Valve IDs’ during interim review.

2.9.1.8 Pipe Lines Joints shall be clearly shown.

2.9.1.9 The following listed Items shall be in Bold Fonts/Lines:

Pipeline Section Number, Size and Material shall be labeled

within the pipeline width or adjacent to the top of pipeline. North Arrow, Valve ID, Valve Label (Valve Label shall be

shown in smaller fonts than Valve ID label). Street Curb Lines. Labels for Street Names showing major streets shall be in larger

fonts and the cross streets shall be in smaller fonts.

2.9.1.10 The following listed Items shall not be in Bold Fonts/Lines:

Town/City water and sewer lines and their labels. Tie lines. Land Taking lines. Any other MWRA water pipelines/facility, other than subject

pipeline shall be shown in full width. Surface features of any other utility lines. Building Numbers/Name and other under/above ground buildings.

2.9.2 Title block area:

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It shows the following information: 1. Title 2. Date(s) 3. Scale & Scale bar 4. Detail Record Numbers 5. Elevations at the Ground and Top of Pipe at selected point(s) 6. Station of Appurtenance 2.9.2.1 Title lines:

Title line is located underneath the Drawing area, and it shall be

centered in the page. It consists of 3 lines: 1st Line: Important features are concisely shown in the

drawing area. 2nd Line: Indicates Street Address. Names of the Street/Cross

Street and/or distance to/from the nearest Cross Street(s). 3rd Line: Indicates names of the Town/City.

2.9.2.2 Scale & Scale bar:

Scale and Scale Bar shall appear underneath the Title lines label (as shown in above Section 2.9.2.1) 2.9.2.3 Date(s):

Date(s) label shall be placed underneath the Scale/Scale bar. It shall be centered in the page and shall be shown in Month/Year (MM/YYYY) format. Date labels shall begin with the date the pipe placed in service for the first time. Following to that, subsequent dates for each of the revision/changes in the pipeline shall be labeled. The latest revision date shall be labeled at the end of this list.

2.9.2.4 Detail Record Number(s):

Detail Record Number is unique to the Detail Record and it helps in organizing and retrieval of the Detail Records by identifying correct Pipeline Sections and its possible locations. Detail Record Number(s) are configured such that it signifies the presence of all of the Pipeline Sections and/or Water Meter(s) and/or facility present on that Detail Record. After configuring D.R. Numbers, Valve IDs are configured. (Valve IDs use D.R. Numbers as the first two identifiers) D.R. Numbers shall be placed in the lower right corner of the Sheet and Water Meter Number shall be preceded by the other Detail Record Numbers.

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When submitting preliminary drafts, consultants may assign Detail Records Numbers for interim use only, to assist Draft D.R. Review by MWRA staff. MWRA staffs provide final D.R. Number(s) and Valve IDs.

The Detail Record Number is consists of three (3) Parts:

First part shows the type of Pressure Zone (e.g. NEHS/ NIHS/ IHS/ SEHS/ NHS/ SHS/ NLS/ BLS) and any given 'Name' to the pipeline (e.g. WASM /SPL/Watertown Section) shall be labeled.

A ‘space’ is left between 1st and 2nd parts. Second part shows the Section Number assigned to the MWRA

water main. A Dash (-) is placed in between 2nd and 3rd parts. Third part shows Serial Number assigned to the detail records.

Generally, for any given pipe line/facility, serial number starts with Number ‘1’ and remaining Detail Records follow Numbers sequentially in ascending order until the end of that Section.

Example: A typical Detail Record Number shall looks like: Meter Sta. 45

SPL 14-19A NEHSPL 33-1

This D. R. Number indicates presence of two pipelines and a water meter at this location. In a set of ‘Supply Pipe Line (SPL) Section 14’ Detail Records, this Detail Record has number 19A. In a set of ‘Northern Extra High Service Pipe Line (NEHSPL) Section 33’ Detail Records, this Detail Record has a number 1.

2.9.2.5 Elevations:

Two (2) types of Elevations shall be labeled at selected reference point(s) in the Detail Record: 'Ground ' and ‘Top of Pipe' elevations. Reference point(s) shall be preferably selected near valves, appurtenances or fittings. They are measured in feet @ Boston City Base (BCB) datum and labeled accordingly. They are designated with letters (such as: x, y or z) with arrow pointing to selected reference point. The same point is referred in a small table showing both of the elevations labeled in Title Block area. Example: Elevations at a point X (located on the pipeline)

shall be labeled as: Elevations at 'X':

(At BCB datum)

2.9.2.6. Station of Appurtenance:

Ground Top of Pipe____ feet ____ feet

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Station of Appurtenance shall be labeled in the lower left corner of the Detail Record. It provides the distance (shall be labeled in terms of Station Numbers) beginning from the nearest MWRA pipeline or facility (other than the subject pipeline or facility) a reference point to the given appurtenance in the subject detail record. A reference point is chosen on and it remains same for the entire set of the subject Detail Records. The station numbers shall be obtained from the reference point to the point where the appurtenance is being detailed and the elevations are measured.

For example, the format of the ‘Stations of Appurtenance’ label

looks as follows: From Newton St. P. S. - Sta. 20+00 (“A”). This means point “A” in a given Detail Record is located at Station Number 20+00 from the Newton St. P. S. Point ‘A’ is the same reference point that was chosen for ‘Elevations’ as described in Section 2.6.2.5, and it could be showing any valve/appurtenance or fitting on subject detail record. Newton St. P.S. is chosen as the reference point from which the distances are measured and labeled in all of the detail records in the set.

2.10 Information located Outside of the Left side Borderline: The following information shall appear parallel in lower part of left side border:

Field Book Number: Field Book Page Number: Drawn by: ____________ (provide initial) Checked by: ___________ (provide initial)

'Field Book/Page Numbers’ are essential in future research. It shall be provided by the party who has supervised that part of construction, and be labeled.

3. Record Drawings

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3.1 General

3.1.1 Record Drawings are developed to show the Pipelines and Facilities in their entirety. Pipelines (referred as 'Section #') Record Drawings show plan and profile, and Facilities Record Drawings for the show plan, sectional view and engineering details.

3.1.2 While dealing with final submission on Record Drawings:

3.1.2.1 A set of the Record Drawings shall represents the final ‘as built’ conditions of the pipelines/ facility. Therefore, remove any words such as ‘Proposed’ or ‘Preliminary’ and/or any design/construction related matters. 3.1.2.2 Remove any sheets that are entirely construction related and/or shall not have any value as the final As Built drawing, renumber all of the sheets and put them in order.

3.1.3 Sheet Size shall be 24" X 36".

3.1.4 Scale: Pipelines Record Drawings: Horizontal scale shall be 1"= 40', and Vertical Scale shall

be 1" = 4', or with an exaggeration factor of 10 versus horizontal, if otherwise approved. Facilities Record Drawings: Scale shall be decided so as the information best fits in.

3.1.5 Record Drawings: General Format

3.1.5.1 Borderlines: Left side: 1" wide, and Remaining three sides: 1/2" wide. 3.1.5.2 Upper 2/3 part of the Sheet within borderlines shall be used as Drawing

Area. This area covers Plan view (in approx. top 1/3 part of the Drawing area) and the Profile view (remaining part of the Drawing area).

3.1.5.3 Lower 1/3 part of the Sheet within the borderlines shall be used for ‘Title Block’ and other relevant information on subject Pipeline/facility as referenced below in Sections 3.4, 3.5 and 3.6.

3.1.6 Record Drawings (Pipelines): Station Numbers

3.1.6.1 In Plan and Profile, Station Numbers shall be labeled every 100’. 3.1.6.2 In Plan and Profile, beginning Station Number and ending

Station Number shall remain same. 3.1.6.3 In Plan view of each sheet, beginning Station Number and ending

Station Number shall be labeled at appropriate places along with the continuing Sheet Numbers on both ends.

3.1.7 First few sheets in a set of Record Drawings shall be devoted:

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To show the following information relevant with Contract/Project in which subject set of Record Drawings are developed:

General/Key Location Plan - Shows geographic locations with surrounding geographical features within the entire stretch of the project limits. General Notes and Index of the Drawings- Shows technical information,

and List of all of the Drawings in the Set with Sheet # labeled. Legend for Symbols and Abbreviations – Shows all of the Symbols and

abbreviations with their Descriptions in the Set.

3.2 Items to be shown in ‘Drawing Area’ (‘Top 2/3rd part’ of the Sheet):

3.2.1 Plan and Profile View:

3.2.1.1 Pipelines or Facilities referred in the set of Record Drawings shall be shown in dark.

3.2.1.2 Other MWRA pipeline/ facilities in vicinity shall be labeled and shown in full width but not as dark. Other City/Town's water lines shall be shown in light (screened).

3.2.2 Plan View:

3.2.2.1 Size & Type of the Pipeline shall be labeled above or within the

width of the Pipelines 3.2.2.2 North Arrow shall be configured in upper right corner of Sheets. 3.2.2.3 Details of underground and aboveground structures shall be

shown. 3.2.2.4 Building Numbers or Names whichever are known shall be labeled

in lighter fonts. 3.2.2.5 Curb Lines shall not be shown in dark. 3.2.2.6 Taking Lines, if any and Streets Layouts shall not be shown in

dark and be labeled. 3.2.2.7 If others have established these Lines, the MWRA will provide this

information. 3.2.2.8 Reference to the Detail Records shall be made at the locations

where that Detail Record exists. To do this, Detail Record Number shall be labeled next to the location where a particular Detail Records exists with a label saying “SEE DETAIL RECORD NUMBER: ___”.

3.2.3 Profile View

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3.2.3.1 Pipeline diameter, type and reference to any specifications such as,

pipeline class, lining/coating, type etc. shall be labeled within the width of the pipeline.

3.2.3.2 Elevations: Every 100 feet, two elevations shall be labeled: the 'existing ground surface' and the 'top of pipe' on the pipeline width. Elevation at the appurtenances shall also be labeled.

Elevations shall be in ‘feet’ and at ‘Boston City Base (BCB)’ Datum.

3.2.3.3 Profile view shall show all utility lines crossings over and under the MWRA pipeline.

3.2.3.4 Limits of the pipe restraints, where applicable, shall be identified and labeled.

3.2.3.5 All Pipe Joints shall be shown, and Joint Types shall be labeled. 3.3 Items to be shown in ‘Bottom 1/3rd part’ of the Sheet:

3.3.1 Title Block: It shall be located in lower right side of the sheet.

3.3.1.1 The MWRA Logo and a label showing “MASSACHUSETTS WATER RESOURCES AUTHORITY” in the top line.

3.3.1.2 Title block should not have logo of design consultants. 3.3.1.3 It shall have the following information labeled :

3.3.1.3.1 Pressure Zone 3.3.1.3.2 Major Streets & Town/City. 3.3.1.3.3 Date of drawing initially prepared and Dates of subsequent

revisions. 3.3.1.3.4 Initials of 'Drawn by' and 'Checked by'. 3.3.1.3.5 Continuing Sheet Numbers in Set with a label: 'Sheet

Number___of___’

3.3.2 Lower Middle Area

3.3.2.1 Pipeline Record Drawings shall have label as follows: ‘SECTION Number: _____’ Distribution System Record Plan' 3.3.2.2 Facilities Record Drawings showing pumping stations, storage

tanks and other facilities shall have a label accordingly showing ‘Name of the Facility’ in capital letters follows with ‘RECORD PLAN’.

3.3.3 Lower Left Area It shall have the following information labeled:

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Pipe laid in: (year) Contract Number, Name of the Contractor: Land Taking Number(s), Land Plan Number(s): List of all Detail Records Numbers applicable to that Record Drawing

Sheet: Book numbers for:

Survey & Level Book(s), Construction Field Book(s), Calculation Book(s), Force Account Book(s) Last three items in above shown list shall be provided by the MWRA.

3.4 A few specifics on the ‘Facilities’ Record Drawings

3.4.1 Show Title Sheet, General Location Plan and Key Location Plan (to

indicate Project area) 3.4.2 Show Index to the Drawings, General Notes, Abbreviation and Legend. 3.4.3 Show ‘Sheet Layout’ in case of multiple sheets is used to show one

subject matter. Highlight the sheet that is referred to on the ‘Sheet Layout’.

3.4.4 Drawings related to various project disciplines shall generally be placed in the following order: Civil, Architectural, Structural, Mechanical, HVAC, Electrical, Instrumentation, Plantings etc.

3.4.5 To provide references to the Related Drawings: Label Sheet Numbers to refer any drawing that is related with any other Drawing shown elsewhere in the Set.

3.4.6 Plan and Sectional views shall be provided. Profile view shall be shown when pipelines are shown within the Facilities.

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MASSACHUSETTS WATER RESOURCES AUTHORITY Engineering and Construction Department Guidelines For Detail Records

1. Clarity of the Detail Record is of the highest importance. Strict economy in the use of text, symbology

and graphics will result in a clean, organized, diagrammatic instruction for field staff. Imagine the Detail Record being used at night with a flashlight in the rain to find the location of a valve on the diagram.

2. A single set of ties (three to a set) to a major access point (e.g. access point such as a manway, manhole, valve box, etc) is all that is necessary, when multiple appurtenances or bends, are within five feet of the major access point attached to a set of ties.

3. To insure accuracy, Detail Record ties shall be fixed to easily identified horizontal features, such that any two ties are at a geometry, as close to 90 degrees, as possible.

4. Multiple valves or other appurtenances within a chamber or structure should be listed under a single label and leader to the access point for those appurtenences.

5. When multiple leaders exist on one side of the graphic area, they should align, whenever practical, to expedite the reading of the text quickly.

6. The overlap of any text with geometry should be avoided. 7. Within the graphic area of the Detail Record, there will be only two text sizes, small and large. The

large size will be at least twice the height of the small size. The minimum size of the small text will be .09 inches and the minimum size of the large text will be .18 inches.

8. Use only a single text font style throughout the graphic area of the Detail Record. 9. Text font in AutoCad shall be ROMAND. 10. Valve numbers and street names will be large text (.18”). 11. All other text (except title block area) will be small text. 12. Only valve numbers will be bold; all other text in the graphic area will be normal weight. 13. The text within a line font will be small text (.09”). 14. No grayscale or color, lines, crosshatch, text, or symbology, shall be used anywhere on the DR. This

insures it will be easy to read at night. Also, photocopying can unintentionally alter grayscale by making items too light to read, or by darkening them to solid black.

15. Use of no more than two line weights is recommended: thick and thin. Thick lines will be at least twice the thickness of thin lines. The minimum thickness of the thin line shall be .007 inches. The minimum thickness of the thick line shall be .014 inches.

16. Leader lines, out of function lines, crosshatch lines and tie lines will always be thin lines (.007”). 17. No centerlines shall be shown on pipelines. 18. No turn counts for valve operation shall be shown anywhere on the detail record. 19. No horizontal coordinates shall be shown anywhere on the detail record.. 20. Symbology for features will be the same size. 21. Symbology for appurtenances will be the same size. 22. Scale shall be 1 inch equal 20 feet (1”=20’) and a scale bar shall be present in the title block area

indicating the 1”=20’ scale graphically. 23. The Detail Record shall be oriented with north direction pointing toward the top of the sheet and the

north arrow drawn in the upper quadrant of the Detail Record. 24. Use of the 11X17 size sheet is recommended whenever multiple appurtenances are depicted on a

single Detail Record. R.Cane 2/6/2013

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MWRA Survey Standards

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Massachusetts Water Resources Authority September 2007 MwraLdtStandardsSept2007

1


Wastewater Engineering

Design Information Systems Center

SURVEY LAND DESKTOP STANDARDS

(GUIDELINES)

September 2007

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Table of Contents

Section 1 – General Requirements

1.1 Abstract 1.2 Overview 1.3 Drawing Format 1.4 Drawing Composition

Section 2 – Standards Folder Structure & Settings

2.1 Autodesk LDT Standards Folder Directory 2.2 File Path Settings

2.2.1 User Preference Menu Support File Setting 2.2.2 User Preference Menu File Path Settings 2.2.3 Creating LDT Drawing and Project Folder 2.2.4 LDT Description Key Path Setting 2.2.5 Symbol Manager Path Setting

Section 3 – Folder and File Naming Standards

3.1 Data Collector Field Files 3.2 Description Keys 3.3 MWRA Layering Standards 3.4 Project Folder 3.4.1 Project Folder Default Folders. 3.5 Drawing Files 3.6 LDT Support Files

Section 4 – Deliverables 4.1 Format Applications 4.2 Electronic Imaging 4.3 Surveyor’s Report 4.4 Mylars 4.5 Cadastral, Original and Retracement Surveys 4.6 Geographic Information System 4.7 Survey Documents Appendices: A. Standards MwraLdtStandardsSept2007 Directory B. Description Keys

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Section 1 – General Requirements

1.1 Abstract: Computer Aided Drafting & Design standards are a critical component in the efficient

production, understanding and archiving of any CADD product. The overall purpose of standardization is to ensure completeness, consistency, and compatibility of the final product with a given working and electronic environment.

1.2 Overview: The Massachusetts Water Resources Authority (Authority) Wastewater Engineering Unit has

developed the following Survey Land Desktop (LDT) Standards to facilitate the performance, management and delivery of Survey projects. These standards will assist in providing a consistent survey product that seamlessly incorporates into the Authority’s in-house Survey, Document Control and CAD environments. To ensure a consistent product, all in-house and contracted survey projects will apply these standards.

This document provides guidance in the implementation of the Authority’s electronic LDT standards folder, as well as required naming conventions and deliverables content. If these Standards, as outlined within this document or the content of the LDT standards folder, conflict with a contractual agreement with the Authority or the professional requirements of the responsible party, such conflicts should be presented to the Authority for resolution. Neither this document nor the Survey LDT standards folder content are intended to be all inclusive as to the required set-up, development, operation and delivery of survey products to the Authority.

1.3 Drawing Format: Only the drawing formats listed below, or formats compatible with them, are acceptable for delivery.

• AutoCADTM R2000 • AutoCADTM R2004 • AutoCADTM R2006

1.4 Drawing Composition: The composition of all drawing files delivered to the Authority shall be in accordance with the following items. All multiple layout projects shall be delivered in accordance with items 1 and 2.

1.4.1 For AutoCAD files with multiple layouts, an electronic drawing file (.dwg) shall be delivered with all layouts attached.

1.4.2 For AutoCAD files with multiple layouts, a separate electronic drawing file (.dwg) shall be delivered for each layout.

1.4.3 AutoCAD electronic drawing file’s (.dwg) shall contain only one layout and one title block per file.

1.4.4 All AutoCAD electronic drawing file’s (.dwg) shall be purged of empty, unused, or non-essential drawing data prior to submittal. This includes all unused layers, line types, blocks, fonts and entities.

1.4.5 AutoCAD electronic drawing file’s (.dwg) shall not contain any frozen layers. All unused entities in frozen layers should be erased, and the empty layer purged.

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2.2 File Path Settings: The following instructions provide assistance in setting up the Authority’s Survey LDT

Standards folder and files. These instructions are not all inclusive of required Autodesk settings. 2.2.1 User Preference Menu Support File Setting. The User Preference settings, maps the path of the

AutoCAD functions to the appropriate Survey LDT Standards folders and files. One of the first steps is to map the Support File Search Path in the Tools \ Options \ Files (tab) window. In LDT, select Tools \ Options \ Files (tab). Use the following images as a guide. Select the top directory and browse to the standards folder MwraLdtStandardsSept2007.

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2.2.2 User Preference Menu File Path Settings: After bringing up the User Preference Menu, individually

select the File Type and browse to the corresponding LDT User Preference File location. See “LDT User Preference Settings Path” below.

LDT User Preference Settings Paths: Contours MwraLdtStandardsSept2007 \ Data \ Contours\ Cross Section Template MwraLdtStandardsSept2007 \ Data \ tplates\ Drawing Setup Borders MwraLdtStandards Sept2007 \ Data \ borders\ Drawing Setup Files MwraLdtStandardsSept2007 \ Data \ setup\ Import/Export Format MwraLdtStandards Sept2007 \ Data \ Format Manager\ Label Styles MwraLdtStandardsSept2007 \ Data \ labels\ Menu Palette Path MwraLdtStandards Sept2007 \ Data \ Menu Palettes\ Project Prototypes MwraLdtStandardsSept2007 \ Data \ Prototypes\ Sheet Manager Template MwraLdtStandards Sept2007 \ Data \ sheets\ Speed Tables MwraLdtStandardsSept2007 \ Data \ Speed Tables\ Survey Data Files MwraLdtStandards Sept2007 \ Data \ Survey\ Symbol Manager Files MwraLdtStandardsSept2007 \ Data \ Symbol Manager \ COGO\ Temporary Files C: \ temp\

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2.2.3 Creating LDT drawing and project folder: Use the following images and direction as a guide in the creation of drawing files and project folders.

.

Enter Drawing name

Browse to project folder path

Select Create Project

Select MwraSurveyPrototype

Enter Project name.

For 24x36 base plan Select SurveyWorkSheet.dwt

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2.2.4 LDT Description Key Path Setting: The field data collector’s description keys interface with LDT by way

of the Description Key file. To link this functionality, map the path to the description key file using the following steps.

Labels / Edit Label Styles / Point Label Styles

Path within Standards folder to Description Key file. MwraLdtStandardsSept2007

\Data \Prototypes

\MWRASurveyPrototype \cogo \DescKey

\MwraDescKeys.mdb

Description Key File

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2.2.5 Symbol Manager Path Setting: Some field points downloaded into LDT have been linked with an

associated symbol by way of their description key. Setting the following path links the description key and its associated symbol.

Points / Point Setting / Insert (tab)

Path within Standards folder to Symbols folder.

MwraLdtStandardsSept2007 \symbols\

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Section 3 - Folder and File Naming Standards

3.1 Data collector field files: The field raw and job file names are based on survey job number and date. Use

this naming standard for all files transferred and converted from the raw file.

Example (J0601-011006x) J = job 06 = year job received. 01 = Consecutive numbering based on order received. - = Spacer 011006 = month-day-year (Date field work performed)

X = Unique identifier (a, b, c etc.) for multiple files.

If the project does not have a survey job number, all field files associated with the job will have the same descriptive unique identifier.

Example (J06GILLISPS-011006x) J = job 06 = year job received. GILLISPS = Unique descriptive identifier. - = Spacer 011006 = month-day-year X = Unique identifier (a, b, c etc.) for multiple files. 3.2 Description Keys: The Survey CAD Standards contain a description key file (see Appendix B). The key

codes provided encompass most conditions encountered on Authority projects. In the event a custom key code is required, the Authority’s naming standards will be followed as closely as possible. The MWRA description key naming standards follows a hierarchy. The first one to three characters designates Class types that are similar in nature. The characters that follow the Class designation further define the feature located. The Description Key File contains the description key code, Format point layer, symbol, symbol block name and Symbol layer for each code.

The naming standard for MWRA facilities is as follows. Example: MWBFVMH* MW = MWRA BFV = indicates facility serviced MH = type of access to facility (For a gate valve this would be GV)

* = Notes allowed with a space after description.

Description Key Class Definitions: C = Survey Controls (All codes associated with survey control points) COM = Community features (All codes associated with community owned points. Examples:

water, sewer etc.) D = Drain features All the drainage codes) DET = Cultural details (All cultural features not covered by other classes) FC = Fences (All codes associated with fencing) GS = Topographic features (All codes associated with topographic features. Ground shots,

swales top & bottom of slopes) GT = Geotechnical features (All codes associated with below grade investigation. Test pits

borings, monitoring wells etc.) M = Property monuments All codes associated with property boundary monuments) MS = MWRA Sewer structures All codes associated with MWRA Sewer features) MW = MWRA Water structures All codes associated with MWRA Water features)

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RD = Road and traveled way features (All codes associated with roads and traveled ways. Curbing, berms, edge of pavement or gravel etc.)

STR = Structures (All codes associated with structures. Buildings, sheds, tanks etc.) TR = Traffic features (All codes associated with traffic features. Lane markers, Lights,

signs etc.) UT = Utility features (All codes associated with utility companies. Gas, electric, cable etc.) VG = Vegetation (All codes associated with vegetation. Tree lines, trees, hedges etc.) WB = Water bodies (All codes associated with water bodies. Edge of water, high water

mark, water elevations etc.) WK = Walkways (All codes associated with walkways. Sidewalks, gravel walks etc.) WL = Walls (All codes associated with walls. Retaining walls, stonewalls, etc.) Due to the nature of the Authority’s work and for clarity some items such as Drain, walkways and walls, have been separated into their own class. Example: An Electrical Hand-hole (UTHHE*) label will be EHH UT = Class (Utility) HHE = Unique descriptive initial (Hand Hole Electric) * = Notes allowed with a space after description. Label displayed would be “EHH (expanded description)” For features such as fences, the format is the feature Class designation, followed by descriptive initials or acronym. Example: Chain link Fence (FCCL*) FC = Class (Fence) CL = Unique descriptive initial (Chain link) * = Notes allowed with a space after description. Label displayed would be “CLF (expanded description)” For features such as curbing the format is the feature Class designation followed by a descriptive initials or acronym. Example: Granite curb (RDGC*) RD = Class (ROAD) GC = Unique descriptive initial (Granite Curb) * = Notes allowed with a space after description.

Example of Description Key Manager Database: Example: Utility Pole with Light (UTUPL*) UT = Class (Utility) UPL = Unique descriptive initial (Utility pole with light) * = Notes allowed with a space after description.

Label displayed would be “UPL (expanded description)” KCODE KEY DESCR DFORMAT DLAYER SYMBOL SLAYER UTUPL* utility pole with light UPL* V-NODE-UTIL mwra_upl V-SYM-UTIL

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3.3 MWRA Layering Standards: The Authority utilizes the hierarchy layer-naming scheme of the NCS

(National CAD Standards). Layer names are defined using characters identifying disciplines, minor groups and modifiers. The Discipline is always identified by single character, minor groups and modifiers are identified using four characters. Each group is separated by a hyphen.

Discipline Minor Group Modifier Modifier required required optional optional X – XXXX – XXXX – XXXX

Disciplines are defined as: V – Survey (Layers Utilized developing survey base plans) C – Civil (Layers utilized developing civil design plans) P – Paper space (Layers utilized for paper space) D – Detail

Minor group names subdivide disciplines based on the focus of the layer information. Minor Groups are defined as: ANNO – Label Text (Feature descriptive labels) NODE – Survey & Design points (All downloaded or created LDD points) SYMB – Symbol (All symbols associated with a point)

CTRL – Survey control (Survey control features such as traverse points and lines etc) COMM – Community (community owned or operated features such as sewers, water)

MSEW – MWRA Sewer (MWRA sewer features) MWAT – MWRA Water (MWRA Water features)

CULT – Cultural features (Include benches, mailboxes, flagpoles etc) MONU – Property boundaries (Include monuments, property lines etc)

ROAD – Road & traveled way (Include curbing, edge of pavement etc) TRAF – Traffic features (Include traffic lights and street signs etc)

STRC – Structures (All structures such as buildings, sheds, bridges, tanks etc) VEGE – Vegetation (Include trees, bushes, tree line, vegetated wetlands etc) WATB – Water bodies (All water bodies such as oceans, lakes, rivers, marshes etc)

UTIL – Utility features (Include poles, manholes, pipes, gates etc) TOPO – Topographical features (Topographic features) XREF - external references SHBD - Sheet borders and title block MTCH - Sheet match lines LGND - Legend

As an Example: V-VEGE (Survey base plan layer for vegetation) V-ANNO (Survey base plan layer for feature labels)

Layer Name Modifiers: Modifiers, if required, further define the focus of the layer information. As an Example: V-ANNO-MSEW (Survey base plan layer for MWRA sewer feature labels) V-SYMB-TRAF (Survey base plan layer for traffic symbols) Common Modifiers TEXT - General notes and specifications

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PATT – Hatching patterns etc DIMS – Dimension lines and dimensions OTLN – Outline TEMP – Temporary PIPE - Pipe Special Modifiers SSEC – MWRA sewer section WSEC – MWRA water section MPIP – MWRA pipe alignment DETR – MWRA detail records RECP – MWRA record plans MTIE - MWRA feature field ties As an Example: V-MONU-TEXT (Survey base plan layer for notes associated with property boundaries) V-STRC-PATT (Survey base plan layer for structure hatches etc) V-CTRL-DIMS (Survey base plan layer for survey control dimensions) V-MWAT-MPIP (Survey base plan layer for MWRA water pipe alignment) V-MWAT-WSEC-0056 (Survey base plan layer for MWRA water section 56) Minor group names may also be used as a modifier, but modifiers cannot be used as Minor Group names.

3.4 Project Folder: The Authority Project Folder naming standard is organized into a hierarchy. This structure

is repeated in its whole or in part for all file-naming standards. The folder names are defined using characters identifying Year and sequence, Authority System and community.

Year/Seq. MWRA System Community 5 Characters 1 Character 4 Characters JYYQQ-S-CCCC

Example (J0601Sxxx) J = job YY = year job received. QQ = Consecutive numbering based on order received. S = System S = Sewer System W = Water System B = Both Systems O = Other CCCC = First four letters of Community name. If it is a two-word name, use the first letter of the first word and the first three letters of the second. . MULT = Multiple communities.

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3.4.1 Project Folder Default Folders: The Authority uses a customized Project Folder. Each survey project shall have a unique LDT project folder. All project data/documents shall be stored within the Project Folder. Additional folders can be added if needed, the content of the additional folder(s) shall be readily apparent based on the folder name. When the LDT Project is created the project folder by default contains the following administrative and system folders. The following list outlines the default folders and their required content. Align - Contains alignment database Calcs - Contains all project calculations . Cogo - Contains description key files as well as point and point group databases. Cor - Contains all forms of documents and correspondence. Cr - Contains leader and discontinued settings. DTM - Contains all Data Terrain Model surface databases, files and settings. Dwg - Contains all electronic autodesk drawing files. GIS - Contains all GIS databases, shape files, maps and documents. GPS - Contains all GPS data and documents.. Hd - Contains all hydraulic databases and files. Img - Contains all image files. Pipewks - Contains all pipe profile databases and files. Plt - Contains all scanned electronic plans associated with the project. ProjDoc - Contains project documents field books, research and survey report. Survey - Contains all survey field raw files and all files converted from the raw files. Tplates - Contains all templates. XML - Contains all Extensible Markup Language files Xref - Contains all xref associated with the project. Zip - Contains all zip files. Zz - Contains leader / legend and discontinued text settings.

3.5 Drawing Files: The names for drawing files are organized as a hierarchy. The file names are defined using

characters identifying Year and sequence received the Authority System and drawing designation and page. All AutoCAD files contain only one drawing and one title block per file.

Year/Seq. MWRA System Drawing description and number

JYYQQ-S-XXXX##OO.dwg

J = Job YY = Year job received. QQ = Consecutive numbering based on order received. S = MWRA System S = Sewer System W = Water System B = Both Systems O = Other XXXX = Drawing descriptions: BSUR = Boundary Survey TUPL = Topographic & Utility PLPR = Plan & Profile XSEC = Cross Section DETR = Water Detail Record Plan BASE = Base plan. ##OO = Drawing number & number of drawings in the set.

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3.6 LDT Support Files: All AutoCAD support files such as surfaces, alignments definitions, profiles definitions, borders, break lines etc. along with XREF’s shall utilize the drawing job name followed by an intuitive description.

Example of Surface: Example of xref: J0601-EasternParkingLot J0601-existcontours

Section 4 - Deliverables

All deliverables, documents and files utilized in the development of the survey base and or property plan shall be stored electronically and submitted to the MWRA in the appropriate folder within the LDT Project folder, in accordance with Sections 3.4 to 3.6. All deliverables shall be submitted electronically excluding the signed and stamped mylar plan.

4.1 Format Applications - All electronic deliverables shall be in a format compatible with one or more of the

following current MWRA applications: • Microsoft Windows XP • Adobe Acrobat Professional 6.0 • Microsoft Office Document Imaging • AutoCAD 2006 • AutoCAD Raster Design 2006 • AutoCAD Land Desktop • AutoCAD Survey • AutoVue Desktop Professional • Trimble Geomatics Office version 1.5 • TDS Foresight DXM • Arc Map 9.2 • TDS Survey Pro.

4.2 Electronic Imaging - Electronic imaging of drawing requirements. The intent of the electronic imaging of

drawings is to provide a true copy of the original drawing. A true copy is one that contains all significant details of the document from which it was made. A true copy is an adequate substitute for that drawing for all purposes for which the original drawing was created. Consultants shall ensure the drawings are scanned as raster images according to the following current MWRA standard:

4.2.1 TIFF Format (Tagged Image File Format) Revision 6 4.2.2 ITU-T (Formerly CCITT) Group 4 Compression 4.2.3 400 DPI (Dots Per Inch) 4.2.4 Each drawing scanned is its original size (not a reduced sized) 4.2.5 One TIFF file is created for each scanned drawing 4.2.6 Each TIFF image file name shall conform to the Authority’s Survey Land Desktop

Standards. 4.2.7 The TIFF image file shall be Windows (Byte Order) applications compatible 4.2.8 The MWRA utilizes the following applications. The TIFF file shall be compatible

with the following MWRA applications: • Windows XP • Microsoft Office Document Imaging • AutoCAD 2006 • AutoCAD Raster Design 2006 • AutoVue Desktop Professional

4.2.9 The image orientation is in the right-reading orientation 4.2.10 The image alignment is such that the document is not skewed 4.2.11 The black background images shall be inverted to provide a white background

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4.3 Surveyor’s Report - Submit a Surveyor’s Report in Microsoft Word. This report will outline the means and methods, sequence, equipment and software used to perform the survey field and office work. The report shall have a heading that includes report number, supervising Registered Land Surveyor, project name, project number, date, Authority’s project manager, project locus and community.

4.3.1. Narrative of the services provided. 4.3.2. List daily work force and work performed. 4.3.3. List equipment and software used on the project. 4.3.4. Provide organizational scheme used for project point numbers. 4.3.5. List all electronic files with the file format, a brief description of the file content, the

source of the file information, and the Project folder path. The file format shall include, but not be limited to CAD, scanned and document files.

4.3.6. List all recorded documents (deeds, plans, reports) utilized in the project. 4.3.7. Outline final decisions and computations for determination of existing and new

property lines. 4.3.8. Outline the horizontal and vertical control held for the project, including monuments,

GPS data, benchmark(s), level networks, etc.

4.4 Mylars - Submit two (2) Mylar set(s) and an electronic file of the final contract survey base and/or recordable plan at the required engineering scale. The Mylar sets and electronic file of final plan(s) shall be stamped and signed by a Professional Land Surveyor.

4.5 Cadastral, Original and Retracement Surveys: 4.5.1. The consultant shall submit a list of all property owner(s), abutter(s) and servient

tenement(s). 4.5.2. The consultant shall submit a metes and bounds description of the land, and make

reference to any applicable plans in the description. This submittal shall apply to all parcels and or takings created under this work or as required as a portion of the work. The description shall be in Microsoft Word.

4.5.3. The consultant shall submit a copy of the legal description of the project locus and all abutting properties.

4.5.4. The consultant shall submit copies, as well as a tabulated list, of all property research documents such as deeds, land court decrees, recorded plans, etc. The tabulated list shall include the following columns at a minimum: assessor map (reference plan), assessor lot, deed/plan book, deed/plan page, grantee, grantor, etc.

4.5.5. All submittals shall be in an appropriate electronic format.

4.6 Geographic Information System:

4.6.1. Submit a location and quality control report for all structures located. This report shall be in a comma delimited .txt format and include the following data:

4.6.2. Easting (State Plane Coordinates) SPC (feet) 4.6.3. Northing SPC (feet) 4.6.4. MWRA facility section 4.6.5. MWRA facility type. 4.6.6. Specific MWRA facility identification, approved by the MWRA. 4.6.7. Elevation (Project datum) 4.6.8. Horizontal Precision 4.6.9. Vertical Precision.

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4.7 Documents - Submit all documents, plans, calculations and reports utilized and/or developed in the course of this work. This information will include, but not limited to, the following:

4.7.1. PDF file of all field book pages. 4.7.2. PDF file of all recorded documents. 4.7.3. Tiff file of all utility plans. 4.7.4. Tiff of all community infrastructure plans. 4.7.5. Tiff file of all recorded plans. 4.7.6. All electronic data collector raw files as well as any electronic files created by

conversion of the raw file including but not limited to field book files 4.7.7. All computer aided drawing (.dwg). 4.7.8. Traverse calculations and adjustments. 4.7.9. Online Positioning User Service (OPUS) reports. 4.7.10. Static GPS network adjustment calculations. 4.7.11. (Receiver Independent Exchange Format) Rinex files 4.7.12. GPS field observation reports. 4.7.13. GPS software downloaded, adjustment and calculation files. 4.7.14. Level run calculations and adjustments. If digital level or an electronic data collector

is used provide all raw data files as well as adjusted data files with adjustment reports.

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CDH* control drill hole STRBLDG* structure building

CIR* control iron rod STRDK* structure deck

CKBS* check backsight STREFF* structure existing finish floor

CPK* control pk STRFE* structure fire escape

CSTN* control stake & tack STRFNDN* structure foundation

CSQCUT* Control square cut

CXCUT* control x-cut STRHCR* structure handicap ramp

COMMUNITY STRSTPBR* structure brick step

COMGW* community water gate STRSTPC* structure concrete step

COMHYD community hydrant TIE*

COMMHS community sewer manhole TRAN*

COMMHW* community water manhole TRAFFIC

CONC* TRBOL* traffic bollard

DRAINAGE TRCC* traffic control cabinet

DCBIR* drain catch basin drop inlet round TRGRM* Traffic guardrail metal

DCBIS* drain catch basin drop inlet square TRGRW* Traffic guardrail wood

DCBR* drain catch basin round TRL1* traffic 1 light

DCBS* drain catch basin square TRL2* traffic 2 lights

DCULBS* drain stone box culvert TRL4* traffic 4 lights

DDP* drain pipe TRLINE* traffic lines

DHWC* drain concrete headwall TRLM* traffic traffic light mast

DHWS* drain stone headwall TRLOH* traffic light overhead

DK* TRLOOP* traffic loop wire

DMH* drain manhole TROHW* traffic overhead wire

DPINV* drain pipe invert TRPD* traffic pedestrian light

DETAILS TRPL*

DETBENCH* detail bench TRRRL* traffic railroad light

DETFLAG detail flag pole TRSIGN1* traffic 1 post sign

DETHB detail hay bale TRSIGN2* traffic 2 post sign

FENCE TRWS* ?

FCCL* fence chain link UTILITIES

FCGA* fence gate UTCCE* utility electric control cabinet

FCGR* guardrail

FCWD* fence wooden UTGG* utility gas gate

GROUND SHOTS UTGP* utility gas pipe

GS* UTGUYP* utility guy pole

GSBS* ground shot bottom slope UTGUYW utility guy wire

GSCS* ground shot change in slope UTHHE* utility electric hand hole

GSHP* ground shot high point UTLP* utility light pole

GSLEDGE ground shot ledge UTMHE* utility electric manhole

GSLP* ground shot low point UTMHG* utility gas manhole

GSOS* ground shot on slope UTMHT* utility telephone manhole

GSSW* ground shot swale UTOHW* utility overhead wire

GSTS* ground shot top of slope UTPAINT*

GEOTECH UTPAYPH* utility pay phone

GTBH* geotech bore hole UTUP* utility utility pole

GTMW* geotech monitoring well UTUPL* utility utility pole with light

GTTP* geotech test pit VEGETATION

HATCH VGBU* vegetation bush

RDGC road granite curb VGBUOL* ?

RDGCHC road granite curb handicap ramp VGC* ?

RDGCPC road granite curb point of curve VGDTR* vegetation deciduous tree

RDGCPOC road granite curb point on curve VGETR* vegetation evergreen tree

RDGCPT road granite curb point of tangency VGHL* vegetation hedge line

RDGL road gutter line VGTL* vegetation tree line

VGTRDL vegetation tree drip line

VGWLF* vegetation wetland flag

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WATER BODIES ROAD (TRAVELED WAY)

WBBED* water body bed of body RD* road

WBEOP* water body edge of pond RDBCB road bit. Conc. curb

WBEOR* water body edge of river RDBCBPC road bit. Conc. Curb point of curve

WBFLOR* water body flow of river RDBCBPOC road bit. Conc. Curb point on curve

WBHWL* water body high water mark RDBCBPT road bit conc. curb point of tangency

WBLWL* water body low water mark RDCC road concrete curb

MONUMENTS RDCCPC road concrete curb point of curve

MBMK* monument benchmark RDCCPOC road concrete curb point on curve

MCBDH* monument concrete bound drill hole RDCCPT road concrete curb point of tangency

MDH* monument drill hole RDCL road centerline

MDISK* monument disk RDDST road dstone

MFSB* monument field stone bound RDEOG road edge of gravel

MIP* monument iron pipe RDEOP road edge of pavement

MIR* monument iron rod WBRR* water body rip rap

MMHB* Mass. Highway bound

MPK* monument pk WBWL* water body water line

MRRS* monument railroad spike WALKWAYS

MSBDH* monument stone bound drill hole WKCLBR* walk centerline brick

MWRA SEWER WKCLC* walk centerline concrete

MSBLDG* mwra sewer building WKCLG* walk centerline gravel

MSCONC* mwra sewer concrete WKEOBR* walk edge of brick

MSCPLANK* mwra sewer concrete plank WKEOC* walk edge of concrete

MSMH* mwra sewer manhole WKEOG* walk edge of gravel

MWRA WATER WKSWBR* walk brick sidewalk

MWAVMH mwra water air valve manhole WKSWC* walk concrete sidewalk

MWBFVMH mwra water butterfly valve manhole WKSWCS* ?

MWBLDG* mwra water building WALLS

MWBOMH mwra water blow off manhole WL*

MWBOMH* mwra water blow of manhole WLBR* wall brick

MWBOVGV* mwra water blow off gate valve box WLCN* wall concrete

MWCATHGV mwra water cathode gate box WLRT* wall retaining wall

MWCVMH mwra water check valve manhole WLST* wall stone

MWGVMH mwra water gate valve manhole WLSW* wall

MWMETERMH* mwra water meter round manhole WLTP* wall top of wall

MWMETERSQ* mwra water meter square manhole

MWPBEND* mwra water pipe bend

MWPIPET* mwra water pipe tee

MWPITOMH mwra water pito tube manhole

MWSTANDPIPE mwra water standpipe

MWTOP* mwra water top of pipe

MWTVNUT* mwra water top of valve nut

MWVENT mwra water 6' vent

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Land Survey Section 4 - Deliverables

All deliverables, documents and files utilized in the development of the survey base and or property plan shall be stored electronically and submitted to the MWRA in the appropriate folder within the LDT Project folder, in accordance with Sections 3.4 to 3.6. All deliverables shall be submitted electronically excluding the signed and stamped mylar plan.

4.1 Format Applications - All electronic deliverables shall be in a format compatible with one or

more of the following current MWRA applications: Microsoft Windows XP Adobe Acrobat Professional 6.0 Microsoft Office Document Imaging AutoCAD 2006 AutoCAD Raster Design 2006 AutoCAD Land Desktop AutoCAD Survey AutoVue Desktop Professional Trimble Geomatics Office version 1.5 TDS Foresight DXM Arc Map 9.2 TDS Survey Pro.

4.2 Electronic Imaging - Electronic imaging of drawing requirements. The intent of the electronic

imaging of drawings is to provide a true copy of the original drawing. A true copy is one that contains all significant details of the document from which it was made. A true copy is an adequate substitute for that drawing for all purposes for which the original drawing was created. Consultants shall ensure the drawings are scanned as raster images according to the following current MWRA standard:

4.2.1 TIFF Format (Tagged Image File Format) Revision 6 4.2.2 ITU-T (Formerly CCITT) Group 4 Compression 4.2.3 400 DPI (Dots Per Inch) 4.2.4 Each drawing scanned is its original size (not a reduced sized) 4.2.5 One TIFF file is created for each scanned drawing 4.2.6 Each TIFF image file name shall conform to the Authority’s Survey Land

Desktop Standards. 4.2.7 The TIFF image file shall be Windows (Byte Order) applications

compatible 4.2.8 The MWRA utilizes the following applications. The TIFF file shall be

compatible with the following MWRA applications: Windows XP Microsoft Office Document Imaging AutoCAD 2006 AutoCAD Raster Design 2006 AutoVue Desktop Professional

4.2.9 The image orientation is in the right-reading orientation 4.2.10 The image alignment is such that the document is not skewed 4.2.11 The black background images shall be inverted to provide a white

background

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4.3 Surveyor’s Report - Submit a Surveyor’s Report in Microsoft Word. This report will outline the means and methods, sequence, equipment and software used to perform the survey field and office work. The report shall have a heading that includes report number, supervising Registered Land Surveyor, project name, project number, date, Authority’s project manager, project locus and community.

4.3.1. Narrative of the services provided. 4.3.2. List daily work force and work performed. 4.3.3. List equipment and software used on the project. 4.3.4. Provide organizational scheme used for project point numbers. 4.3.5. List all electronic files with the file format, a brief description of the file

content, the source of the file information, and the Project folder path. The file format shall include, but not be limited to CAD, scanned and document files.

4.3.6. List all recorded documents (deeds, plans, reports) utilized in the project. 4.3.7. Outline final decisions and computations for determination of existing and

new property lines. 4.3.8. Outline the horizontal and vertical control held for the project, including

monuments, GPS data, benchmark(s), level networks, etc.

4.4 Mylars - Submit two (2) Mylar set(s) and an electronic file of the final contract survey base and/or recordable plan at the required engineering scale. The Mylar sets and electronic file of final plan(s) shall be stamped and signed by a Professional Land Surveyor.

4.5 Cadastral, Original and Retracement Surveys: 4.5.1. The consultant shall submit a list of all property owner(s), abutter(s) and

servient tenement(s). 4.5.2. The consultant shall submit a metes and bounds description of the land, and

make reference to any applicable plans in the description. This submittal shall apply to all parcels and or takings created under this work or as required as a portion of the work. The description shall be in Microsoft Word.

4.5.3. The consultant shall submit a copy of the legal description of the project locus and all abutting properties.

4.5.4. The consultant shall submit copies, as well as a tabulated list, of all property research documents such as deeds, land court decrees, recorded plans, etc. The tabulated list shall include the following columns at a minimum: assessor map (reference plan), assessor lot, deed/plan book, deed/plan page, grantee, grantor, etc.

4.5.5. All submittals shall be in an appropriate electronic format.

4.6 Geographic Information System:

4.6.1. Submit a location and quality control report for all structures located. This report shall be in a comma delimited .txt format and include the following data:

4.6.2. Easting (State Plane Coordinates) SPC (feet) 4.6.3. Northing SPC (feet) 4.6.4. MWRA facility section 4.6.5. MWRA facility type. 4.6.6. Specific MWRA facility identification, approved by the MWRA. 4.6.7. Elevation (Project datum) 4.6.8. Horizontal Precision 4.6.9. Vertical Precision.

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4.7 Documents - Submit all documents, plans, calculations and reports utilized and/or developed in

the course of this work. This information will include, but not limited to, the following: 4.7.1. PDF file of all field book pages. 4.7.2. PDF file of all recorded documents. 4.7.3. Tiff file of all utility plans. 4.7.4. Tiff of all community infrastructure plans. 4.7.5. Tiff file of all recorded plans. 4.7.6. All electronic data collector raw files as well as any electronic files created

by conversion of the raw file including but not limited to field book files 4.7.7. All computer aided drawing files (.dwg). 4.7.8. All Computer Aided Drafting electronic files and databases utilized in the

development of the final drawing including but not limited to Point, Alignment, Tins files.

4.7.9. Traverse calculations and adjustments. 4.7.10. Online Positioning User Service (OPUS) reports. 4.7.11. Static GPS network adjustment calculations. 4.7.12. (Receiver Independent Exchange Format) Rinex files 4.7.13. GPS field observation reports. 4.7.14. GPS software downloaded, adjustment and calculation files. 4.7.15. Level run calculations and adjustments. If digital level or an electronic data

collector is used provide all raw data files as well as adjusted data files with adjustment reports.

CANE_R

DISC 03/13 94 of 94

MWRA Document Standards and Procedures

Additional MWRA Deliverable Requirements June 26, 2018

1. The MWRA "Document Standards and Procedures" are under revision to incorporate the additional electronic deliverable requirements for AutoCad files (2-15 below).

2. Provide DWG files, XREF files, CTB plotting files, font and shape files. 3. All drawing models shall be drawn in MODEL space and shall be drawn to actual scale. Any additional

item that helps define the model or add model data such as details, labels, dimensions, elevations, names, descriptive text, etc. shall be drawn in MODEL space and associated with the viewport scale and orientation.

4. The Title block area text, labels and notes should be on the PAPER space. 5. Record CAD drawing shall reflect all changes made in the design drawings during the construction

process, and show the exact dimensions, geometry, and location of all elements of the work completed under the contract.

6. Record drawing should be on State Plane Coordinates and have tick marks on the drawing. 7. For all MWRA pipes create polyline centerline on a separate layer. 8. Provide Survey and Design (Alignments, Profiles, Piping & etc.) Data. 9. XREF should be inserted on its own layer, not locked. XREF files shall be inserted as OVERLAYS and

set to RELATIVE PATH. 10. Viewports should be on its own layer. 11. Follow MWRA Layering Standard provided below. 12. Use MWRA Standard Manholes only. 13. For 30% Design Submittal Review provide DWG files with base plan. 14. Ensure compatibility of AutoCAD Civil 3D drawings with AutoCAD and other software

(PROXYGRAHPICS set to 1 at the time you saved in AutoCAD Civil 3D) 15. Use MWRA standard Title Block, Cover Sheet, Detail Record template.

MWRA Layering Standards: Disciplines are defined as: G - General C- Civil A- Architectural S- Structural M- Mechanical E- Electrical P- Plumbing H- Heating, Ventilation, Air Conditioning I- Instrumentation V- Survey D- Detail T- Traffic Minor Groups are defined as: ANNO- NODE- SYMB- CTRL- COMM- MWRA- SEWER MWRA sewer features MWRA- WATER MWRA water features CULT- MONU- ROAD- TRAF- STRC- VEGE- WATB- UTIL- TOPO- XREF- SHBD- MTCH- VPORT- LGND- PCTR- MWRA pipe centerline As an Example: V-VEGE Survey base plan layer for vegetation. V-ANNO Survey base plan layer for feature labels. V-MWAT-SYMB Survey base plan layer for MWRA points for water features like center of water

manholes, center of gate boxes, center of test stations, etc. V-MWAT-PCTR Survey base plan layer for centerline for MWRA pipes. V-MWAT-ANNO Survey base plan layer for MWRA feature labels, dimensions, etc.

Administrator

Rectangle

Administrator

Typewritten Text

L

Operation and Maintenance Manual Checklist

Operation and Maintenance Manual Check ListIn general, O&M submittals should consist of the following (per 01730 specifications)

COMMENTS YES NO

Table of Contents

Brief description of each system and component including:nameplate data / 1080 information

supplier / local rep

manufacturer

Maintenance Summary Sheet

Starting and Stopping Procedures

Special Operating Instructions

Equipment Performance Evaluation

Routine Maintenance Procedures

Troubleshooting Procedures

Clean and concise manufacturers printed O&M instructions:adjustment

calibration procedures

lubrication and other maintenance

Parts list

Illustrations

Diagrams

Clearly ID appropriate parts, cross off others

Information regarding quanities and types of oils and lubricants

Copy of Wiring Diagram

Shop Drawing

List of Spare parts, price, and recommended quantity

Name, adress, telephone and fax numbers for local rep

Warranty Information

60 lb paper

Reinforced 3 ring holes

Good quality diagrams, illustrations, etc

Tabs

TOC-1


CONSTRUCTION DEPARTMENT

RESIDENT ENGINEER

MANUAL

(2012 UPDATE EDITION) FINAL DRAFT 12/17/12

A GUIDE FOR PROJECT CONTROL

EXHIBIT 1RESIDENT ENGINEER MANUAL

for Contract #7024

TOC-3

CONSTRUCTION DEPARTMENT RESIDENT ENGINEER’S MANUAL

TABLE of CONTENTS

SECTION 1

OVERVIEW & FIELD OFFICE ADMINISTRATION

PAGE

1.1 INTRODUCTION 1-2 1.2 IMPORTANT DEFINITIONS 1-3 1.3 BIDDABILITY/CONSTRUCTABILITY REVIEW 1-5 1.4 PRE-CONSTRUCTION 1-11 1.5 CONFORMED DOCUMENTS 1-20 1.6 DUTIES AND RESPONSIBILITIES 1-26 1.7 LIMITATIONS OF AUTHORITY 1-31 1.8 SAFETY & EMERGENCY RESPONSE PROCEDURES 1-33 1.9 STANDARD FILE SYSTEM 1-41 1.10 GLOSSARY OF TERMS 1-48 1.11 FILING CODE SYSTEM 1-51 1.12 PROJECT LOG BOOK 1-62 1.13 INCOMING & OUTGOING CORRESPONDENCE LOG 1-63 SECTION 2

DAILY REPORTS

2.1 RESIDENT ENGINEER’S CONTRACT DAILY REPORTS 2-2 2.2 DAILY WORK FORCE ACCOUNT 2-11 2.3 FIELD INSPECTOR’S DAILY REPORT 2-20 2.4 FIELD INSPECTOR’S PAY SLIPS 2-28 2.5 QUANTITY CONTROL LEDGER 2-32

SECTION 3

INTERIM RECORDS & REQUIREMENTS 3.1 PARTIAL PAYMENT REQUEST 3-2 3.2 PROGRESS SCHEDULES 3-23 3.3 VIDEO RECORDING AND PHOTOGRAPHS 3-30 3.4 PROGRESS REPORTING 3-33 3.5 SUBMITTALS 3-37 3.6 STORED MATERIALS 3-51 3.7 MANUFACTURER’S OPERATIONS AND MAINTENANCE MANUALS 3-57

TOC-4

SECTION 3 (con’t.)

PAGE 3.8 CHECKOUT, TESTING AND STARTUP

OF SYSTEMS 3-62 3.9 EQUIPMENT NOMENCLATURE AND

TECHNICAL DATA 3-81 3.10 SUBSTANTIAL COMPLETION 3-87 3.11 RELEASE OF RETAINAGE 3-91 3.12 PUNCH LIST 3-95 3.13 WARRANTY POLICY & PROCEDURES 3-99 3.14 FINAL PAYMENT 3-104 SECTION 4

CONTRACT CHANGES & MODIFICATIONS

4.1 REQUEST FOR INFORMATION (RFI) 4-2 4.2 CONTRACT CHANGES 4-7 4.3 CHANGE ORDER COST REVIEW 4-21 4.4 T&M CHANGE ORDERS 4-37 4.5 CHANGE ORDER TRACKING 4-43 4.6 CONTRACTOR CLAIMS 4-48 4.7 CONTRACT CLOSEOUT 4-69 SECTION 5

REPORTING FORMS, PROCEDURES & REVIEWS

5.1 PROJECT (ADMINISTRATIVE) REVIEWS 5-2 5.2 MATERIALS CONTROL FORM 5-9 5.3 FIELD OFFICE VISITORS LOG 5-12 5.4 JOB MEETING REPORT 5-14 5.5 ACCIDENT REPORT 5-24 5.6 DAMAGE REPORT 5-30 5.7 COMPLAINT REPORT 5-34 5.8 POLICE DETAILS 5-37 5.9 FACILITY HANDBOOK 5-38 5.10 ONE YEAR PROJECT PERFORMANCE CERTIFICATE 5-41

(UNDER REVIEW BY PROCUREMENT)

1-1

SECTION 1

OVERVIEW & FIELD OFFICE ADMINISTRATION

PAGE

1.1 INTRODUCTION 1-2

1.2 IMPORTANT DEFINITIONS 1-3

1.3 BIDDABILITY/CONSTRUCTABILITY REVIEW 1-5

1.4 PRE-CONSTRUCTION 1-11

1.5 CONFORMED DOCUMENTS 1-20

1.6 DUTIES AND RESPONSIBILITIES 1-26

1.7 LIMITATIONS OF AUTHORITY 1-31

1.8 SAFETY & EMERGENCY RESPONSE PROCEDURES 1-33

1.9 STANDARD FILE SYSTEM 1-41

1.10 GLOSSARY OF TERMS 1-48

1.11 FILING CODE SYSTEM 1-51

1.12 PROECT LOG BOOK 1-62

1.13 INCOMING & OUTGOING CORRESPONDENCE LOG 1-63

1-2

1. OVERVIEW & FIELD OFFICE ADMINISTRATION

1.1 INTRODUCTION

The Resident Engineer shall represent the Authority daily on the site of construction projects and

shall be responsible for checking, inspecting, and reporting to project management assigned on a

regular basis, both in writing and orally as to the events at the project site.

The purpose of this manual is to present a basic set of procedures for the guidance of resident

engineers and construction field staff to aid them in the performance of their duties and in the

interest of establishing uniform practices and procedures.

The manual's instructions in no way replace, supersede, or modify any of the provisions or the

requirements of the specific contract documents or statutes pertaining to the construction industry.

Records and reports in this manual are absolutely necessary and keeping them accurate,

complete and up to date is of the utmost importance. Procedures given in this manual may be

modified, where necessary, but only by the exercise of good judgment to adapt them to a

particular project or event. Field inspection is the most important function of the field staff. The

contract plans and specifications are prepared with great accuracy and detail; however, only

through intelligent inspection will the finished product meet the standards of the Authority and its

Construction Department.

1-3


1.2 IMPORTANT DEFINITIONS

AUTHORITY: Massachusetts Water Resources Authority (MWRA)

CONFORMED PLANS AND SPECIFICATIONS: Unofficial as-bid documents that have

been modified to include all addenda items issued during the bid phase.

CONSTRUCTION CONTRACT: A specific MWRA Construction Contract which includes a

set of approved as-bid plans, specifications and addenda for proposed work.

CONSTRUCTION COORDINATOR: MWRA staff person who is assigned responsibility for

supervising, monitoring and the administration of one or more construction contracts under the

direction of the Director or Assistant Director of Construction. The Construction Coordinator

supervises field staff assigned by ensuring that MWRA policies and procedures are being adhered

to.

CONSTRUCTION PROJECT: An MWRA construction project that may include one or more

construction contracts.

CONSULTANT: An engineering firm or MWRA Department Unit responsible for the

engineering design of a construction project.

CONTRACT: An agreement, either written or oral, between at least two parties in which one

agrees to perform some task for the other in return for a specified payment.

CONTRACT PLANS AND SPECIFICATIONS: Official documents depicting the work to be

performed and work associated for a specific construction contract.

CONTRACTOR: The prime contractor of an MWRA construction contract.

1-4

ENGINEER: The MWRA Chief Engineer or his designee.

FIELD STAFF: Field personnel assigned to the construction project (i.e.: Resident Engineer,

Field Engineers, Field Inspectors, Secretary etc.).

HOME OFFICE: The MWRA Office located in Chelsea Mass.


Chelsea Facility

2 Griffin Way

Chelsea, Massachusetts 02150

Telephone: 617-305-5600

Facsimile: 617-305-1606 or 1607

INSPECTOR OR FIELD ENGINEER: The person assigned to view and document

construction work in progress under the supervision of the resident engineer.

PROJECT/CONSTRUCTION/JOB SITE: The area where the construction work is performed

for a particular construction contract.

RESIDENT ENGINEER: The employee assigned to a construction contract that shall be

responsible for the record keeping, documentation and inspection of all work performed. The

Resident Engineer is also responsible for payments to the contractor and the supervision of field

staff assigned.

STANDARD CONSTRUCTION PROCEDURE: A set of standard procedures offered as a

guide to the Resident Engineer to ensure the construction contract is being administered in

accordance with MWRA policies.

1-5


1.3 BIDDABILITY/CONSTRUCTABILTIY REVIEW

It is management’s intent to assign a Resident Engineer and Construction Coordinator to perform a

"Biddability/Constructability” (B/C) review of proposed contract documents before the design is

completed and advertised for bid. This will allow the resident engineer and construction

coordinator an opportunity to become familiar with the project and the design team; and, also

utilize the resident engineer’s and construction coordinator’s experience and training in an effort to

eliminate or reduce changes during the construction phase.

The construction coordinator will be assigned the overall responsibility of the review; however,

the review will be performed jointly with the resident engineer and possibly the construction field

inspector(s). It is management’s opinion that the vast experience and training of the construction

staff provides a valuable asset when it comes to identifying potential construction problems or

conflicts within the design documents which may cause delays and/or additional costs to an

Authority project. The resident engineer should approach a B/C review in a practicable but

professional manner. In performing a B/C review, it is not the purview of the resident engineer to

try and redesign the job or to suggest changes but to act as an adviser with the Authority's best

interest in mind.

The following procedure was developed to assist the Home Office staff in reviewing contract

documents for bidability and constructability. Because no two contracts are alike, these guidelines

1-6

are not all inclusive. The overall objective of the B/C review is threefold:

1. To ensure that the contract documents reflect the best construction practices based

on the experience of the Construction Staff;

2. To ensure that the contract documents contain appropriate requirements to permit

the Construction Staff to adequately manage the contract; and

3. To minimize the occurrence of change orders due to discrepancies in contract

documents.

REVIEW PROCEDURE:

The review shall be conducted utilizing the “General” B/C review checklist and the “Detailed”

B/C review checklist included in the Appendix of this manual. The checklists are intended as

guidance, not to limit the scope of the review. The reviewer should make maximum use of his/her

experience.

To start the review, the "General" checklist should be completed to ensure that the proper contract

documents have been assembled, submitted and are complete (It is suggested that the reviewer

read the Summary of Work, Section 01000, and perform a brief review of the plans to gain an

overall understanding of the purpose, scope and location of the project). Since part of the review

applies to several or many specification sections/plan sheets and they are not in their order of

occurrence in the contract documents, it is recommended that they all be read over before

commencing the detailed review. As the reviewer goes through the checklist, he/she shall answer

each question with the following notations; "SAT' (Satisfactory), "DEF"(Deficient), or "N/A" (Not

Applicable), as appropriate, and the sections of the specs/plans upon which negative comments are

1-7

based marked in red to indicate desired corrections.

To conduct the detailed review, relevant sections of the specifications and each sheet of the plans

shall be reviewed against the checklists respectively. Crosschecking between specifications and

plans should be accomplished throughout the review as necessary to assure consistency between

the plans and specifications and to identify any conflicts.

The review should cover all the listed, applicable elements of the contract. In reviewing each

Element, consideration should be given to the following:

• Conflicts/ambiguity with other contract information

• Accuracy

• Practicability/Do-ability Constructability

• Omission of desirable controls

• Unnecessary requirements/controls

• Clarifications to avoid change orders

The final step of the B/C review is to prepare a memo describing the results of the review.

Paragraphs should be included for each element checked "DEF", (deficiencies). The deficiencies

should be described by specification section or drawing number indicating the recommended

corrections and, when appropriate, reasons (It is recommended that these paragraphs be drafted as

the deficiencies are identified). See the attached sample memo, Exhibit 1-A.1a and 1-A.1b for a

suggested format.

1-8

The memo, along with the completed checklists and marked up contract documents should be

forwarded to the construction coordinator for review and subsequently transmitted to the memo

addressee. The reviewer should retain a copy of the memo and the completed checklists in his

personal file. The completed checklists and a copy of the comment memo shall be retained in the

Engineering and Construction Department's general files.

1-9

SAMPLE MEMORANDOM OF REVIEW

To: Corinne Barrett – Assistant Director of Construction

From: Ed Lemon (Reviewer)

Through: Maureen Smith – MWRA Construction Coordinator

Date: 11/10/11

Subject: Biddability/Constructability Review of Mystic River Siphon Replacement Contract

Following are the comments noted while performing subject review. I have marked-up the specifications and plans in red to coincide with the comments listed below:

SPECIFICATIONS: Title Sheet Add MWRA Contract No. and Consultant P. E. Stamp. 00700 Pg.14-3.6.1-Add, "City, Town and MBTA"

Change M.D.C. to “DCR” Pg.15-3.7-Add,"notify Dig Safe prior to excavation and…"

01000 Pg.2-1.01a-Add,"and shall be provided at no additional cost to the Authority." 1.02a-Add,"3. Removal of debris off site." 1.02b-7-Add,"Clear storage site of all debris and dispose of all surplus material in

accordance with all applicable State and federal Laws at no additional cost to the Authority". 1.02b-Add,"15. Provide monthly progress photos."

Pg.4-G-Add,"including unsuitable material, contaminated material, hazardous waste, but

not … rock that requires blasting or jackhammering, or boulders."

05500 Pg.8-2.09 - Add requirement that manufacturers must submit certificate of compliance.

EXHIBIT 1-A.1a

1-10

SAMPLE MEMORANDOM OF REVIEW

PLANS:

Sheet No. 1 - Add MWRA Contract No. Sheet No. 2 -

a. Add Note “See Sheet C-04 for Erosion Control Details.” b. Add elevation to Note 4. c. Delete Note 10. d. Add to Note 3 “Installation of Erosion Controls shall be at no additional cost to the

Authority.”

Sheet No. 3 - Add following note to plan and coordinate with Specification Section 01025 Measurement and Payment: "The work on this sheet is included in the lump sum bid of Item No.1." Sheet No. 3, Plan-

a. Show limits of trench for bituminous concrete paving. b. Indicate who relocates existing 10" water main and associated services. c. Indicate whether it is necessary to remove and reset:

Telephone pole; Granite curbing; Granite blocks; Chain Link Fence Identify that all such work shall be performed “at no additional cost to the Authority.” d. Do any signs need to be removed and reset? e. Does the catch basin at Sta. 12+15 need to be removed and replaced? f. Bench mark is not shown at hydrant, Station 12 + 25. g. Indicate the detail sheet for removal and replacement of SMH-16. h. Add note “SEE DETAIL SHEET C-3” at New Siphon Inlet Structure.

Sheet No. 3, Profile- Why isn’t the telephone duct crossing the sewer at Sta. 12+65 shown in the profile? End of Review. If you have any questions or wish to discuss these comments, please contact me at EXT. 5555.

cc: J. Trainor Files

jst/lv: 191-55 EXHIBIT 1-A.1b

1-11

1. OVERVIEW AND FIELD OFFICE ADMINISTRATION

1.4 PRE-CONSTRUCTION

After a project has been bid and the contract awarded by the Authority, the Authority will issue to

the Contractor a Notice to Proceed letter. The construction coordinator and/or consultant will then

establish a date for the pre-construction meeting. The purpose of this meeting is to establish lines

of communication and for all parties associated with the project and to introduce themselves. At

this meeting, if required by the Authority, the consultant shall provide conformed construction

documents, which are plans and specifications that incorporate all addenda from the bid phase of

the project. These conformed documents are considered “unofficial” and are provided by the

Authority for the convenience of the contractor and construction oversight team and do not

supersede or replace the as-bid drawings, specifications and addenda. Conformed documents are

discussed in further detail in Section 1.5. It is important for the resident engineer to acknowledge

that the contract between the Authority and the Contractor is represented by the executed contract

documents only. Exhibit 1-B.1 is an example of a Notice to Proceed letter. Exhibit 1-B.2 is an

example of consultant’s letter for the transfer of electronic drawing files to the contractor. Exhibit

1-B.3a thru Exhibit 1-B.3f is an example of a standard agenda for a pre-construction meeting.

1-12

EXAMPLE

MASSACHUSETTS WATER RESOURCES AUTHORITY CHARLESTOWN NAVY YARD

100 FIRST AVENUE, BUILDING 39 BOSTON, MA 02129

Telephone: (617) 242-6000

Frederick A. Laskey Fax: (617) 788-4899 Executive Director TTY: (617) 788-4971 June 2, 2011

NOTICE TO PROCEED Mr. Smith, President ABC Constructors, Inc. 1 Industrial Drive Canton, MA 02021 RE: Somerville Marginal CSO Facility Influent Gates and Stop Log Replacement MWRA Contract No. 7344 Dear Mr. _______________, In accordance with the terms and conditions of the aforesaid contract, you are hereby directed to commence Work as of June 2, 2011. Since the Contract Time, as stipulated in the Authority-Contractor Agreement, is One Hundred Eighty (180) calendar days from this date, the completion date for the Work is November 29, 2011. There is transmitted herewith one fully executed copy of the Contract Documents, consisting of the documents specified in the Authority-Contractor Agreement. You are advised that ________________, Chief Engineer, is the Engineer as defined in the Contract Documents and is authorized to administer your contact for and in the name of this Authority. Please contact ________________ at _________________, prior to the start of on-site work, so that the Authority can arrange to have its resident engineer on the site when your construction crew arrives. Please acknowledge acceptance of the Notice and the receipt of the Contract Documents by signing and dating the enclosed copy of this Notice, which is to be returned to this office forthwith. Very truly yours, Acceptance of the Notice to Proceed

And receipt of the Contract Documents Deputy Director of Administration and Finance are herby acknowledged this day of , 20 MG/RCJ/ba Enclosure

Name and Title

EXHIBIT 1-B.1

1-13

EXAMPLE

March 31, 2005

Mr. Joe Build Project Manager Z. Winner & Sons, Inc. 50 Sprague Street Hyde Park, MA 02136

Subject: Upper Neponset Valley Replacement Sewer MWRA Contract No. 6191 MWRA Sewer Sections 685 and 686 Electronic Drawing File Request

Dear Mr. Build, Say and Doit Engineers, LLC (SDE) is in receipt of your request for the AutoCAD files of the as-bid contract drawings for the above referenced project. Please find enclosed one (1) CD-ROM Disk containing the requested As-Bid AutoCAD Drawing Files for MWRA Contract 6191.

These electronic files are provided for informational purposes only. The electronic files are not an end product or contract document. The contract documents are the stamped hard copy prints/plans, specifications and addenda issued and used for the bidding process. The recipient recognizes that the plans transmitted as electronic files are subject to undetectable alteration, either intentional or unintentional, due to, among other causes, transmission conversion, media degradation, software error or human alteration. Accordingly, SDE makes no warranty regarding the fitness of the electronic files. The recipient agrees to waive claims against and indemnify Say and Doit Engineers, LLC and the Massachusetts Water Resources Authority (MWRA) for claims resulting from the use, misuse, unauthorized re-use or alteration of these electronic files. The information contained on these drawings is the property of Say and Doit Engineers, LLC and the Massachusetts Water Resources Authority (MWRA) and is not to be used on any project without the written authorization of SDE and the MWRA.

Please acknowledge your written consent to the release of these electronic files pursuant to the procedures described herein by returning a signed original of this letter. Should you have any question or comments on this matter, please call me at 781-221-1111.

Sincerely,

SAY AND DOIT ENGINEERS, LLC

By:

Michael A. Getitdone, P.E. Joe Build – Z. Winner & Sons, Inc.

JM-056 13.2 Cc: Maureen Smith-MWRA Construction Coordinator Margery Jackson – MWRA Design Project Manager

EXHIBIT 1-B.2

1-14

EXAMPLE

MASSACHUSETTS WATER RESOURCES AUTHORITY PRECONSTRUCTION CONFERENCE AGENDA (April 11, 2005, 10:00am –12 noon in Board Room)

A. Project: Upper Neponset Valley Replacement Sewer (MWRA Sections 685 and 686) Contract No.: MWRA-6191 B. Owner Massachusetts Water Resources Authority (MWRA) 100 First Avenue Charlestown Navy Yard Boston, Massachusetts 02129 Telephone: 617-242-6000 Deputy Chief Operating Officer: Mr. John Vetere Chief Engineer: Mr. Jae Kim Director of Construction: Mr. Anandan Navanandan Asst. Director of Construction: Ms. Corinne Barrett Construction Coordinator: Mr. Isidoro D. Perez Design Project Manager – Eng.: Ms. Margery Johnson Public Affairs: Mr. Jeffrey McLaughlin AACU Compliance Officer Mr. John Corbin C. Construction Administration and Resident Engineer: Construction Administration (Consultant Contract 6013) Consultant Name: Fay Spofford & Thorndike, Inc. Consultant Address: 5 Burlington Woods Burlington, MA 01803 Consultant Telephone No.: 781-221-1000 FAX No.: 781-229-1115

EXHIBIT 1-B.3a

1-15

EXAMPLE CA Principal: Mr. Emile J. Hamwey, P.E. CA Project Manager: Mr. James M. Taylor, P.E. CA Project Engineer: Mr. Michael A. Sorrentino, P.E. Resident Engineering (Consultant Contract 7072) Consultant Name: Fay Spofford & Thorndike, Inc. Consultant Address: 5 Burlington Woods Burlington, MA 01803 RE/I Resident Engineer: Mr. John Doherty Field Office Telephone No.: TBD FAX No.: TBD D. Contractor Contractor Name: P. Gioioso and Sons, Inc. Contractor Address: 50 Sprague Street Hyde Park, MA 02136 Contractor Telephone No.: 617-364-5800 FAX No.: 617-364-9462 Project Manager: Joe Bettencourt Superintendent: Sam Doolan E. CORRESPONDENCE:

All correspondence shall be directed to Mr. John Doherty, Resident Engineer, with copies to Mr. Isidoro D. Perez, Construction Coordinator, Mr. Michael Sorrentino, Project Engineer. No correspondence shall be directed to the Design Engineer. Official business shall not be conducted by fax transmittal. All correspondence shall include the following reference: Contract No. 6191, Specification Reference, Article/Section/Page.

F. SALES TAX:

The MWRA Sales Tax Exemption Number (E-042-850-071) shall be used by the Contractors when appropriate as indicated in Instructions to Bidders, Section 8 - Sales Tax. Under no circumstances will payments be made for any Massachusetts sales tax.

EXHIBIT 1-B.3b

1-16

EXAMPLE G. PROJECT DURATION:

In accordance with the Authority-Contractor Agreement, Article 5 - Contract Time, Paragraph 5.1 the Contract Time is 1095 calendar days. The start of construction is based on the date of the Notice to Proceed (March 31, 2005). The Contractor must start work as specified in the notice to proceed. The Contractor shall notify the Construction Coordinator at least 48 hours prior to commencing the work.

H. LIQUIDATED DAMAGES:

In accordance with the Authority-Contractor Agreement, Article 5 - Contract Time, Paragraph 5.2.3 damages are in the amount of $3,700 per calendar day. Liquidated damages will be assessed if the contract is not deemed substantially complete within the allotted contract time.

I. MINORITY AND FEMALE PARTICIPATION IN CONTRACTOR WORKFORCE:

As outlined in the Special Provisions For Equal Employment Opportunity the Contractor and each Subcontractor shall maintain the following percentages of minority and female employee work force hours in each trade of construction work on this contract:

Minority 10.0 percent Female 6.9 percent

Compliance monitoring reports included in the specifications include EEO-3, EEO-4, EEO-4A, EEO-5 etc. These forms must be submitted to the MWRA Affirmative Action Department in a timely fashion in order for pay estimates to be processed.

J. MBE/WBE PARTICIPATION:

The percentage requirements for Minority and Women Business Enterprises participation are as follows:

Minority Business Enterprises 8.25 percent Women Business Enterprises 2.09 percent

K. DELAYS AND EXTENSION OF TIME:

Notification and requests for extension of Contract Time shall strictly comply with Article 9.3 of the General Conditions.

EXHIBIT 1-B.3c

1-17

EXAMPLE

L. PAYMENTS TO THE CONTRACTOR: Monthly estimates and payments shall conform to the requirements of the General Conditions, Article 10 - Payments and Completion. Cut-off date for pay estimates is the last day of each month. Five percent (5%) will be withheld from each payment estimate until substantial completion.

M. CHANGE ORDERS:

Extra work, if required, will be authorized in writing in accordance with Article 13 of the General Conditions. Written notice of a contractor’s claim must be made within twenty one (21) days after the occurrence of the event in accordance with Article 13.4 of the General Conditions.

N. WAGE RATES:

The Contractor and Subcontractors must provide copies of a complete certified payroll workforce and submit one copy to the Resident Engineer and one copy directly to Compliance Officer.

O. SHOP DRAWING SUBMITTALS:

1. Seven (7) copies of each shop drawing, product data and shop tests/inspections, including a MWRA transmittal memo, shall be submitted to the Consultant.

2. All shop drawings including all subcontractors shop drawings shall be submitted

through the General Contractor. 3. All shop drawings shall be submitted in accordance with Article 3.9 of the General

conditions. 4. All transmitted copies of shop drawings shall have been checked by and stamped with

the approval of the Contractor.

5. Deviation from the contract proposed by the Contractor shall be clearly noted on shop drawing submittals.

6. No work shall proceed unless shop drawing approval has been given.

EXHIBIT 1-B.3d

1-18

EXAMPLE P. PROGRESS SCHEDULE, SCHEDULE OF VALUES, MATERIALS AND

EQUIPMENT:

Within twenty (20) days of the Notice to Proceed, the Contractor shall submit the following for review: 1. A progress schedule indicating starting and completion dates for major work items. 2. Preliminary list of shop drawings submittals.

3. Preliminary Schedule of Values for all lump sum items of the Work which will

include quantities and price breakdown of the item in sufficient detail to serve as the basis for progress payment during construction.

4. No payment will be made until the Schedule of Values has been approved. Q. APPROVAL OF SUBCONTRACTORS:

The Contractor shall submit in writing the name(s) of all subcontractor(s) he proposes to utilize on the project. The Contractor shall submit an executed copy of the Subcontractor Agreement(s) to the MWRA for record purposes.

R. AUTHORIZED SIGNATURES: The Contractor must submit a letter of authorization for the pay estimates, change orders and other contract documents.

S. PROGRESS MEETINGS/PUBLIC MEETINGS:

Periodic progress meetings will be held during the life of the project. The Contractor’s Superintendent will be required to prepare for and attend these meetings. A series of Public Awareness Meetings are scheduled for this project prior to and during construction. The Contractor’s Representative shall prepare and attend these meetings.

EXHIBIT 1-B.3e

1-19

EXAMPLE T. OPEN DISCUSSION

1. Environmental Requirements and limits. 2. 24/7 Emergency Contacts, protocols and phone numbers.

3. MADOT Permit.

4. Sewer Extension Permit.

5. Pre-Construction survey.

6. Contractor’s lay down area.

7. Field Office.

8. Easements.

9. DCR site walk with Contractor’s certified consulting arborist.

10. BWSC Change Request.

EXHIBIT 1-B.3f

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1. CONTRACT CHANGES & MODIFICATIONS

1.5 CONFORMED DOCUMENTS

The Resident Engineer will be provided with conformed documents prepared by the Design

Consultant consisting of the as-bid plans and specifications that have been modified to include

addenda issued during bidding. These plans and specifications are identified as “UNOFFICIAL

CONFORMED DOCUMENTS” and do not replace the official executed contract between the

Authority and the Contractor which consists of plans, specifications, and addenda.

Unofficial Conformed Documents are developed for the convenience of the Authority and the

Contractor to be used as working documents during construction. Updated specifications will be

reprinted with the phrase “UNOFFICIAL CONFORMED DOCUMENTS” in the upper right hand

corner of each page and the replaced text (“strikethrough”) and new text (underlined), identified by

Addendum No. and item number. Exhibits 1-C.1a and 1-C.1b includes a sample of conformed

specifications. On updated drawings, “UNOFFICIAL CONFORMED DOCUMENTS” will be

stamped or electronically added above the title block on each drawing, with the revision portion of

the title block indicating the revision number, date the revision was made (date addendum was

issued), initials of the person making the revision, initials of the individual who checked and

approved the revision, and the text or detail of the revision. Exhibit 1-C.1c includes a sample title

block for conformed drawings. Revised portions of the drawings will be “bubbled” or “clouded” to

identify the portion of the drawing that was changed. The revised drawings should be checked

against the bid drawings issued and updated by addendum during the bid process to ensure that

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only changes made in addenda are included in the conformed drawings.

The resident engineer shall retain two full size sets of unofficial conformed drawings at the field

office, one for construction reference and one for “redline” markups of the work as it is completed.

Redline drawings shall include all relevant information within the work limits, i.e., if the project is

a sewer installation and a gas line is located within the sewer trenching system, the gas line size,

depth, material and offset from the sewer shall be documented. The resident engineer shall make

note of any changes in the work in the form of a “Sketch” or “Partial Drawing” that has been issued

with a request for information (RFI) response or an executed change order. Copies of all sketches

shall be attached to the field office drawings sets once they have been received and reviewed to

ensure incorporation into the work. If these “Sketches” and/or “Partial Drawings” include a

significant change, the Consultant shall issue a new unofficial conformed drawing with an updated

revision block. In some cases, a change order may be required to add the new drawing/work to the

contract. The Resident Engineer shall incorporate the revised drawing into the field office plan

sets and document that the revised drawing has been distributed to the Contractor.

The Construction Coordinator shall monitor the Resident Engineer’s progress on the red-line

drawings and include their progress in their monthly reporting. The Resident Engineer shall not let

redline drawings lag more than two weeks behind the completion of the work.

The Resident Engineer and field staff are responsible for maintaining redline drawings even if the

Contract Documents require the Contractor to provide as-built plans. These Contractor provided

as-built plans shall supplement the Resident Engineer’s redline drawings which together shall

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become the basis of the Authority/Design Consultant record drawings of the completed work. A

guideline checklist of documented information required for Authority record drawings is included

in the Appendix of this manual.

The Resident Engineer and field staff are not responsible for preparing Auto-CAD record

drawings. The Consultant or Authority staff will be responsible for taking the “pencil” redlines

and developing the official record plans. If survey coordinates are required for record drawings,

they shall be the responsibility of the Consultant.

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EXAMPLE SPECIFICATION

UNOFFICIAL CONFORMED DOCUMENT

2.05 FRAMES, GRATES AND COVERS

A. Frames, grates and covers shall be cast iron of the type shown and as specified to the following requirements:

1. Cast iron shall be minimum class 25 conforming to ASTM A48.

2. Provide castings free from scale, lumps, blisters and sand holes.

3. Machine contact surfaces to prevent rocking.

4. Clean and hammer inspect.

5. All castings shall be capable of withstanding a 20-ton wheel load

transferred through dual rubber tires unless otherwise indicated on the Drawings.

6. Covers shall have diamond pattern across entire exposed surface except for

1 1/2 inch lettering presenting the text, "MWRA SEWER".

7. Unless otherwise indicated on the Drawings manhole frames shall have a clear opening of 30 inches.

8. Manufacturer and Type:

a. LeBaron Foundry Inc., Brockton, Massachusetts; Catalog No. LB-328.

b. Neenah Foundry Company, Neenah, Wisconsin; Catalog No.

R-1750-C

c. Campbell Foundry Co., North Haven, Connecticut, Catalog No. R-1012

d. Or equal.

JM-046 02605-2 MWRA CONTRACT 6186

EXHIBIT 1-C.1a

1-24

EXAMPLE SPECIFICATION


9. Watertight manhole frames and covers shall conform to the following requirements:

Clear opening 28" diameter Top of frame inside diameter 32" Frame height 8" (min.)

a. LeBaron Foundry Inc. Brockton, Massachusetts; Catalog No. LBW328.


R-1755-G.

c. Campbell Foundry Co., North Haven, Connecticut, Catalog No.6548.

d. Or equal. * (ADDENDUM 1, ITEM 1-17)

9. Watertight manhole frames and covers shall be bolted and gasketed. The

frames and covers shall be:

a. LeBaron Foundry Inc. Brockton, Massachusetts; Catalog No. LBB328.


R-1916-H1.

c. Campbell Foundry Co., North Haven, Connecticut, Catalog No.6412.

d. Or equal. The following manholes shall receive watertight frames and covers: Sta. 5+44; Sta. 12+36; Sta. 14+76; Sta. 16+91; Sta. 19+66; Sta. 22+66; Sta. 25+46; Sta. 33+91; Sta. 45+48; Sta. 48+48; Sta. 49+65. (ADDENDUM 1, ITEM 1-17)

JM-046 02605-24 MWRA CONTRACT 6186

EXHIBIT 1-C.1b

1-25

EXAMPLE DRAWING


1 3/24/09 AMD BES (ADDENDUM No. 1) ADDED MANHOLE STA. 4+50

No. DATE BY CHK’D REVISION

EXHIBIT 1-C.1c

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1.6 DUTIES AND RESPONSIBILITIES

The resident engineer acts as the official representative between the Authority and the contractor

on a construction contract. The resident engineer is the person in charge of the daily routines of the

field staff on a project site. The resident engineer’s function is to oversee and document the overall

inspection of the construction project. The following is a general outline of the duties,

responsibilities and limitations of the resident engineer for an Authority construction project. It is

not meant to be all inclusive but to provide a guideline that resident engineers and field staff

assigned can use in carrying out their duties and responsibilities.

The field staff is reminded that the field office serves as an extension of the Home Office and

all Authority employment, equipment usage and conduct policies shall extend to the resident

engineer and his/her field staff.

The resident engineer is responsible for the inspection of all work on a construction project to

ensure its conformance with the requirements of the contract documents and standard engineering

practices. The resident engineer's objective is to administer the contract in a fair and equitable

manner and to provide documentation of all contractual work on a daily basis, accurately and

completely.

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The resident engineer is responsible for the efficient function of the assigned field staff. All

construction projects require continuous attention and the immediate action by the resident

engineer and his staff. The field staff must be an organized team with the ability to bring each

project to a successful completion.

The resident engineer and field staff are official representatives of the Authority on the job site and

act under the supervision of the construction coordinator or his/her designee. If a field inspector

encounters a problem he/she can not solve, the problem should be directed to the resident engineer

or his/her designee. If the resident engineer can not solve the problem, it should be directed to the

construction coordinator or his/her designee. In emergencies, specific directions or orders may be

given directly to the resident engineer (or his field staff) by other authorized representatives of the

Director or Assistant Director of Construction.

The resident engineer should cooperate with the contractor in planning the course of work

operations. However, in no case shall he/she act or permit any of his/her field staff to act as a

surrogate of the contractor or to perform any duties which are the responsibility of the contractor.

His dealings with subcontractors will only be through or with the full knowledge of the prime

contractor's on-site representative. Also, his/her communications with outside local, state and

federal agencies shall be with the knowledge of the construction coordinator or his/her designee.

The resident engineer shall utilize and neatly maintain a filing system of records and

correspondence in an orderly fashion. The filing system shall reflect the filing system presented in

this manual. If a resident engineer has one of his/her field staff maintaining the job's filing system,

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he/she shall periodically inspect the files for neatness and accuracy. All records and

correspondence for the project should be properly filed as soon as possible.

The resident engineer shall maintain daily field reports recording daily contractual work relating to

the project and other information such as: weather conditions start and end of each work day; list

of visitors to the job site; potential conflicts with the proposed work; and any change order work

performed. The type of daily report shall be similar to the one presented in this manual. Daily

reports shall be forwarded to the construction coordinator each day electronically. The resident

engineer shall print a copy and place it in the field report log book each day in accordance with the

instructions given herein. The resident engineer shall record his/her entries no later than noon of

the following day beginning on the first day he/she is assigned to the project. On small projects

that do not require a full time resident engineer or that do not require an MWRA field office, the

resident engineer shall complete a hand written daily report form similar to the one presented in

this manual and forward a copy to the construction coordinator by the end of the following work

day.

The resident engineer shall also maintain a quantity control ledger that will be used to substantiate

partial and/or final payment requests by the contractor. The type of ledger shall be similar to the

one offered in this manual. It should be neatly maintained and organized in the same fashion as the

examples shown in this manual. The entries in the ledger shall be updated on a daily basis, upon

completion of the work related to each pay item.

The resident engineer shall provide clear and precise instructions to staff prior to assignments to

ensure that staff is familiar with the work he/she is to perform and the type of documentation

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needed. The resident engineer shall inform field staff of the proper working hours, vehicle use on

the project, safety issues, updates on current procedures, and check on staff daily to ensure that

they are performing their duties as required. The resident engineer shall assist with performance

appraisals of field staff.

In addition to the above duties, the resident engineer shall also be responsible for but not limited to

the following functions on a construction project all of which are described herein:

• Be completely familiar with contract plans and specifications.

• Maintain filing system in accordance with the RE Manual.

• Verify and enforce contractor compliance with contract documents inclusive of

specifications, Order of Conditions, State and Federal requirements etc.

• Submit updated weekly and monthly progress reports.

• Submit reporting forms as necessary or requested by the Construction Coordinator,

(reference RE Manual Appendix).

• Provide accurate information on contractor’s activities to the MWRA Home Office.

• Interface with local officials during construction.

• Schedule progress and special meetings and record minutes of meetings.

• Maintain a log with the status of all Change Orders as well as any pending claims.

• Maintain a Request for Information (RFI) Status Log.

• Maintain a Shop Drawing Submittal Log.

• Review certified payrolls for wage rate compliance.

• Review and validate contractor’s pay estimates. Perform and document calculations to

substantiate payment as necessary.

1-30

• Develop and distribute an emergency contact list for the project.

• Compile a monetary punch list for the project and monitor its completion.

• Perform DCAM evaluation at the completion of the project.

• Perform bidability and constructability reviews as requested.

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1. OVERVIEW & FIELD OFFICE ADMINSTRATION

1.7 LIMITATIONS OF AUTHORITY

The resident engineer shall not authorize any deviations from the contract documents or approve

any substitute materials or equipment unless authorized by the construction coordinator and

approved by the design engineer of record.

The resident engineer shall not undertake any of the responsibilities of the contractor,

subcontractors or contractor's superintendent.

The resident engineer shall not supervise any work for the contractor or subcontractors.

The resident engineer shall not advise on or issue directions relative to any aspect of the means,

methods, techniques, sequences or procedures of the construction unless such is specifically called

for in the contract documents. The resident engineer shall not issue directions as to the contractor's

safety procedures, precautions or programs in connection with the contract work. The resident

engineer shall not participate in specialized field or laboratory tests or inspections conducted by

others except as specifically authorized by the construction coordinator or Director/Assistant

Director of Construction.

The authority and responsibilities given to the resident engineer will vary from project to project.

It will be the responsibility of the Director/Assistant Director of Construction through the

construction coordinator to define what the resident engineer's authority and responsibilities are

1-32

once the resident engineer is officially assigned to the project. However, the resident engineer

never has the authority to: (a) waive contract provisions, (b) make changes which are not within

the scope of the contract, (c) make design changes, unless authorized by the construction

coordinator and approved by the design engineer, (d) dictate or supervise the contractor's

operations, means or methods, (e) assume responsibility for contractor's job site safety, (f) stop the

work without the explicit approval of the construction coordinator.

This section is neither all inclusive nor limiting the resident engineer's role, but provides a

guideline for the resident engineers to understand and use in carrying out their duties and

responsibilities.

The Resident Engineer shall review specifications section 00700 Article 2 of the Contract

Documents to ensure that he/she does not exceed the limitations of the resident engineer’s

Authority in administrating the oversight of the construction contract.

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1.8 SAFETY EMERGENCY RESPONSE PROCEDURES

Safety is and must remain the first priority on any construction contract. No matter how many

times an organization prepares itself, or how effectively it trains its employees, accidents happen,

as they do in all industries. The construction industry is no exception. In fact, given enough time,

the chances are good that an accident or an incident involving an emergency will occur during your

assignment on a construction contract. Generally, as part of the contract documents, the contractor

is responsible for the security and safety on the job site. The contractor is required to employ a

person qualified in safety procedures to initiate, maintain and supervise all safety precautions,

methods and programs, and to ensure that the work is being performed in a safe environment. The

construction staff shall review and adhere to the written contract specific health and safety plan to

be implemented by the contractor. A copy of this plan shall be maintained at the construction field

office at all times and shall be updated by the contractor to include any substantive changes in the

work environment. The role of the resident engineer is to observe the safety measures

implemented by the contractor, and if at any time these safety measures appear unsafe or

inadequate, the resident engineer is to request that the Contractor’s Safety and Health Coordinator

re-visit the work area to increase and/or improve the level of safety. However, the resident

engineer is not required, nor has any obligation to enforce the contractor's safety measures. And,

the resident engineer shall in no way act as the contractor's surrogate Safety Officer. Should safety

problems or violations persist, the resident engineer shall inform the Director/Assistant Director of

Construction via the construction coordinator.

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The resident engineer shall at all times ensure that his/her staff is following the procedures of the

Authority's Safety and Health Manual. The resident engineer shall maintain a copy of the

MWRA Safety and Health manual on site at all times to ensure that all staff is cognizant of MWRA

safety procedures. Habitual safety violations by the resident engineer and/or the field staff may

result in suspension or perhaps greater disciplinary actions. The Authority is committed to the

existence of an accident-free work place. For simplicity purposes, we will refer to accidents and

incidents as one in the same.

Basically, there are two types of incidents; an emergency situation and a non-emergency situation.

A non-emergency incident is handled at the job site level, with the proper notification to the

construction coordinator. An incident requiring emergency measures is also separated into two

classifications, (1) a local event and (2) a major event. A local event will primarily involve the

Construction Department level personnel. An event that appeared to be a local event could very

easily develop into a major event. Factors that determine a local event from a major event are

health and safety of the community or Authority personnel and/or equipment, and the involvement

of the media. In either case, the resident engineer must respond in a professional manner and

inform management of the incident as quickly as possible. The construction coordinator is the key

management official and the person the resident engineer should contact first followed by the

public affairs project administrator. In reporting the incident to the construction coordinator and

the public affairs administrator, the resident engineer should provide the following information:

1) A description of the incident.

2) The time and location of the incident.

3) The estimated degree or impact of the incident.

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4) Information concerning what caused the incident.

5) Whom has been notified.

6) The location and phone number of where the resident engineer can be

contacted.

It is very important the resident engineer try not to hurry his/her message, and report only the facts

as he/she knows them. The resident engineer shall immediately try to personally contact the

construction coordinator by phone, email or both measures if necessary. If the resident engineer is

unable to contact the construction coordinator, he/she should leave a message if possible and

proceed to contact the next person on the following list until someone is personally reached.

* Assistant Director of Construction

* Director of Construction

* Chief Engineer

* Deputy COO

* Executive Director's Office

* Public Affairs

If you reach an answering machine, leave a brief message indicating that there is an emergency

situation; give the location of the emergency, and the name of the person you intend to contact

next. Note: leaving a message on an answering machine or forwarding an email does not relieve

the resident engineer of his/her obligation to personally contact a supervisor.

It is the duty of the resident engineer, once management has been informed of the incident, to

follow whatever instructions are given by management. In all likelihood, the Executive Office

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shall take command of the emergency as soon as possible. Meanwhile, the resident engineer, until

such time as he/she is relieved, should follow the guidelines noted below:

• The resident engineer becomes the official "eyes" of the Authority. He/she shall observe

and monitor the events of the incident as they unfold.

• He/she shall offer whatever Authority's resources are available to help facilitate emergency

assistance (Fire, Police, Hospital, EMT etc.).

• The resident shall not relinquish his/her duties unless properly relieved (the resident

engineer should obtain the identification of the person(s) assuming command of the

incident).

• If the resident engineer is confronted with a major emergency and is approached by the

media without the benefit of management and/or Public Affairs, he/she shall respond

accordingly:

* Give your name and title of the project.

* Do not say "No Comment". Explain that you are not the spokesperson for

the Authority (Saying little is better than not saying anything). Make

known who the Authority’s spokesperson is. Decline from attempting to

predict future steps or course of actions.

* Do not give out individual names. You are not to release any records or

documents without being approved by the MWRA Law Division.

* Stay away from predicting the future.

* Do not say anything "off the record". If you don't want it used, then don't

say it.

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* Speak clearly, use good posture, don't wear sunglasses and look directly at

the person speaking to you.

Remember, whatever you say or do may become part of a legal issue involving you and/or the

Authority.

In addition to the responsibilities noted above, the resident engineer shall prepare and file a report

as soon as possible, but no later than the first working day following the incident. In addition to the

resident engineer’s report, the contractor’s safety officer shall file an independent accident report.

The report shall be in the form of an Accident Report and should be detailed enough to give a clear

understanding as to what transpired. Instruction on how to prepare an accident report is covered in

Section 5.5 - Accident Report, of this manual. A sample report can be found in the same section.

Blank reports are included in the Appendix of this manual.

To aid in response to an emergency situation, the resident engineer shall compile a list of persons

who should be contacted in the event of an emergency. This listing should be made available prior

to commencement of construction or at the time of the pre-construction meeting. The primary

purpose of this listing is to inform the Police, Fire Departments and Municipal Officials in the

jurisdiction of which the construction work is to be performed, of the emergency response

telephone numbers of the Contractor's personnel and Authority key project personnel. As

personnel changes occur through the life of the project, the resident engineer shall update the

emergency response notice and distribute it accordingly. This listing is to be posted in a

conspicuous location in the job trailer. Exhibit 1-C.1a through 1-C.1c is an example of the type of

listing which the resident engineer should use as a guideline.

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EXAMPLE MASSACHUSETTS WATER RESOURCES

AUTHORITY Chelsea Facility 2 Griffin Way

Chelsea, Massachusetts 02150 Telephone: 617.305.5600 Facsimile: 617.305.6070

TO: Distribution FROM: Matthew Cando, Resident Engineer DATE: November 10, 2011 SUBJECT: Emergency Telephone Numbers,

Lynnfield Saugus Pipeline Project - MWRA Contract No. 6584 = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = Construction on the Lynnfield/Saugus Project started recently and will continue for the next 18 months. As stated in the preconstruction conference, the following are the telephone numbers of the various key personnel involved in this project who can be contacted on a 24 hour a day basis in case of an emergency. CONTRACTOR:

Field Office:

Corporate Office:

Project Manager:

Cell:

Email:

Project Superintendent:

Cell:

Email:

CONSULTANT:

Corporate Office:

Project Manager:

Direct Line:

Cell:

Email:

Page 1 of 3

EXHIBIT 1-C.1a

1-39

EXAMPLE

Project Engineer:

Direct Line:

Cell:

Email:

OWNER: Massachusetts Water Resources Authority

Field Office: Resident Engineer:

Cell:

Email:

Construction Coordinator:

Cell:

Email:

Assistant Director of Construction:

Direct Line:

Cell:

Email:

Director of Construction:

Direct Line:

Cell:

Email:

Page 2 of 3

EXHIBIT 1-C.1b

1-40

EXAMPLE Public Affairs Contact:

Direct Line:

Cell:

Email:

LOCAL:

Saugus Police Department:

Saugus Fire Department:

Saugus DPW:

Lynnfield Police:

Lynnfield Fire Department:

Lynnfield DPW:

Page 3 of 3

EXHIBIT 1-C.1c

1-41


1.9 STANDARD FILE SYSTEM

One of the primary responsibilities of the resident engineer is to maintain at the job site a set of

orderly files which reflects the Standard File System offered in this Section. The Standard File

System is identical to the file system used at the Home Office and maintained by the construction

coordinator. There are three different variations of the file system. The resident engineer and

construction coordinator shall mutually agree on one of the three file systems depending on the

size and/or complexity of the construction project. The construction coordinator assigned to the

contract has the responsibility to ensure that the filing system selected is being properly utilized by

the resident engineer and his/her field staff.

The purpose of the Standard File System is to have the home office and the field office utilizing the

same filing system for storing important documents and correspondence on any given

construction project. If properly utilized, the Standard File System can be very helpful in the

tracking of contract documents or events which occur throughout the course of the construction.

Because of the variety of construction contracts not all contracts will require all of the file

categories offered by the Standard Filing System. On small or relatively simple construction

projects, either the Modified or Streamline version of the file system will be appropriate. However,

on most construction contracts the Standard File System will be most appropriate.

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The Standard File System is made up of 33 pre-assigned file categories most common to

construction projects. Each file category has been numbered from 1 to 33. For example, File

category No. 1 is set up to store all documents relating to Contract issues, File No. 2 deals with all

correspondence for the project, File No. 4 will contain all executed copies and backup relating to

each change order processed, and File No. 11 includes all data relating to payments made to the

contractor. Neither the file numbers nor the file categories will vary from project to project or

contract to contract regardless of the size or type.

Within the file system, not all file categories are handled the same, some files are more active than

others. For example, the file set up for "Correspondence" will require a lot more filing activity

than the file set up for "Progress Schedules". On some construction contracts the amount of

correspondence could be so great that it will be necessary to divide the file into subcategories. (For

purposes of uniformity, all subcategories will be lettered, using the lower case, starting from a to

z). For example, The "CORRESPONDENCE" file may be broken-down into the following

subcategories:

2. CORRESPONDENCE:

a. Design (Consultant) Engineer

b. Home Office

c. Contractor

d. Request for Information (RFI's)

e. Resident Engineer

f. Federal Agencies

g. State Agencies

h. Other Agencies

i. Interoffice

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In the above example, the correspondence file has been subdivided into nine subcategories. In

using the above format, all correspondence received from the Design (Consultant) Engineer shall

be filed under category "2a. Consultant Engineer", all correspondence received from the contractor

shall be filed under category; "2c. Contractor", and. all correspondence received from the

Massachusetts Department of Public Safety shall be filed under category: "2g. State Agencies".

Exhibit: 1-D.1 is the standard version of the Standard File System for field and home office use.

The standard version has 33 primary file categories. Each primary category has a subject assigned

to it which represents a particular job file. Additional items can be used at the discretion of the

resident engineer providing the subject is not already covered in the other categories, and they are

acceptable to the construction coordinator. Categories such as item #1, #2, #12 and #26 are

divided into subcategories. If the resident has a desire to divide other file categories into

subcategories such as items #4-Change Orders, #11-Periodic Pay Estimates, #19-Shop Drawing

Approvals or #32-Transfer of Titles he/she may do so providing the files are kept orderly and up to

date. The resident engineer may feel it necessary to divide a subcategory. In which case, the

sub-subcategory shall be numbered starting from #1. Before the resident engineer divides a

subcategory he/she shall discuss its merit with the construction coordinator.

Exhibit: 1-D.2 is the "Modified Version" of the standard file system. It has the same 33 file

categories as the standard version only it doesn't have any subcategories. This file system would

be used on less complicated construction contracts. Note that the numbering of the file categories

for the modified version is identical to the numbering for the-standard version, i.e.: the file

number for "Change Orders" for both the standard version and the modified version is #4, likewise

1-44

the file number for "Contract Close-Outs" for standard version and the modified version is file

#31.

The modified version of the standard file system is the type of file system used for less

complicated construction projects.

Exhibit 1-D.3, is the "Streamline Version" of the standard file system. The streamline version has

only 22 categories, however, the category numbers and titles that appear are identical to those

category numbers and titles for both the standard and the modified versions. The streamline

version is designed for the least complicated contracts.

The resident engineer must determine which of the three versions offered above better suit his/her

needs. Although the decision on which version of the file system to use is that of the resident

engineer, it should be discussed with the construction coordinator or the project manager assigned

for the purpose of project uniformity.

1-45

STANDARD FILE SYSTEM FOR

CONSTRUCTION CONTRACTS

1. CONTRACT DOCUMENTS 13. COMPLAINTS 1a. Design Estimate 1b. Schedule of Values 14. ACCIDENT REPORTS 1c. Notice to Award 1d. Notice to Proceed 15. RIGHT OF WAY 2. CORRESPONDENCE 16. PROGRESS PHOTOGRAPHS 2a. Design Engineer 2b. Home Office 17. PERMITS 2c. Contractor 2d. Request for Information (RFI) 18. SHOP DRAWING TRANSMITTALS 2e. Resident Engineer 2f. Federal Agencies 19. SHOP DRAWING APPROVALS 2g. State Agencies 2h. Other Agencies 20. TESTING REPORTS 2i. Interoffice 21. PUNCH LIST 3. SUBCONTRACTOR APPROVALS 22. BENEFICIAL REQUEST 4. CHANGE ORDERS 4a. Proposed Change Orders (PCO) 23. PUBLIC AFFAIRS 4b. Staff Summaries (SS) 4c. Change Orders (CO) 24. LABOR COMPLIANCE REPORTS 5. CLAIMS AND DISPUTES 25. AFFIRMATIVE ACTION 6. ALTERATIONS 26. MEETING MINUTES 26a. Progress Meetings 7. FEDERAL REPORTS 26b. Special Meetings 26c. Other 8. STATE REPPORTS 27. O&M MANUALS 9. PROGRESS SCHEDULES 28. ENGINEERING AGREEMENTS 10. UTILITIES AND AGREEMENTS 29. MISCELLANEOUS 11. PERIODIC PAY ESTIMATES 30. CONTAMINATED MATERIALS 12. PROGRESS REPORTS 12a. Daily Reports 31. CONTRACT CLOSE-OUT 12b. Weekly Reports 12c. Monthly Reports 32. TRANSFER OF TITLES 12d. Status Reports 33. CONSERVATION COMMISSION

EXHIBIT 1-D.1

1-46

STANDARD FILE SYSTEM FOR


**MODIFIED VERSION**

1. CONTRACT DOCUMENTS 17. PERMITS

2. CORRESPONDENCE 18. SHOP DRAWING TRANSMITTALS

3. SUBCONTRACTOR APPROVALS 19. SHOP DRAWING APPROVALS

4. CHANGE ORDERS 20. TESTING REPORTS

5. CLAIMS AND DISPUTES 21. PUNCH LIST

6. ALTERATIONS 22. BENEFICIAL USE REQUEST 7. FEDERAL REPORTS 23. PUBLIC AFFAIRS

8. STATE REPPORTS 24. LABOR COMPLIANCE REPORTS

9. PROGRESS SCHEDULES 25. AFFIRMATIVE ACTION

10. UTILITIES AND AGREEMENTS 26. MEETING MINUTES

11. PERIODIC PAY ESTIMATES 27. O&M MANUALS

12. PROGRESS REPORTS 28. ENGINEERING AGREEMENTS

13. COMPLAINTS 29. MISCELLANEOUS

14. ACCIDENT REPORTS 30. CONTAMINATED MATERIALS

15. RIGHT OF WAY 31. CONTRACT CLOSE-OUT

16. PROGRESS PHOTOGRAPHS 32. TRANSFER OF TITLES

33. CONSERVATION COMMISSION

EXHIBIT 1-D.2

1-47

STANDARD SYSTEM FOR


**STREAMLINE VERSION**

1. CONTRACT DOCUMENTS 17. PERMITS

2. CORRESPONDENCE 18. SHOP DRAWING TRANSMITTALS 4. CHANGE ORDERS 19. SHOP DRAWING APPROVALS

5. CLAIMS AND DISPUTES 20. TESTING REPORTS

10. UTILITIES AND AGREEMENTS 21. PUNCH LIST

11. PERIODIC PAY ESTIMATES 23. PUBLIC AFFAIRS

12. PROGRESS REPORTS 24. LABOR COMPLIANCE REPORTS

13. COMPLAINTS 25. AFFIRMATIVE ACTION

14. ACCIDENT REPORTS 26. MEETING MINUTES

15. RIGHT OF WAY 30. CONTAMINATED MATERIAL

16. PROGRESS PHOTOGRAPHS 31. CONTRACT CLOSE-OUT

33. CONSERATION COMMISSION

EXHIBIT 1-D.3

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1.10 GLOSSARY OF TERMS

The following is a listing of terms relative to the categories which make up the standard file system. The definitions given below reflect only the basic meaning of the words and how they apply to the filing systems used by the field office and home office and in no way should be considered official, technical, legal or contractual definitions. ACCIDENT REPORTS: Information regarding any and all accidents which have occurred on the project. AFFIRMATIVE ACTION: Information relating to Minority Business Enterprise (MBE), Women Business Enterprise (WBE) or Equal Employment Opportunity (EEO) matters. ALTERATIONS: Any change or substitution in the form of the work to be done within the original scope of the contract and does not affect the contract price or time. BENEFICIAL USE REQUEST: All information relating to the Authority's acceptance of any equipment, structures, or systems before the project is substantially complete. A separate file for each request is required. CHANGE ORDERS: Additional work which results in an adjustment in either the contract time or the contract price. A separate file for each change order is required, including staff summaries, if applicable, and all backup documentation to substantiate the change order. CLAIMS & DISPUTES: Conflicts or protests made by the contractor pertaining to the contract documents which are pending, or have not been resolved. COMPLAINTS: A formal expression of dissatisfaction pertaining to the contract. All complaints issued to the resident engineer shall be registered on the appropriate Authority forms. PERIODIC PAY ESTIMATE: Periodic payments to the contractor for work performed. A separate file for each payment processed, including all backup, breakdowns, or other required information is required. CONTRACT DOCUMENTS: Information relating to the executed contract between the Authority and the contractor; i.e., bonds, insurance requirements, notice to proceed/award and all addenda issued as part of the contract documents.

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CONTRACT CLOSEOUTS: Documentation and Certifications required to successfully bringing the project to a contractual end. CORRESPONDENCE: The flow of information among parties directly or indirectly involved in the construction project. DAILY REPORTS: A report, prepared each day of the contract, accounting for all pertinent information regarding the progress of work. DESIGN ESTIMATE: The estimated contract prices provided by the Authority's design team which accounts for the total estimated cost of the construction before contract is bid. ENGINEERING AGREEMENT: An agreement between the Authority and the consultant engineer, including all amendments, for engineering services. FACILTY HANDBOOK: A manual prepared by Design Consultant outlining the basic operations and procedures for the systems included in an operating facility. FEDERAL REPORTS: Correspondence issued by or requested by the federal government. HAZARDOUS MATERIALS: Material contaminated with petroleum or toxins. LABOR COMPLIANCE REPORTS: Copies of certified payrolls and other information required by the U.S. Labor Department. MEETINGS MINUTES: A written account of what was discussed at job related meetings held in the field or home office. MISCELLANEOUS: Any materials which are diverse in nature and are unrelated to the other file categories. MONTHLY REPORTS: A monthly account, submitted along with the contractor's pay estimate, which outlines the work accomplished during the previous month. NOTICE OF AWARD: An official notice by the Authority awarding the construction contract to the lowest responsible bidder. NOTICE TO PROCEED: An official notice issued by the Authority instructing the contractor to begin work on the awarded construction contract on a specific date. O & M MANUAL: Manufacturers' instructions and/ or informational data compiled for the operation and maintenance of specified equipment or systems of the contract. PERMITS: Documents issued by federal, state and local agencies allowing contract work to proceed in a given location.

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PROGRESS REPORTS: Written accounts which outline the progress of construction on a daily, weekly or monthly basis. PROGRESS PHOTOGRAPHS: The collection of photographs showing progress of construction in chronological order. PROGRESS SCHEDULE: Schedules prepared by the contractor which illustrate when specific work of the contract is to be performed and completed. PUBLIC AFFAIRS: Informing the Public, the Community or the Authority's Public Affairs office about the contract. PUNCH LIST: A detailed monetized listing, issued at the time of substantial completion, of uncompleted or unsatisfactory work remaining on the contract. RIGHT OF WAY: Easements or other area rights required to allow construction to proceed at a given location. SCHEDULE OF VALUES: A detailed breakdown of the contractor's prices relating to lump sum items of the contract. SHOP DRAWING TRANSMITTALS: Correspondence transmitting data or samples for approval as required by the contract. SHOP DRAWING APPROVALS: Notice indicating the current status of shop drawings or samples submitted. STATE REPORTS: Reports issued by or information requested by State agencies. STATUS REPORTS: Periodic reports involving the current monetary and/or progress status of the contract. SUBCONTRACTOR APPROVAL: Certification/Documentation allowing any subcontractor to perform work under the contract. TESTING REPORTS: Reports issued by a testing agency performing work on the contract. TRANSFER OF TITLES: Documents certifying the Authority's ownership for materials or equipment stored on or off-site. UTILITIES & AGREEMENTS: Service agreements between the Authority and Utilities or other service vendors.

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1.11 FILING CODE SYSTEM

In the previous Section, we developed a Standard File System. In this section we will learn how

important it is to maintain the file system in an orderly fashion. In dealing with any type of file

system, if the files are not maintained properly, it will be very difficult to track correspondence.

Often times it is the correspondence which is used as backup to substantiate, document or to justify

events which occurred during construction. A misplaced piece of correspondence or one that was

not filed correctly could lead to a lot of confusion and even prove costly to the Authority.

Therefore, it is very important that along with the standard file system, a set of procedures be

available for maintaining the file system. A construction project shall consist of two set of files,

one maintained by the resident engineer in the field and one maintained by the construction

coordinator at the Home Office.

At the completion of the contract, the resident engineer will be required to turn over a complete set

of field project files to the assigned construction coordinator. These files will be combined with the

project office file forming a complete, accurate and up-to-date project file for archiving.

The file code system is designed specifically for construction contracts because it corresponds to

the standard filing system presented in the previous section. The codes to be used identify both the

contract being worked on and the file category the correspondence or data pertains too. More than

one file code may be used, when desired, to improve retrievability or to associate certain

1-52

correspondence with related material.

The file code system is made up of a five, six or seven digit numerical or alphanumeric sequence

preceded by the word "File:”. A hyphen is used between the forth and the fifth digits; for example,

File: XXXX-YY. The first four digits represent the MWRA contract number. This is the number

that the contract is referred to throughout the Authority. Normally it can be found on the cover of

the specifications or in the title block of the contract drawings. In some cases it is a three digit

number preceded by the letters "S" or the letter “OP”. The letters "S" and “OP” distinguish it as a

Current Expense Budget (CEB) contract rather than a Capital Improvements Program (CIP)

contract; for example, File: S082-YY, File: 6759-YY respectively. The next two digits represent

the file category where the correspondence is to be stored or can be found. If the resident engineer

is using a file system that has subcategories, the category portion of the file code will have three

digits; for example, File: 5398-04b, File: S082-02g, File: 5398-26a, File S082-12c. Using Exhibit

1-D.1, on page 1-55, with the above examples, the first example, "File 5398-4b" refers to the file

containing Staff Summary material, the second example, "File: S082-2g" refers to the file

containing State Agency correspondence, the third example, "File: 5398-26a" refers to the file

containing progress meeting minutes and the forth example, "File: S082-12c" refers to the file

containing monthly progress reports.

Electronic correspondence such as “email” shall be treated like all other correspondence and shall

not only be saved electronically but printed and filed using the specific project system.

For uniformity purposes, the file code will be placed in the upper right corner of all in-coming and

out-going correspondence. Either the resident engineer or his/her designee is responsible for

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entering the codes on the correspondence. By doing this, the resident engineer or designee

acknowledges that he/she has read the piece of correspondence. It is common practice to provide

appropriate copies and to respond, if necessary, before the piece of correspondence is coded and

filed.

To illustrate how the resident engineer is to use the file code system, we offer the following

example. Consider the project to be a multi-floor CSO (Combined Sewer Overflow) station, grant

funded construction contract. The Authority contract number is 6759. Assume the resident

engineer has selected the standard version file system.

Example: If the Authority issued a Notice to Proceed to the contractor, the file code for this

correspondence would be, File: 6759-1d. If the construction coordinator wanted to forward

correspondence to the EPA; the file code on the transmittal would be, File: 6759-2f. If the resident

engineer receives a copy of the Contractor's Progress Schedule, the file code would be, File: 6759-

9. If the consultant engineer delivers to the home office the minutes of the monthly progress

meeting, the file code for this correspondence would be, File: 6759-26a.

The following are examples of how certain correspondence is coded:

Exhibit: 1-E.1 is a transmittal from the contractor transmitting shop drawing information to the

consultant engineer for his/her review and approval. In the upper right hand corner the code: File:

6759-18 is used to represent the file designated for Shop Drawing Transmittals.

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Exhibit 1-E.2 is correspondence from a Consultant to the Authority enclosing final Right of Way

plans. In the upper right hand corner of the page the code, File: 6759-15 is used to represent the file

for Right of Way information.

Exhibit 1-E.3 is a transmittal from the contractor to the Authority submitting their monthly

progress schedule for the month of December. In the right hand corner the code File: 6759-9 is

used to represent the file designated for Progress Schedules.

Exhibit 1-E.4 is correspondence from the consultant to the Authority informing the Authority of

the Contractor’s request to work during winter moratorium. In the upper right hand corner of the

page the code File: 6759-2a, is used to indicate that the correspondence belongs in file #2

(Correspondence), under subcategory "a" for Design Engineer and code File:6759-17 for Permits.

Exhibit 1-E.5 is a letter from the Authority to the consultant engineer. Again, it is an out-going

piece of correspondence and the code is placed in the upper right hand corner of the letter, the

contents of the letter has to do with engineering agreements, therefore, the file code; File: 6759-28

is used.

Exhibit 1-E.6 is also internally produced, and it is a letter to the Consultant requesting him to

review a quote from the Contractor on some additional work. In the upper right hand corner of the

page we have entered the code; File: 6759-2b and 6759-4a.2. The former indicates the letter is to

be filed under the category for Home Office Correspondence (File: 6759-02b) and the latter

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indicates the letter should be filed under Change Order file (File: 6759-4a.2). Note: With this letter

we copied two people plus two files, so now we know at least five copies of the letter exist. One

copy (the Original) to the Consultant, one copy each to Contractor and Construction Coordinator

and two

1-56

EXAMPLE ��

DATE ��

PROJECT NAME & CONTRACT NO. �� !�" �� !�" �� !�" �� !�" ��

LOCATION #� ��$ �� % �� &�'��#� ��$ �� % �� &�'��#� ��$ �� % �� &�'��#� ��$ �� % �� &�'��

TRANSMITTAL # ��

SPEC SECTION # ��

T MWRA REPRESENTATIVE O �&�( )�*��'�&�( )�*��'�&�( )�*��'�&�( )�*��' ��+ ��'��*�� + ��'��*�� + ��'��*�� + ��'��*�� &�'��% �� ,�&�'��% �� ,�&�'��% �� ,�&�'��% �� ,�

F !�� '�� "!�� '�� "!�� '�� "!�� '�� " R �� ''� ��'��' �-�� ''� ��'��' �-�� ''� ��'��' �-�� ''� ��'��' �-�� O &�'��% �� +�&�'��% �� +�&�'��% �� +�&�'��% �� +� M

�� . ��% �")"�� . ��% �")"�� . ��% �")"�� . ��% �")"

ITEM NO.

DESCRIPTION OF ITEM (NAME, TYPE, SIZE, CAPACITY, SPECIFIC USE, ETC) MANUFACTURER

OR DESIGNER

DRAW NO CATAL NO

BROCHURE NO ETC.

NO OF

COPIES CONTRACT

DRAW REF.

2 ENGINEERS USE ACTION

CODE REVEWED

BY

�� /��-��* �� 0��' ��/ 1�� /��'�� /��-��* �� 0��' ��/ 1�� /��'�� /��-��* �� 0��' ��/ 1�� /��'�� /��-��* �� 0��' ��/ 1�� /��' 2�� (��*2�� (��*2�� (��*2�� (��* �(�(�(�(�� ( �( �( �( �+�+�+�+

�� 3 �3 �3 �3 ��

THIS CERTIFIES THAT ALL ITEMS SUBMITTED HEREWITH HAVE BEEN CHECKED BY THE CONTRACTOR, ARE IN CORNFORMANCE WITH THE REQUIREMENTS OF THE CONTRACT DOCUMENTS, EXCEPT AS NOTED, AND ARE APPROVED BY THE CONTRACTOR FOR THIS PROJECT. SPECIAL INSTRUCTIONS

2�. (�2�. (�2�. (�2�. (��' ��% ��4� � ��1��/��' ��% ��4� � ��1��/��' ��% ��4� � ��1��/��' ��% ��4� � ��1��/�� SIGNATURE & TITLE

SECTION 2 (FOR ENGINEERS USE) ACTION CODE 1 – NO EXCEPTIONS TAKEN 2 – MAKE CORRECTIONS NOTED 3 – REVISE AND RESUBMIT 4 – REJECTED SEE REMAKS 5 – REVIEWED FOR INFORMATION ONLY

a. INSTALLATION SHALL PROCEED ONLY WHEN ACTION CODE IS 1 0R 2 b. ACTION CODED 3 SHALL BE RESUBMITTED WITHIN TIME LIMIT SET IN CONTRACT. c. REVIEW DOES NOT RELIEVE CONTRACTOR FROM RESPONSI- BILITY OF COMPLIANCE WITH ALL REQUIREMENTS OF THE CONTRACT DOCUMENTS.

ACTION BY

MWRA CONSUL

BY

(SIGNATURE)

ENCLOSURES: _____ ITEMS: ____

EXHIBIT 1-E.1

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EXAMPLE

��

ABCD Consulting��

January 5, 2011 Massachusetts Water Resources Authority Chelsea Facility Engineering and Construction 2 Griffin Way Chelsea, MA 02150 Attention: Ms. Maureen Smith – MWRA Construction Coordinator Reference: Southern Point CSO Facility MWRA Contract No. 6759

South Boston, Mass Dear Ms. Smith: We have enclosed one set of stamped mylars and three paper copies of final Right of Way plans and associated descriptions for the subject project. If you have any questions regarding these plans or require additional copies please do not hesitate to contact us. Very truly yours, William A. Martini Associate/Construction Division

cc: M. Cando – MWRA Resident Engineer

214 Washington Street/ Boston, Massachusetts An Equal Opportunity Employer

EXHIBIT 1-E.2

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EXAMPLE The Northern Continental Construction Co.

7722 Massachusetts Avenue Boston, Massachusetts 02140

��

��

DATE

1/11/11 JOB NO.

6759

TO: M.W.R.A. ATTENTION

Ms. M. Smith

Chelsea Facility RE

Southern Pt. CSO

2 Griffin Way Victory Place

Chelsea, Ma 02150 South Boston, MA

WE ARE SENDING YOU: X Attached Under separate cover via the following items: Shop Drawings Prints Plans Samples Specifications Plans Report

COPIES DATE NO. DESCRIPTION

2 Dec 2010 Progress Schedule for December 2010

THESE ARE TRANSMITTED as checked below:

X For approval Approved as submitted Resubmit copies for approval For your use Approved as noted Submit copies for distribution X As required Returned for corrections Return corrected prints For review and comment FOR BIDS DUE 20 PRINTS RETURNED AFTER LOAN TO US REMARKS:

CC: Bill Martini – ABCD Engineers 5" �� 5" �� 5" �� 5" �� 6666 !�� 1��/��!�� 1��/��!�� 1��/��!�� 1��/�� Signature

EXHIBIT 1-E.3

1-59

EXAMPLE ��

ABCD Consulting��

January 12, 2011 Massachusetts Water Resources Authority Chelsea Facility Engineering and Construction 2 Griffin Way Chelsea, MA 02150 Attention: Ms. Maureen Smith – MWRA Construction Coordinator Reference: Southern Point CSO Facility MWRA Contract No. 6759

South Boston, MA 02127 Dear Ms. Smith: The contractor has requested that due to the mild winter they would like to mobilize to the jacking pit at Sta. 29+40 just

past the intersection of Spring Street and East Broadway on Thursday 1/18/11. ABCD has advised the contractor that

work cannot proceed at this location without approval of the Department of Conservation and Recreation (DCR). As

you are aware work within the Parkway is subject to DCR permit which includes a winter moratorium, no work from

November 15 to April 15. It is our understanding that the Massachusetts Water Resources Authority (MWRA) is in

discussion with DCR to issue a waiver on the winter moratorium at this location so that work for the excavation and

support of the receiving pit may proceed. Until such a waiver is issued by the DCR the Contractor has been advised

that no work may proceed in this location.

Should you have any questions concerning this issue please do not hesitate to call me at 781-221-1111.

Very truly yours, William A. Martini Associate/Construction Division

cc: M. Cando – MWRA Res ident Eng ineer

214 Washington Street / Boston, Massachusetts An Equal Opportunity Employer

EXHIBIT 1-E.4

1-60

EXAMPLE ��


CHELSEA FACILITY 2 GRIFFIN WAY

CHELSEA, MA 02150 Telephone:

(617)305-5600 August 29, 2010 ABCD Consulting Engineers 214 Washington Street Boston, Massachusetts, 02134 Attention: Mr. William Martini Reference: Southern Point CSO Facility MWRA Contract 6759 Dorchester, MA 02121 Dear Mr. Martini, By this letter you are hereby authorized to proceed with the engineering services for the construction phase on the above referenced project. This action is being taken in anticipation of having executed engineering agreement between your firm and the MWRA in the very near future. If you have any questions regarding this matter, please do not hesitate to contact us. Very truly yours, Margery Smith MWRA Design Project Manager

EXHIBIT 1-E.5

1-61

EXAMPLE �� "7�"7�"7�"7

��+�"�+�"�+�"�+�"�

MASSACHUSETTS WATER RESOURCES AUTHORITY CHELSEA FACILITY

2 GRIFFIN WAY CHELSEA, MA 02150

Telephone: (617)305-5600 December 22, 2010 ABCD Consulting Engineers 214 Washington Street Boston, Massachusetts, 02134 Attention: Mr. William Martini Reference: Southern Point CSO Facility MWRA Contract 6759 Dorchester, MA 02121 Dear Mr. Martini, We are enclosing for your review and recommendation a cost breakdown from Northern Continental Construction Co. regarding the additional reinforcing steel for the outlet channel on the above referenced contract. Included in your findings should be a detailed description of the above mentioned change and reasons for it. If you have any questions regarding this matter, please do not hesitate to contact us. Very truly yours, Maureen Smith Construction Coordinator Cc: J. Calahann – NCC Project Manager Assistant Director of Construction

EXHIBIT 1-E.6

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1.12 PROJECT LOG BOOK

All MWRA Construction projects shall maintain a project “Log Book” which is to be set up and

maintained by the resident engineer with the assistance of the construction coordinator. The

purpose of the project log book is to summarize the daily administration at the field office for

future reference by personnel not directly related to a project. The log book shall contain copies of

the various project logs that are described in detail under their respective section of this manual.

The following is a sample of some of the logs that are recommended to be maintained in the project

log book:

1. Table of Contents of Standard File System.

2. Site Visitor Sign-In Sheet.

3. Incoming and Outgoing Correspondence Logs.

4. Contractor Payment Summary.

5. Quality Control Ledger.

6. Request for Information (RFI) Log.

7. Listing of PCO/CO/Claims.

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1.13 INCOMING & OUTGOING CORRESPONDENCE LOG

In most cases the volume of correspondence is proportional to the size and/or the complexity of the

construction contract. The smaller the contract the less flow of correspondence, while the more

complex and more technical the contract is, the larger the flow of correspondence. A project to be

constructed under Chapter 149 is likely to have more correspondence than a Chapter 30 project. A

sign of an efficiently run contract is when all correspondence relating to the job is readily

available.

As we have stated previously, it is very important to properly file the correspondence being

generated and/or received on the contract. The resident engineer has been provided guidelines

which will allow him/her to initiate a standard "filing system" and "file code system". In order to

complete the cycle of administering the daily flow of correspondence, the resident engineer is

required to, depending on the size and complexity of the project, maintain an incoming and

outgoing correspondence log book.

Generally, during Chapter 149 construction contracts, the largest volume of correspondence

occurs at the beginning of the job, it then tends to taper off until the project nears completion, and

then it seems to increase once again. Often times this increase is attributed to issues that are

outstanding and need to be resolved before the contract is closed out. In order to resolve an

outstanding issue, it is helpful to understand the complete history of the issue and have all

1-64

previous references regarding the issue in hand. One of the more efficient ways of gathering this

information is for the resident engineer to maintain an up to date correspondence log. If

maintained correctly, the resident engineer is able to track an issue either by its subject, dates or

by the person to whom the issue was addressed too. The resident engineer is also able to

determine where the correspondence relating to the issue is stored and in what file or files it can be

found.

The log book will be used to record all correspondence relating to the contract and will be

maintained by the resident engineer or his/her designee. The log will be kept current, complete

and accurate at all times. All correspondence shall be logged-in on the same day it is received or

sent. Each correspondence logged-in, on either the incoming or outgoing forms shall be uniquely

numbered. The resident engineer or his/her designee will assign the numbers, in a sequential

manner to each piece of correspondence. It is suggested the numbering system will start at 001.

The numbers assigned in the log shall appear on the first page of the correspondence. Each log

sheet will be numbered sequentially beginning with page 1. Note: There have been construction

contracts where a separate incoming and outgoing correspondence log was maintained for both

the consultant engineer and the contractor. The resident engineer, with the aid of the construction

coordinator, shall determine if a single log or separate set of incoming and outgoing logs will

better serve the correspondence flow on his/her project.

Incoming and outgoing electronic correspondence with the exception of email shall be included in

these logs. The construction staff is reminded that all emails must be electronically filed and kept

and that all information and messages that are created, sent, received, accessed or stored on the

1-65

field office system or Authority system constitute Authority records. The construction staff is

reminded that any communication that they create, send, receive, or store on Authority systems

may be read or heard by someone other than the intended recipient. Accordingly, resident engineer

and field staff should not send information not intended to be viewed. Resident engineer and field

staff are advised that there is no presumption of privacy on such correspondence.

All email correspondence shall have the specific MWRA Contract number and title in the subject

line with short description of what the email message is in reference too. The construction staff is

reminded that all electronic correspondence shall adhere to MWRA information Technology User

Responsibilities, Policy #ADM.30 dated July 21, 2000. The construction staff shall use separate

emails for separate items of discussion, he/she shall not “piggyback” different subject matters

within one email.

Exhibit 1-F.1 is the form which the resident engineer shall utilize to record all "Incoming"

correspondence on the project. The form is made up of seven columns. Each column is to be filled

out when making an entry. The first column, going from left to right is where the document

number is to be entered. As previously mentioned this number is unique to the piece of

correspondence and is assigned sequentially by the resident engineer or his/her designee. Note:

once a number has been assigned and entered in the log, that same number shall be recorded in the

upper left hand corner of the document. The second column is where the date is entered. This date

is the date the piece of correspondence is received and "Date-Stamped" at the field office, and not

the date that appears on the correspondence (document). The third column is for the person to

whom the correspondence is addressed. If the correspondence addresses a title, such as:

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construction coordinator, project manager, resident engineer etc., the person's name shall be

entered in its place. If the correspondence is not addressed to anyone in particular, the acronym;

M.W.R.A. is entered in its place. The fourth column is the column where the date that appears on

the document is entered, and not the date that the field office receives the document. The fifth

column is the name of the originator (person who sent the document) and the sixth column requires

a brief description of the subject matter. The description should be brief but concise. Generally one

line is adequate for a description; however, if more space is needed, the resident engineer is

instructed to go on to the next line.

Whenever possible, the specification number relating to the subject matter should appear in the

description. Also, if the document being entered refers to another document, that document

should be referenced, example; See ABC's letter-1/12/89, Ref. NCC-1/12/89, See

MWRA-1/12/89 etc. The last column on the right is the column where the document can be

found. The entry shall refer to the number of the file category where the document is filed. If the

document is filed in more than one place, each file category is to be entered in the log. Note: If a

document is received by the field, and it appears the home office was not copied, it is the

responsibility of the field staff to forward a copy to the home office immediately.

Exhibit 1-F.2 is the form which the resident engineer shall utilize to record all "Outgoing

Correspondence" on the project. The form is basically the same form as the "Incoming

Correspondence" form and it is to be utilized in the same fashion as mentioned above.

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EXAMPLE

INCOMING CORRESPONDENCE LOG Project: Southern Point CSO Facility MWRA Contract No.: 6759 Location: South Boston, MA EPA/MDEP Project No.: N/A Contractor: Northern Continental Construction Co. Sheet 1 of 1 Doc. No.

Date Rec’d

Addressed to Date on Doc.

Sent By

Brief Description of Subject Matter Where Filed

1 1/11/11 M. Smith – Construction Coor. 1/11/11 NCC Progress Schedule for December 2010 9 2 1/12/11 M. Smith – Construction Coor. 1/11/11 ABCD Contractor Mobilization to Jacking Pit During

Winter Moratorium. 2a/17

FORM 4-1

EFFECTIVE DATE 11/87 EXHIBIT 1-F.1

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EXAMPLE

OUTGOING CORRESPONDENCE LOG Project: Southern Point CSO Facility MWRA Contract No.: 6759 Location: South Boston, MA EPA/MDEP Project No.: N/A Consultant: ABCD Consulting Engineers Sheet 1 of 1

Doc. No.

Date Sent

Sent to

Date on Doc.

Brief Description of Subject Matter Where Filed

1 8/29/10 W. Martini 8/29/10 Authorization to Proceed w/Engineering Services 28 2 12/22/10 W. Martini 12/22/10 Contractor Cost Proposal for Additional Reinforcing Steel at Outlet

Channel 2.b/4a.2

FORM 4-2

EFFECTIVE DATE 11/87

EXHIBIT 1-F.2

2-1

SECTION 2

DAILY REPORTS

PAGE

2.1 RESIDENT ENGINEER'S CONTRACT DAILY REPORTS 2-2

2.2 DAILY WORK FORCE ACCOUNT 2-11

2.3 FIELD INSPECTOR'S DAILY REPORT 2-20

2.4 FIELD INSPECTOR'S PAY SLIPS 2-28

2.5 QUANTITY CONTROL LEDGER 2-32

2-2

2. DAILY REPORTS

2.1 RESIDENT ENGINEER'S CONTRACT DAILY REPORTS (DAILY LOG)

The resident engineer shall make a thorough study of the project in order to become familiar with

each construction detail. The resident engineer is responsible for ensuring that the construction

staff has copies of pertinent submittals prior to inspection of the work. If any major discrepancies

are discovered, the resident engineer is to relay his/her findings to the construction coordinator.

The resident engineer shall conduct a minimum of two daily on-site construction reviews of the

work in progress, or as otherwise necessary to determine to the best of his/her knowledge how the

work is proceeding and that the work completed is in conformance with the contract documents.

Recording the progress on a construction site is one of the most important responsibilities of a

resident engineer. The resident engineer assigned to a construction contract shall complete daily

reports of the actions taking place on the job site. These reports shall be all inclusive and shall

represent a contract diary to record the events and progress of construction. The daily reports shall

be filed electronically with the construction coordinator on a daily basis. These reports shall be

complete, accurate and up to date at all times. A separate daily report log book shall be maintained

on site. The resident engineer shall begin maintaining daily reports on the day he/she has been

assigned to a project even if the contractor is not working on site. The resident engineer will

continue to maintain these reports until he/she has been reassigned. If the resident engineer is away

from the project for any length of time, he/she shall designate someone from the field staff to

maintain the reports in his/her absence. At the end of this section is a sample outline of a typical

daily report to be completed each day and filed by the resident engineer. This outline may be

2-3

modified by the resident engineer after conferring with the construction coordinator and a list of

items has been developed to be addressed on a daily basis.

The overall objective is to utilize these contract daily reports as the primary record source of the

daily events of the project. On contracts where the resident engineer is assigned field staff

personnel, the field staff will observe the contractor's daily progress and submit a daily report to

the resident engineer at the end of each day. The resident engineer will in turn incorporate the

information from the field inspector’s daily report into one encompassing daily project report. If

the resident engineer has several field inspectors working on the project, the resident engineer will

be responsible for collecting daily reports from each field inspector and consolidating the

information into the contract daily report no later than noon time of the following day. If the

resident engineer is the sole person on the contract, he/she is responsible for entering the

contractor's progress at the end of each work day.

The purpose of the contract daily reports is to have an accurate account, on a daily basis, of the

events which occur throughout the life of the construction contract. It is the responsibility of the

resident engineer to maintain these reports and to ensure that they reflect the contractor's daily

progress and the events of the day.

The resident engineer should attempt to document information as soon as it is known. The resident

engineer should contact the construction coordinator if he/she has any questions or requires

information unavailable to the field staff. The resident engineer shall consider that each report

refers to a specific date of the contract. Each report shall be dated and numbered consecutively.

2-4

The information entered into the daily reports must be concise and as detailed as possible. The

resident engineer is urged to use as many pages as required to avoid the possibility of not including

vital information relating to a particular day's progress or to the overall construction of the project.

The following is an outline on how to fill out a daily report for a construction contract. Each day

the resident engineer shall record the date, the hours the contractor worked on the job site and the

weather conditions during the day. The resident engineer must enter the actual hours worked by

the contractor, not the hours worked by resident engineering staff or the consultant's field staff. If

the contractor only worked a half a day, it should be noted along with a reason for it (i.e.,

Contractor stopped work at noontime due to heavy rains). If the contractor was rained-out although

his management staff worked in the field office the entire day, the hours worked by the contractor

would be none. It is the hours worked relative to the physical progress of the work that shall be

recorded. The resident engineer will then proceed to enter the following contract information, as a

minimum.

Item Entry / Subject 1. Personnel(MWRA) on job 2. Survey Parties 3. GC's Labor & Equip. Force

3a. Subcontractors Forces 4. General Contractors Progress 4a. Subcontractors Progress 5. Contact w/MWRA Officials

5a. Contact w/Consultants 5b. Contact w/Government Officials 6. Contact w/General Contractor 7. Contact w/Utility & Public Officials 8. Contact w/General Public 9. Materials Testing 10. Change Orders 11. Claims and Disputes

2-5

12. Right of Way Matters 13. Accidents/Complaints/Safety Matters 14. Job Photographs 15. Traffic Maintenance 16. Miscellaneous

The items listed above reflect the information of the contract which the resident engineer is

required to report on a dally basis. The resident engineer will end his/her entries to the daily report

with a signature, title and date. Daily reports filed electronically shall contain a form of the

resident engineer’s signature electronically.

To avoid redundancy, the resident engineer will need only to update an entry/subject when it

changes. With each subsequent day of that week, the resident engineer will compare the entries of

the previous day with those of the present day, and record only the changes that appear. For

instance, if the contractor's equipment and labor force has not changed from Monday to Tuesday,

then Tuesday's entry would include a "No Change” comment. However, if there were a change in

the contractor's equipment and labor force, then the resident engineer is expected to make the

appropriate entries in his/her daily report. Exhibits 2-A.1 through Exhibit 2-A.3 are examples of

the resident engineer’s daily report.

2-6

EXAMPLE

CONTRACT DAILY REPORT

SOUTHERN POINT CSO FACILITY EAST WATER STREET

DORCHESTER, MA

Page 1 of 2

WEATHER Clear & Mild CONTRACT No. 6759

TEMP. Min. 50° MAX. 68° Daily Field Report No. 10

Contractor Work Hours

7:00 AM to 3:30 PM DATE: Monday April 4, 2011

ITEM CHECKLIST

1. MWRA Personnel 2. Survey Crew 3. GC Labor & Equip. 3a. Sub-Contractor L & E 4. GC Progress

4a. Sub-Contractor Progress 5. Contact w/MWRA 5a. Contact w/Consultant 5b. Contact w/ Gov. Official 6. Contact w/GC

7. Contact w/Utility & Public Officials 8. Contact w/General Public 9. Material Testing 10. Change Orders 11. Claims & Disputes

12. Right of Way 13. Accidents/Complaints/ Safety Matters 14. Photographs 15. Traffic Maintenance 16. Miscellaneous

1. MWRA Personnel: W.W. Waterman, R.E. (SCE)

H. Hudunit, O.E. (JCE) S. Sugarman, F.E. (JCE)

D. Likem, F.E. (GCI) 2. G. Whizz Surveyors: Art Alldone, Chief Herb Sawit, Transitman Ben Ball, Rodman 3. General Contractor

Labor Equipment 1 Superintendent 1 Pickup (2010 Ford F-150) 1 Engineer 1 Backhoe (Komarsu WB 150-2) 2 labor F.Man 1 Front End Loader (Cat 938G) 1 Carp. F.Man 1 Crane (Hydraulic-Pettibone 360) 8 laborers 1 Bulldozer (Cat 939C) 6 Carpenters 1 Power Saw 4 Operators, 1 Driver 1 Equipment Trailer 2 Ironworkers 1 Truck (Mack, 10-Wheel)

EXHIBIT 2-A.1a

2-7

EXAMPLE

CONTRACT DAILY REPORT Page 2 of 2

3a. E. Z. Electric: LABOR EQUIP. (MBE) 2 Electricians Util. trailer 1 Apprentice (1) Pipe Bender Ajax Plumbers: 2 Plumbers Util. Trailer (WBE) 2 Journeymen Weld. Machine

4. General Contractor has 2 Crews working on forming FDN Walls for the Pump Station, and one crew working on clearing and grubbing at So. East Part of the Site of Pump Sta.(Ref#1001-53). Also, Contractor started excavating & installing new 48” R.C.P. on East Water St. from Sta. 109+00 to Sta. 109+75, and 2 CIP Manholes, (Ref#1031-15). Forming Crew – 3 Carps., 2 Laborers, 1 Ironworker, 1 Operator.

Clearing Crew – 4 laborers, 2 Opers. Pipe Crew – 4 laborers, 1 Oper., 1 T-Driver 4a. Electricians installing underground conduit within base slab and Plumbers installing waste

service pipe. (Ref# 1031-15). 6. Set up Schedule for monthly progress meeting w/supt. – J. Calahann. Reminded Contractor (J. Calahann) that certified payrolls are not being received on a

Bi-Weekly basis as required. 7. Boston Gas Co. Identified gas lines on East Water Street along new sewer route. (Nick Spilane, Proj. Manager – So. Boston Area) 9. Contacted Will Forgetit of Best Testing and Advised him that FDN. Walls are expected to

be poured on Thursday, 4/7/11. 13. See memo to J. Trainor Dated 4/4/11 regarding complaint by Clam Clan Alliance. 15. Police Detail on E. Water Street by Officer D. Tracy, badge # 6137 from 8:00 to 3:30.

��

��

EXHIBIT 2-A.1b

2-8

EXAMPLE



DORCHESTER, MA

Page 1 of 2

WEATHER Cloudy & Rain CONRACT NO. 6759



7:00 AM to Noon DATE: Tuesday April 5, 2011

ITEM CHECKLIST






H.Whudunit, O.E. (JCE) – Called in Sick today. S. Sugarmain, Insp. (JCE) – Left at Noon time.

D. Likem, Insp. (GCI) 2. Same as 4/4/11. Crew left at Noon time.

3. & 3a. No change in Equipment and Labor from 4/4/11.

4. & 4a. General Contractor began working in same areas as 4/4/11 but little progress was

made due to heavy rains. Contractor called off work at noon due to inclement weather.

6. Advised contractor (J. Callahan) that he is responsible for the protection of his

work in case the weather gets any worse. See email dated 4/5/11, Ref.#10729.

EXHIBIT 2-A.2a

2-9

EXAMPLE


Page 2 of 2 10. The Contractor indicated the material in the field where the 48” RCP line is to be

installed unsuitable and does not agree with the borings included in the specifications. Relayed this information to Construction Coordinator and Home Office. See memo Ref# 10737 , dated 4/5/11.

��

��

EXHIBIT 2-A.2b

2-10

EXAMPLE



DORCHESTER, MA

Page 1 of 1

WEATHER Heavy Rain CONTRACT NO. 6759

TEMP. Min. 30° Max. 60° Daily Field Report No. 12


No Work this date. DATE: Wednesday April 6, 2011

ITEM CHECKLIST





1. MWRA Personnel: Same as 4/4/11 2. Not on site this date. 3. & 3a. Equipment same. No Labor on site this date.

4. & 4a. Due to heavy rain General Contractor did not work.

9. Called Will Forgetit at Best Testing Co. and advised him that the concrete

placement has been re-scheduled for Monday 4/11/11 at the earliest. He will check in with me on Friday to confirm placement is on Monday.

10. See email, Ref.#10732, Dated 4/5/11 to J. Trainor regarding differing site

conditions surrounding the installation of the 48” RCP.

��

��EXHIBIT 2-A.3

2-11

2. DAILY REPORTS

2.2 DAILY WORK FORCE ACCOUNT

The "Contractor's Daily Workforce Account" is a special form offered as a time saving feature for

recording the contractor's labor and equipment on site, on a daily basis. This feature is optional to

the resident engineer. If the resident engineer chooses to use the form, it must be filled out on a

daily basis, for each day of the contract. The completed forms must be stored in a separate folder,

note book or three-ring binder for easy access.

The form itself is a double sided form and is included in the Appendix of this manual. The front

side outlines labor and equipment most commonly found on a construction site. The back side of

the form provides ample room for the resident engineer to record any comments regarding labor

and equipment on the job site. The Work Force (WF #) assigned to the form shall correspond to the

contract number and daily report number.

Exhibit 2-B.1 is an example of how this form is used to record the daily labor and equipment. First,

the date is entered at the top of the form. Next, the contractor’s names are placed at the top, vertical

area. This area is reserved for the contractor(s) who is on site and performing work. The actual

quantity, for either labor or equipment, is entered in its respective column and line. If there is a

particular labor description or piece of equipment which is not listed on the form, it should be

added in the area designated. The resident engineer is to identify each piece of equipment as

detailed as possible (i.e. name, model, year). At the bottom of the page the resident engineer is to

enter the daily report number, which the above work force pertains to, and signs and dates the

2-12

form. Backup information should be recorded on the backside of the form.

In Exhibit 2-B.1, the date shown is April 4, 2011. There are three contractors on site (Northern

Continental, E. Z. Electric and Ajax Plumbing). The work force for Northern Continental was; one

superintendent and engineer, 2 labor foreman, 8 laborers, 1 carpenter foreman, 6 carpenters, 4

operators, 1 truck driver and 2 ironworkers. The workforce for E. Z. Electric was; two electricians

and one apprentice (1st year). The workforce for Ajax Plumbing was; two plumbers and two

journeymen. The equipment for Northern Continental included a 2011 pickup truck, a power saw,

a 580E backhoe, a 5 cubic yd. front end loader, a Mack 10 wheel truck and a 40 foot storage trailer.

E.Z. Electric also had a storage trailer and a mechanical pipe bender. Ajax also had a utility trailer

and welding machine. The above workforce is referenced to daily report number 10. The resident

engineer, Wally Waterman signed the form on April 5, 2011. Note: Idle equipment is not listed in

this section but in the comment section of the back page. The equipment which appears on the

workforce account form should only be the equipment utilized on site and not equipment such as

small tools.

Exhibit 2-B.2 Indicates there were four comments made by the resident engineer. Comment 1

indicates that there was a labor compliance spot check made by Sally Sugarman and no

discrepancies were discovered. Comment 2 notes that the 580 backhoe broke down once again.

Comment 3 notes a laborer went home sick at approximately 10:30 AM. Comment 4 lists any idle

equipment on the job site.

On the backside of the form the resident engineer is encouraged to make whatever comments

2-13

he/she wants regarding the equipment and/or labor matters. For instance, the resident engineer

may want to enter the names of persons belonging to a particular work crew or a piece of

equipment which is not operational or perhaps he may want to note a delivery of materials and the

labor and equipment involved in the delivery, etc.

An example of how this WF Account form is used by the Resident Engineer on the Daily Report is

indicated in Exhibit 2-B.3a and 2-B3b. Note the example used is a record of the daily activities by

the resident engineer for April 4, 2011. Notice it is very similar to the entries shown in Exhibit

2-B.1 with the exception of Item's 3 and 3a. In this example the labor and equipment forces are

recorded using the "Contractor's Daily Workforce Account" form. The comment "See WF #

6759-10" refers to the form number as shown in Exhibit 2-B.3a. This type of a comment found in

the resident engineer’s daily report indicates the field staff is utilizing the Contractor's Daily

Workforce Account forms in lieu of entering the job's labor and equipment on a daily or weekly

basis.

Exhibit 2-B.4 shows another example in which Contractor's Daily Workforce Account form can be

illustrated. In this example the resident engineer shows neither the Contractor or subcontractors

came to work due to rain (Even though there was no work on this day, the resident engineer is still

required to submit and record a daily report).

2-14

E X A M P L E W F # 6 7 5 9 - 1 0

CONTRACTOR’S DAILY WORKFORCE ACCOUNT

Date: 4 / 4/ 11 p. 1 of 2

LABOR N

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Con

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E Z

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Aja

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Nor

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jax

Plum

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SUPERINTENDENT 1 CAR ASSIST. SUPER PICKUP (2011) 1 ENGINEER 1 POWER SAW 1 LABOR FOREMAN 2 FINISHING MACHINE CARP. FOREMAN 1 MOTAR MIXER CARPENTER 6 PIPE CUTTER BRICKLATER LIGHT PLANT PLUMBER 2 MOTOR BUGGIES ELECTRICIANS 2 BACKHOE (580E) 1 LABORER 8 BACKHOE ( ) WELDER BULLDOZER (1160) 1 LOADER OPR. 1 FRONT END LOADER

( 5.0 c.y. ) 1

OILER BULLDOZER OPR. 1 CONCRETE PUMP TRUCK DRIVER 1 COMPRESSOR TECHNICIAN PUMP ( ) CRANE OPERATOR 1 TRUCK (MACK 10) 1 GENERATOR OPR. SCRAPER BACKHOE OPR. 1 GRADER COMPRESSOR OPR. ROLLER PUMP OPERATOR GENERATOR DOCKWORKER CRANE (MECHANICAL) SANDHOG WORKER CRANE (HYDRAULIC) 1 IRONWORKER 2 WELDING MACHINE 1 CEM. FIN. FOREMAN BOBCAT CEM. FINISHER JACK HAMMER PAINTER CONC/BIT. PAVER SHT. METAL WORKER COMPACTOR ROOFER VIBRATOR PIPEFITTER FORKLIFT PILE DRIVER PILE HAMMER MILLWRIGHT ROAD SWEEPER MINER TRAILER (EQUIP) 1 HELPER 1 TRAILER (UTILITY) 1 1 JOURNEYMEN 2 MECH. PIPE BENDER 1

Contract Daily Report No. 10 ��

EXHIBIT 2-B.1

2-15

�� E X A M P L E W F # 6 7 5 9 - 1 0

CONTRACTOR’S DAILY WORKFORCE ACCOUNT�

Date: 4 / 4/ 11 p. 2 of 2 = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = =

COMMENTS:

1. A labor compliance check was performed by Sally Sugarman on Ajax Plumbing employees. Sally interviewed; Jose Pina, Rod Sanchez, Kelly Rossi and Leroy Washington. No discrepancies were reported. 2. The 580 Backhoe broke down for the third day in a row. 3. 1 Laborer went home sick today at approximately 10:30 AM. 4. Idle equipment: Bulldozer (1160); Hydraulic Crane.

EXHIBIT 2-B.2

2-16

EXAMPLE



DORCHESTER, MA

Page 1 of 2

WEATHER Clear & Mild CONTRACT NO. 6759



7:00 AM to 3:30 PM DATE: Monday April 4, 2011

ITEM CHECKLIST






H. Hudunit, O.E. (JCE) S. Sugarman, F.E. (JCE)

D. Likem, F.E. (GCI) 2. G. Whizz Surveyors: Art Alldone, Chief Herb Sawit, Transitman Ben Ball, Rodman

3. & 3a. See W.F. # 6759-10

4. General Contractor has 2 Crews working on forming FDN Walls for the Pump Station, and one crew working on clearing and grubbing at So. East Part of the Site of Pump Sta.(Ref#1001-53). Also, Contractor started excavating & installing new 48” R.C.P. on East Water St. from Sta. 107+00 to Sta. 109+75, (Ref#1031-15). Forming Crew – 3 Carps., 2 Laborers, 1 Ironworker, 1 Operator.

Clearing Crew – 4 laborers, 2 Opers. Pipe Crew – 4 laborers, 1 Oper., 1 T-Driver

EXHIBIT 2-B.3a

2-17

EXAMPLE


Page 2 of 2 4a. Both electrical & Plumbing Subs are installing underground conduit for base slab

(Ref# 1031-15). 5,5a,5b: No Contact 6. Set up Schedule for monthly progress meeting w/supt. – J. Calahann.

Reminded Contractor (J. Calahann) that certified payrolls are not being received on a Bi-Weekly basis as required.

��

��

EXHIBIT 2-B.3b

2-18

E X A M P L E W F # 6 7 5 9 - 1 2


Date: 4 / 6/ 11 p. 1 of 2

LABOR N

orth

ern

Con

t.

EZ

Ele

ctri

c

Aja

x Pl

umbi

ng

Nor

ther

n C

ont.

EZ

Ele

ctri

c

Aja

x Pl

umin

g

SUPERINTENDENT CAR ASSIST. SUPER PICKUP 1 ENGINEER POWER SAW 1 LABOR FOREMAN FINISHING MACHINE CARP. FOREMAN MOTAR MIXER CARPENTER PIPE CUTTER BRICKLATER LIGHT PLANT PLUMBER MOTOR BUGGIES ELECTRICIANS BACKHOE (580E) 1 LABORER BACKHOE ( ) WELDER BULLDOZER 1 LOADER OPR. FRONT END LOADER

( ) 1

OILER BULLDOZER OPR. CONCRETE PUMP TRUCK DRIVER COMPRESSOR TECHNICIAN PUMP ( ) CRANE OPERATOR TRUCK (MACK 10) 1 GENERATOR OPR. SCRAPER BACKHOE OPR. GRADER COMPRESSOR OPR. ROLLER PUMP OPERATOR GENERATOR DOCKWORKER CRANE (MECHANICAL) 1 SANDHOG WORKER CRANE (HYDRAULIC) IRONWORKER WELDING MACHINE 1 CEM. FIN. FOREMAN BOBCAT CEM. FINISHER JACK HAMMER PAINTER CONC/BIT. PAVER SHT. METAL WORKER COMPACTOR ROOFER VIBRATOR PIPEFITTER FORKLIFT PILE DRIVER PILE HAMMER MILLWRIGHT ROAD SWEEPER MINER TRAILER (EQUIP) 1 HELPER TRAILER (UTILITY) 1 1 JOURNEYMEN MECH. PIPE BENDER 1

Contract Daily Report No. 12 ��

EXHIBIT 2-B.4a

2-19

EXAMPLE

W F # 6 7 5 9 - 1 2


Date: 4 / 6/ 11 p. 2 of 2

= = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = =

COMMENTS:

EXHIBIT 2-B.4b

2-20

2. DAILY REPORTS

2.3 FIELD INSPECTOR'S DAILY REPORT

The purpose of the field inspector’s daily progress report is to have a record of what is being

performed by each work crew as observed by an MWRA field engineer or field representative.

It is the responsibility of the field inspector to observe the contractor's progress on a daily basis.

The means by which the field inspector will record the progress performed is through the use of a

"Daily (Manifold) Report Book". For the remaining part of this section we will refer to the Daily

Report Book as the manifold book.

The manifold book is the most effective method for a field inspector to record the daily events on a

construction job site. Basically, the manifold book is the means by which the field inspector

communicates to the resident engineer, although, the manifold book can have many other uses on a

construction site. For example; the manifold book can be used to log extra work orders, to record

delivery of materials, to keep track of pay quantities, to perform specific calculations, and to draw

sketches. However, in this Section it will be primarily used to record the daily progress of the

contractor as observed by an MWRA field inspector. The manifold book may or may not be

necessary on all construction contracts.

On jobs that require one or more persons performing the inspection, the use of the manifold book is

mandatory. On jobs where there is only one person assigned to a contract, the resident engineer

2-21

would observe the contractor's progress and maintain a daily report, therefore, the need for

maintaining a separate manifold book is not necessary. However, if the resident engineer wishes to

utilize the manifold book to record Pay Item quantities, he/she may do so.

On projects where the resident engineer has been assigned a field staff, it is the responsibility of the

resident engineer to ensure that all field inspectors utilize the manifold book as a way of reporting

daily events on the work site. The field inspectors shall promptly submit their daily report(s) to the

resident engineer at the end of the work day. The resident engineer will, in turn, review and

summarize the field inspector’s notes and record the information into the contract daily report.

The contract daily report and manifold book are similar because they serve the same purpose.

However, unlike the contract daily report, the manifold book is considerably smaller and each

manifold book is uniquely numbered. The approximate size of the manifold book is 5" x 7". It is a

hard cover, bound book with numbered pages. The pages of the manifold book are sets of

alternating white (original) and blue (copy) pages. Every two pages have the same reference

number located in the upper right hand corner of the page, starting with the white page. There are

approximately 75 pages per book, beginning with number one. The first page (white/original

sheet) of the two page set has a carbonized backing. This allows what is written on the first page to

be automatically transferred to the second page (blue/copy sheet). The first page permanently

remains a part of the manifold book. The second page is perforated at the top of the page so it can

be removed. This is the page the field inspector submits to the resident engineer each day. In some

cases the resident engineer may want to forward copies of these blue sheets to the construction

coordinator. This way the project has one set with the field inspector in his manifold book, one set

2-22

in the field office and another at the home office.

Exhibit 2-C.1 is an example of the first page (white/original sheet) of a manifold book. The book

number appears on the front cover and the spine area of the book. In this case we are using

manifold book #1001, and the page being displayed is page #53. Note: When you combine the

book number and the page number you arrive at a number unique to itself known as the "Reference

Number". This number is used as a cross-reference aid and is often referred to in the contract daily

reports and the quantity control ledger. Exhibit 2-C.1 indicates the reference number for this page

is 1001-53. Just below the reference number is a place to enter the MWRA contract number. To the

left of the contract number is a space provided for the date. The body of the page is where the field

inspector enters the contractor's daily progress. At the bottom right hand corner the field engineer

signs and enters his/her title. If the field inspector uses more than one page in preparing the daily

report, he/she shall number each page appropriately (i.e., page 1 of 3, page 2 of 3, page 3 of 3, etc.).

The field inspector needs only to sign the last page of the report.�

Attached to the inside cover of the manifold book is a list of topics which the field inspector shall

address at the end of each day (See Exhibit 2-C.2). This listing is offered as a guideline for the field

inspector. In making out his daily report, the field inspector is to review each item and respond

accordingly. The field inspector shall address each topic including topics where no activity

occurred.

The following is a brief overview of the ten items offered in the guideline: Item #1 requires the

field inspector to enter the date for which the report is being prepared, the overall weather

2-23

conditions for the work day and the temperatures at least twice a day. Item #2 is where the field

inspector enters the MWRA contract number (The MWRA contract number can be obtained

through the resident engineer or the construction coordinator and is listed on the title sheet of the

contract documents). Item #3 requires the field inspector to enter the name of the contractor he/she

is observing and whether it is a general contractor or a subcontractor. Also, the field inspector shall

identify whether the work being performed is contract work or work which is extra work beyond

the limits of the contract. Item #4 requires the field inspector to identify, as specifically as possible,

the contractor's labor force and equipment performing the work. If the contractor's labor and

equipment force does not change from day to day within a given week, the field inspector simply

indicates there was no change on his daily report. However, at the beginning of each week the field

inspector must make out a complete listing of the contractor's labor and equipment force. Each

subsequent day that there is no change, the field inspector need only refer to the reference number

of the daily report which lists the labor and equipment. Item #5 requires the field inspector to relate

the work being performed to a specific pay item of the contract, or a specific line item of the

approved schedule of values.

At the end of each work day the field inspector shall measure up and quantify the work completed.

For example, "Pay Item 4.c - Installed 75 1.f. of 48" R.C.P., from Sta.109+00 to Sta. 109+75., or

Pay Item 5.a, 2 of 2 C.I.P. manholes, one at Sta. 109+00 and one at Sta. 109+75." Item #6 indicates

the type of work and where it is being done. Item #7 requires the field inspector to document all

tests performed or any special arrangements relating to the work being performed. The field

inspector must be as specific as possible in identifying what test or other work was done. Item #8

requires the field inspector to identify visitors or incidents which occur throughout the work day.

2-24

Visitors should be identified by name, the organization they represent and the purpose of their

visit. Any complaints, accidents or reports of damage shall be followed-up by a report to the

resident engineer or the construction coordinator. It is the responsibility of the field inspector to

prepare a report on any incident no matter how insignificant it may seem. Item #9 requires the field

inspector to ensure the quality of work being performed by the contractor is as specified under the

contract. Item #10 requires the field inspector to enter his/her signature and title to conclude the

report.

Exhibit 2-C.3 is an example of how the manifold book is to be maintained by the field inspector.

This particular report relates to the resident engineer's report entered in the contract daily report for

April 4, 2011, see Exhibit 2-A.1, on page 2-6 above. Note: in the second sentence of Item #4,

which describes the progress being performed, there is a reference number that indicates the book

and page of the field inspector's manifold book. This reference number serves as a cross-reference

mechanism which exists between the contents of the resident engineer's contract daily report and

the progress reported in the field inspector’s manifold book. The field inspector should be made

aware of the fact that the manifold report book, if utilized properly, is one of the most important

written legal records documenting work performed under a given construction contract. Such

records, maintained with neatness and clarity, can be a favorable deciding factor during disputes

and protects the interests of the Authority. The resident engineer relies very heavily on the field

inspector to provide complete and accurate information of the progress being made by the

contractor and the overall project in general.

2-25

DAILY (MANIFOLD) REPORT BOOK

Date Line

No. 1001-53

___________ Contract No. ________________

Reference Number MWRA Contract Number

/s/ ___________________

___________________ TITLE

Field Inspector’s Signature

EXHIBIT 2-C.1

2-26

***MANIFOLD BOOK GUIDELINE***

1. The date, weather and temperature of the day.

2. The contract number.

3. The name of the Contractor or Subcontractor on a day to day basis. Also, if

the work being performed has anything to do with extra work, or possible

extra work, it should be identified as such.

4. The work force performing the work (being as specific as possible).

5. Relate the work being done with the Contract Pay Item number and Pay

Item Name. In the case of work being done as part of lump sum; relate it to

the Schedule of Values item name and number.

6. The location and description of the work being performed.

7. Any information pertinent to the work observed such as; concrete cylinders

made, air meter or compaction tests, samples taken, etc.

8. Any information pertinent to the construction contract such as; visitors to

the work site, accidents, complaints, reports of damage, if photographs were

taken, etc.

9. Record any irregularities regarding the work being performed.

10. At the end of the daily entries the signature and title of the field inspector is

required.

EXHIBIT 2-C.2

2-27

No. 1031-15

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TITLE

EXHIBIT 2-C.3

2-28

2. DAILY REPORTS

2.4 FIELD INSPECTOR’S PAY SLIPS

The resident engineer or his/her designee is responsible for documenting the quantities of work

performed by the contractor as they relate to the contract bid items or approved schedule of values.

At the end of each work day, the resident engineer will incorporate into the Quantity Control

Ledger (QCL) the daily quantities of work accomplished by the contractor for that day. If the

resident engineer has one or more field inspectors assigned to the project, each field inspector is

responsible to promptly submit his/her daily quantities to the resident engineer at the end of the

work day. All quantities will be tabulated in the QCL. These quantities submitted may either be

partial or final quantities. Partial quantities may be represented as an estimated portion of the

original bid unit or a percentage of lump sum prices of an approved schedule of values. Final pay

quantities must be field measured or calculated according to the units of the contract or the

established cost of the schedule of values. If final field quantity of a unit price bid item differs from

the original bid quantity, the field inspector shall be required to provide a reason for the item's

overrun or under-run.

Overruns must be reported to the construction coordinator as soon as they become

apparent. Refer to Section 3.1 Partial Pay Estimates for more information on notification.

In addition, under no circumstances shall a payment of a lump sum item exceed 100% of the

Schedule of Value amount.

2-29

There are several ways in which a field inspector may document the actual quantities used for

contract work. One option is to add the information to his/her daily report (Manifold Book) under

line Item No. 5 of the field inspector's guidelines. The quantities shall be clearly defined as

estimated pay quantities as opposed to progress observed and labeled "Pay Item Slip". Also, the

items shall be identified as either partial or final, or estimated or measured quantities. If

calculations are performed to verify a certain quantity, it should be noted where these calculations

can be found (i.e., in the field inspector's survey book or on a QCL Work Sheet or in a calculations

book maintained by the field inspector). From time to time the resident engineer will review the

field inspector's calculations to ensure they are accurate and are being performed correctly.

However, the preferred method to document pay quantities is to record the information on a

separate sheet in the field inspector’s manifold report book or to use a separate Manifold Report

Book just to document pay quantities. This is an ideal method for this purpose for it appears to be

less confusing when attempting to identify quantities, track quantities or to check the calculations

of pay items. The page or pages used by the field inspector to record this information should be

clearly labeled as a "Pay Item Slip". The pay slip information shall include the proper name and

number of the item, the field stations or approximate location of installation and the calculated

quantities.

Also, the pay item slip shall clearly define whether the quantity is an actual, estimated, field

measured or final quantity. The pay slip shall conclude with the field inspector's recommendation

for payment followed by his/her signature and title.

2-30

The resident engineer is to evaluate each of the above methods as to the work being performed and

determine which method better serves the purpose and instruct the field inspectors accordingly.

Exhibit 2-D.1 is an example of the proper format the field inspector is to follow when

recommending quantities for payment using a separate manifold book page. In recording this

information, the field inspector referenced his/her daily progress report (Manifold Book.

#1031-15), regarding the work. This entry acts as a cross-reference feature indicating when this

work was performed, by whom and under what conditions. If we review Exhibit 2-C.3 on page

2-28, it will indicate the first work items under Line Item No.5 corresponds to the above pay item

slip; Item #14a – 14.8 c.y., unsuitable material removed.

Note: By implementing either of the above methods, anyone familiar with the field office

procedures will be able to track the progress of a work item from the QCL, to the pay slip

recommendation, to the field inspector's daily report and to the resident engineer's contract daily

reports.

2-31

TYPICAL EXAMPLE OF A PAY SLIP

USING FIELD INSPECTOR'S MANIFOLD BOOK

No. 1042-10 �� Contract No. ��

!��!��!��!��2��2��2��2�� 2��=��C�(1��+�� 2��=��C�(1��+�� 2��=��C�(1��+�� 2��=��C�(1��+�� 5�� 5&�#�>.��5�� 5&�#�>.��5�� 5&�#�>.��5�� 5&�#�>.��$��$��$��$�DDDD�� 9��&��9��9��&��9��9��&��9��9��&��9�� 7)�/��&��&5�C�(1��+��7)�/��&��&5�C�(1��+��7)�/��&��&5�C�(1��+��7)�/��&��&5�C�(1��+�� 4��7�34�7��4��4��7�34�7��4��4��7�34�7��4��4��7�34�7��4��E��3��)��E��3��)��E��3��)��E��3��)�� (1�#��'��(�� (1�#��'��(�� (1�#��'��(�� (1�#��'��(�� !��3��)��!��3��)��!��3��)��!��3��)��

��

/s/ ��1;��1;��1;��1;�� _B��/��;�B��/��;�B��/��;�B��/��;�

TITLE

EXHIBIT 2-D.1

2-32

2. DAILY REPORTS

2.5 QUANTITY CONTROL LEDGER

The purpose of having a Quantity Control Ledger (QCL) is to provide a procedure for permanently

recording quantities of work performed by the contractor on a construction contract. The QCL is

an up-to-date account of the contract quantities and/or approved schedule of values. It is designed

to aid the resident engineer in the tracking of quantities of the contract. The QCL also serves as a

cross-reference to ensure the work completed and submitted for payment by the contractor is

consistent with the contract quantities. The resident engineer is responsible for maintaining a neat

an orderly QCL throughout the contract. The information recorded in the QCL becomes a

permanent part of the job records. As soon as possible, but no later than 24 hours after the resident

engineer receives pay slips from the field inspector, he/she shall incorporate the information into

the ledger.

The QCL itself is made up of three separate forms; the Title Sheet, the Control Sheet and the Work

Sheet. The resident engineer may create electronic forms to document backup calculations but

shall maintain an updated quantity control ledger sheets in a three ring binder with separators for

easy access. Blank forms of the Title Sheet, Control Sheet and Calculation Sheet are included in

the Appendix of this manual.

Exhibit 2-E.1 is an example of the Title Sheet. The title sheet contains essential information

regarding the type, length and costs of the project. The resident engineer is to enter the required

information at the beginning of the job and update it accordingly. If a new title sheet is necessary,

2-33

the resident engineer provides a new sheet but will retain the old title sheet for historical purposes.

Contract costs may change as modifications and change orders are incurred. The lower right-hand

part of the page shows the Award Date, Notice to Proceed, Contract Time and Completion Date.

This information, once recorded, will not change, however the Revised Completion Date will

depend on whether any time extensions have been granted throughout the contraction duration. At

the end of the project the resident engineer shall complete the form by recording the Substantial

and Final Completion Dates and the Final Contract Price. In addition, the resident engineer shall

attach to the title sheet section copies of any correspondence or information which document any

changes made on the title sheet.

Exhibits 2-E.2a and 2E.2b are an example of the QCL Control Sheet. The quantity control sheet is

designed to keep track of each individual bid item of the contract. In the case of a lump sum

contract, the quantity control sheet is used to keep track of each line item of an approved schedule

of values. Depending on the type of job, the resident engineer shall maintain at least one control

sheet for each bid item or line item of the schedule of values. If the contractor submits a breakdown

of the schedule of values where the line items are broken down according to work disciplines, it is

suggested the resident engineer maintain a separate quantity control sheet for each work discipline.

Exhibits 2-E.2.a and 2E.2.b show how the resident engineer is to maintain a quantity control sheet

for a certain bid item (Item #5b, 48" reinforced concrete pipe - RCP). The quantity of 48" RCP to

be installed is 3500 l.f. and the bid price is $280.00 per lineal foot.

The body of the form is where the information is to be entered. At the left-hand column is where

2-34

the date the work was completed is entered. In this example, the installation began on April 6th and

was continuing on through May 20th. The next two columns show the book and page number of

the field engineer's pay slip or Item 5 of the daily report. Note that manifold book No.997 was used

from 4/6 to 4/20 and manifold book No.1029 starting on 4/21 to 5/20. The next column indicates

the initials of the field inspector providing the information. In this example, the information was

provided by Sally Sugarman (S.S.). The fifth column from the left indicates the location of the

work. In this example, the general location is East Water Street followed by the exact stations

where the installation was performed. The next two columns show what quantity of pipe was

installed that day and the cumulative total of pipe installed to date. The next column indicates the

pay period in which the pipe was installed. In this example, 398 lineal feet of 48” RCP was

installed and paid under Pay Estimate No. 1 and a total of 1055 l.f. of pipe was paid to date under

Pay Estimate No.2 (398 l.f. during the first pay period plus 657 1.f. during the second pay period

for a total of 1055 l.f. to date). The next column; Total Quantity is where total measured quantity or

the final quantity is recorded. This column is where the resident engineer, either by actual field

measurement or by calculations, verifies the quantities submitted by the field inspector. If the

measured quantity differs from the cumulative totals offered by the field inspector, the resident

engineer shall recommend the measured quantity for payment. The final (Total) quantity must be

balanced with the original bid quantity. If it is a bid item, any overruns and under-runs must be

explained in writing. If it is a lump sum line item, it must not exceed 100% complete. The last

column on the right is used to enter whatever comments or remarks there may be relative to the

work being performed.

Exhibit 2-E.3 is an example of the Work Sheet form. This form is used as backup or support

2-35

document to the Control Sheet. The work sheet is a form made up of a 5 1/2 inch by 10 inch

quadrille ruled face. The grids are 1/4 inch. The work sheets are often used as a supplement to the

field engineer's field survey book in determining quantities. It can also be used for records of work

performed in the field, i.e. sketches, diagrams, dimensions, elevations, tabulations, and types of

notes which will justify the quantities being requested by the contractor. All Work Sheets shall be

cross-referenced to the Control Sheet associated with the work. In this particular example, page 1,

we show actual measured quantity for the installation of the 48" RCP line for Pay Period #1 and

Pay Period #2. All information relating to the 48" RCP line appears on the sketch; including

manhole installations, boulder and unsuitable material removal. There are additional references

made to other Work Sheets regarding the boulder and unsuitable removal. Note: at the upper left

corner of the sheet, next to the word “Worksheet” the number 1 appears. This indicates that this

particular Work Sheet was the first work sheet used on the project. Each subsequent work sheet

shall be numbered in a sequential manner.

Exhibit 2-E.4 is another example of how a Work Sheet can be utilized. In this case calculations are

performed to determine the actual quantity of unsuitable material removed from Sta. 82+35 to Sta.

82+51. A comment is added to the bottom of the work sheet indicating how the dimensions were

obtained and where they can be found. In the upper left corner appears the number 2; indicating

this sketch was the second work sheet used on the project.

2-36

MASSACHUSETTS WATER RESOURCE AUTHORITY


QUANTITY CONTROL LEDGER TITLE SHEET

MWRA Contract No. 6759 EPA/DEP Project No. 250-460-23 Contract: Southern Point CSO Facility Location: Dorchester, MA Contractor: Northern Continental Construction Co., Inc. Resident: Wally Waterman Company: MWRA

Contract Price: $ 16,100,100.00 Award Date: 6/3/11 Approved Change Orders: $ 49,011.00 Notice to Proceed: 8/25/11 Adjusted Contract Price: $ 16,149,111.00 Time of Performance: 721 Days Date of Completion: 2/30/13 Revised Completion Date: 10/3/13 Substantial Completion Date: _______________________ Final Completion Date: _______________________

EXHIBIT 2-E.1

2-37

MASSACHUSETTS WATER ESOURCES AUHORITY

ENGINEERING AND CONSRTUCTION QUANTITY CONTROL LEDGER

CONTROL SHEET

Contract No. 6759 Page 1 of 2 Item No. 5b Item: 48” RCP Sewer Est. Quantity 3,500 LF Price: $280.00 per LF

EXHIBIT 2-E.2a

Refer. Est Date Book Page Insp. Location: East Water Street Quantity To Date No. Quantity Remarks �� 9��9��9��9��9$��9$��9$��9$�� $�$�$�$�� $�$�$�$�� >��)'�.�;�/��+��1/��&(>��)'�.�;�/��+��1/��&(>��)'�.�;�/��+��1/��&(>��)'�.�;�/��+��1/��&(��

�� $�$�$�$�� 9��9��9��9$�$�$�$��9��9��9��9�� 3333�� 9��9��9��9��33339999�� $�$�$�$�� 33339�9�9�9��33339999�� $�$�$�$�� 33339999��33339999�� >&1�#�(>&1�#�(>&1�#�(>&1�#�(��

�� $�$�$�$�� 33339999��33339999�� <�+&��'��=$��<�+&��'��=$��<�+&��'��=$��<�+&��'��=$��

�� 33339999��33339999�� 33339999��9999�� $�$�$�$�� 3333�� $�$�$�$�� 9999��99993333$$$$�� 3$�3$�3$�3$�� A��=��8��-��9�� A��=��8��-��9�� A��=��8��-��9�� A��=��8��-��9��

�� 99993$3$3$3$��3�3�3�3�9999�$�$�$�$�� $�$�$�$�� $�$$�$$�$$�$�� 3�3�3�3�9999�$�$�$�$��3�3�3�3�9999�� $��$��$��$�� 3�9�3��3�9�3��3�9�3��3�9�3��

�� 3�3�3�3�9999��3�3�3�3�9999�3�3�3�3�� $3$3$3$3�� $�3$�3$�3$�3�� $�3$�3$�3$�3�� F�3��E�F��F�3��E�F��F�3��E�F��F�3��E�F��

� �� 3�3�3�3�9999�3�3�3�3��3�3�3�3�9$9$9$9$�� $�$�$�$�� $��$��$��$�� 3�3�3�3�9999$$$$��3�3�3�3�9999�� $�$�$�$�� 3�3�3�3�9999��3�3�3�3�9999�� $�$�$�$�� 3�3�3�3�9999��3�3�3�3�9999�� $�$�$�$�� A��=��8��-��3�9�� A��=��8��-��3�9�� A��=��8��-��3�9�� A��=��8��-��3�9��

�� 3333�� 3�3�3�3�9999��3�3�3�3�9999�� $�$�$�$�� -��3�9$��-��3�9��-��3�9$��-��3�9��-��3�9$��-��3�9��-��3�9$��-��3�9��

�� 3�3�3�3�9999��3$3$3$3$9999�� G�C�(1��+�� G�C�(1��+�� G�C�(1��+�� G�C�(1��+��

2-38

EXHIBIT 2-E.2b

Refer. Date Book Page Insp. Location Quantity To Date No. Quantity Remarks �� 3$9��3$9��3$9��3$9��3$9$��3$9$��3$9$��3$9$� $�$�$�$�� $��$��$��$�� A�=$��8��-��3$9�� A�=$��8��-��3$9�� A�=$��8��-��3$9�� A�=$��8��-��3$9��

�� $$$$�� 3$9$��3$9$��3$9$��3$9$��3$9��3$9��3$9��3$9��

�� 3��3��3��3$$$$9999��3$9��3$9��3$9��3$9�� H�@��H�@��H�@��H�@��DDDD��

�� 3�3�3�3�� 3��3��3��3$$$$9999��3��3��3��3��9999��

�� 3��3��3��3��9999��3��3��3��3��9999��

�� 3��3��3��3��9999��3��3��3��3��9999$$$$�� 3$�3$�3$�3$��

�� 3��3��3��3��9999$$$$��3��3��3��3��9999�� 3��3��3��3�� A��= �A��= �A��= �A��=$+�8��-��3�9��$+�8��-��3�9��$+�8��-��3�9��$+�8��-��3�9��

�� $�$�$�$�� 3��3��3��3��9999��3��3��3��3��9��9��9��9�� $�$�$�$��

�� $�$�$�$�� 3��3��3��3��9999��3��3��3��3��9999��

�� $$$$�� $$$$$$$$�� 3��3��3��3��9999��3��3��3��3��9999�� >&1�#�(>&1�#�(>&1�#�(>&1�#�(��

�� $�$�$�$�� 3��3��3��3��9999��3��3��3��3��9999�� &.��'��=��&.��'��=��&.��'��=��&.��'��=��

�� $�$�$�$�� 3��3��3��3��9999��3��3��3��3��9999�� F�3��EF��F�3��EF��F�3��EF��F�3��EF��

�� 3333�� 3��3��3��3��9999��3��3��3��3��9999�� $�$�$�$�� $$$$��

�� 3��3��3��3��9999��3��3��3��333339999�� $�$�$�$�� $$$$�� A�=��8��-��339�� A�=��8��-��339�� A�=��8��-��339�� A�=��8��-��339��

�� $�$�$�$�� 3��3��3��333339999��3��3��3��333339999�� $$$$��

2-39

MASSACHUSETTS WATER RESOURCES AUTHORITY CONSTRUCTION UNIT

QUANTITY CONTROL LEDGER

WORKSHEET No. 1

Contract No. 6759 Page 1 of 1 Description: Plan View of 48” R C P Sewer Reference: From Sta. 77+00 to Sta. 87+55

��5��)��I��2��=��+�&5�J�<��&��&��'��5��)��I��2��=��+�&5�J�<��&��&��'��5��)��I��2��=��+�&5�J�<��&��&��'��5��)��I��2��=��+�&5�J�<��&��&��'��7�(��;� ��A��7�(��;� ��A��7�(��;� ��A��7�(��;� ��A�� A��=��-��9�� A��=��-��9�� A��=��-��9�� A��=��-��9��C�(1��+�� &/��C�(1��+�� &/��C�(1��+�� &/��C�(1��+�� &/�� &.��'��&.��'��&.��'��&.��'��5&��)1��&�(��5&��)1��&�(��5&��)1��&�(��5&��)1��&�(�� -��9��-��9��-��9��-��9�� A��=$�� A��=$�� A��=$�� A��=$�� >&1�#�(>&1�#�(>&1�#�(>&1�#�(��-��3�-��3�-��3�-��3$$$$9999�� (��&.��'��&.��'��&.��'��&.��'��$�5&��)1��&�(�$�5&��)1��&�(�$�5&��)1��&�(�$�5&��)1��&�(�� A��=�� A��=�� A��=�� A��=��>&1�#�(�>&1�#�(�>&1�#�(�>&1�#�(�� -��3�9��-��3�9��-��3�9��-��3�9��=��=��=��=�� -��3�9�3�-��3�9�3�-��3�9�3�-��3�9�3�� A��=$+ �A��=$+ �A��=$+ �A��=$+ ��!��=��!��=��!��=��!��=��$�3�<K$�3�<K$�3�<K$�3�<K��3��3��3��3��9��9��9��9�� !��=��<K!��=��<K!��=��<K!��=��<K�� $�3�9��$�3�9��$�3�9��$�3�9��E��<KE��<KE��<KE��<K��

Date : � �� Signature: ��

EXHIBIT 2-E.3

2-40


CONSTRUCTION UNIT QUANTITY CONTROL LEDGER

WORKSHEET No. 2

Contract No. 6759 Page 1 of 1 Description: Unsuitable Material Removal Reference: From Sta. 82+35 to Sta. 82+51

Piles of Debris 8’ A = 5 x 4 ÷ 2 = 10 SF B = 8 x 5 = 40 SF 5’=Depth C = Same as A = 10 SF A B C Sta. 82+51 Sta. 82+35 16’ = A+B+C (A + B + C) x W = CF 60 x 5 = 300 CF W 5’= Width 300/27 = 11.11 CY PAY 11.11 CY See Field Manifold Book # , Page 76 for Actual Measurements Taken by Filed Engineer Sally Sugarman

Date : � � � � �� Signature: ��

EXHIBIT 2-E.4

3-1

SECTION 3

INTERIM RECORDS & REQUIREMENTS

PAGE

3.1 PARTIAL PAYMENT REQUEST 3-2

� 3.2 PROGRESS SCHEDULES 3-23

3.3 VIDEO RECORDING AND PHOTOGRAPHS 3-30

3.4 PROGRESS REPORTING 3-33

3.5 SUBMITTALS 3-37

3.6 STORED MATERIALS 3-51

3.7 MANUFACTURER’S OPERATIONS AND 3-57 MAINTENANCE MANUALS

3.8 CHECKOUT, TESTING AND STARUP OF SYSTEMS 3-62

3.9 EQUIPMENT NOMENCLATURE AND 3-81 TECHNICAL DATA

3.10 SUBSTANTIAL COMPLETION 3-87

3.11 RELEASE OF RETAINAGE 3-91

3.12 PUNCH LIST 3-95

3.13 WARRANTY POLICY & PROCEDURES 3-99

3.14 FINAL PAYMENT 3-104


3-2

3. INTERIM RECORDS & REQUIREMENTS

3.1 PARTIAL PAYMENT REQUEST

In the next several chapters, we will introduce more procedures; however, these procedures are

governed by either conditions of the construction contract and/or local, state and federal laws. The

resident engineer should thoroughly familiarize himself/herself with general and supplemental

conditions of the contract when dealing with payments to the contractor, submittals, progress

schedules and stored materials.

IMPORTANT DEFINITIONS:

Partial Payments are also known by other terms such as; monthly pay estimates, payment

requisitions, progress estimates, progress payments, partial pay estimates etc. For simplicity and

clarity, the term "Partial Payment Request" is used throughout this section to indicate periodic

payments to the contractor.

Partial Payment Date is the date the resident engineer signs and dates the partial payment

request. The date also signifies that all quantities being requested have been checked, the required

backup material has been submitted and the payment request is ready to be forwarded to the home

office for processing.

Pay Periods also known as periodic invoicing or monthly requisitions, are intervals at which the

contractor is permitted to submit a partial payment request.

3-3

Performance Date is the point in time during the life of the project where the contractor is

presently at, relative to the physical completion of the work.

Contract Completion Date is the date established under the contract for the contractor to obtain

substantial completion by.

PREVAILING WAGE RATES

In accordance with Massachusetts General Laws, every contractor on a public works project must

pay the prevailing minimum wage rates, as issued by the Executive Office of Labor and Workforce

Development for the construction contract, contained in the Specifications Section 00830 of the

contract documents.

The minimum wage rate, also known as the total rate, is the sum of the following:

Minimum = Hourly + Health + Pension + Supplemental Wage Base Welfare Plan Unemployment Rate Wage Plan Plan On certified Employer contributions Payroll

The employer's contributions to health and welfare plan, pension plan, and supplemental

unemployment plan are known as fringe benefits.

The contractor is required to submit the information for his/her firm and every subcontractor.

The contractor can submit this fringe benefit information in a letter to MWRA before he/she

submits his/her first partial payment request or he/she can submit this information weekly using

the weekly payroll report form in Specification Section 00830 with his/her weekly certified payroll

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records. Should the contractor submit a letter with this fringe benefits information, he/she must

submit separate letters for each subcontractor before he submits a partial payment request that

includes a payment request for the subcontractors. In a chapter 149 contract, the resident engineer

will have to check that the contractor submits this information for all his/her subcontractors as the

job progresses.

PARTIAL PAYMENT PROCEDURE

Prior to the contractor submitting a partial payment request for lump sum projects, the contractor

shall have submitted through the shop drawing procedure a detailed schedule of values identifying

delivered cost, installed cost, and a separate line for any item requiring performance testing or

hydrostatic testing equal to 10% of the total cost of the item, except in the case of pipelines

24-inches and larger this percentage shall be 2% of the total cost of the installed item.

Mobilization and demobilization line items shall contain detail breakdown of all items included

under these portions of the work with specific line item for bond premium and temporary

construction facilities. Mobilization and demobilization are normally set to a maximum limit of

5% of the total contract price. The resident engineer shall review the contract specifications as

described in Sections 01025 Measurement and Payment and 01370 Schedule of Values to verify

the specified set amount. The resident engineer shall be consulted for input into the breakdown by

the construction coordinator but ultimate review and approval will be the responsibility of the

construction coordinator, Home Office and consultant if applicable.

No payment request shall be made by the contractor until such a schedule of values has been

accepted by the Authority.

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The contractor shall submit to the resident engineer for his/her review a partial payment requesting

payment for work completed through the established pay period. The resident engineer shall

promptly review the partial payment upon receiving it from the contractor. The partial payment

shall be accompanied by the required backup material such as; paid invoices, certified payrolls and

other pertinent documents which justify the monies being requested. The frequency for making

payments to the contractor is set forth in the contract and is usually specified to be once a month,

but the pay period dates should be mutually agreed upon by the resident engineer and the

contractor, after consulting with the construction coordinator.

The partial payments shall be based on the amount of work the contractor has completed from one

pay period to the next. Care shall be taken in estimating the value of work completed. The resident

engineer upon receiving the partial payment from the contractor shall confirm the quantities

submitted on the partial payment with the quantities entered in his/her quantity control ledger

(QCL). The resident engineer shall perform a check for value of work completed and computation

of all the figures. The resident engineer shall complete his/her review as soon as possible but no

later than two working days after it is received. Once the review is completed and the resident

engineer signs the partial payment, the partial payment along with backup material shall be

delivered to the home office for cursory review and signatures by the construction coordinator and

the department director. The construction coordinator will forward the partial payment to

Accounts Payable Unit for examination and further processing. Providing there are no errors

discovered, the contractor shall receive a check from the Authority within fifteen days from the

time it is signed by the resident engineer.

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If for some reason the resident engineer does not agree with the quantities submitted on the partial

payment, the resident engineer shall immediately notify the contractor and arrange a meeting in an

attempt to resolve any matters of disagreement. If after meeting with the contractor the matter is

still unresolved, the resident engineer shall notify the construction coordinator to arbitrate the

matter.

Within 10 days after receipt of the contractor's invoice, the resident engineer must either issue a

recommendation for payment (his/her signature and date) or make known to the contractor the

reasons for rejecting the partial payment request. Aside from a quantity dispute, the only other

valid (or acceptable) reasons for withholding payment for work completed are:

1) Defective work not remedied.

2) Third party claims filed.

3) Failure of the contractor to make payments properly to the subcontractors for labor, material or equipment.

4) Reasonable evidence that the work cannot ��completed for the unpaid balance of the contract amount.

5) Damage to the Authority or another contractor.

6) Reasonable evidence that the work will not be completed within the contract time.

7) Failure to carry out the work in accordance with the contract

documents or other default by the contractor, or failure of the

contractor to comply with any provisions of the contract documents,

including failure to submit certified payrolls for two weeks previous

to the payment request.

8) Actual or anticipated claim% for damages for delay.

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The resident engineer has the option to withhold monies for defective workmanship or failure to

correct deficiencies; however, the amount of funds withheld shall not exceed the equivalent value

of the items for which monies are being withheld.

The resident engineer shall not recommend payment, partial or otherwise, for change order

work for which the resident engineer does not have an executed copy of the change order in

hand.

The resident engineer shall deduct retained percentages in accordance with the provisions of the

contract. Generally, the percentage withheld for Authority contracts is five percent (5%).

If the performance date covered by the estimate extends beyond the contract completion date as

modified and substantial completion has not been achieved, liquidated damages may be deducted

in accordance with the terms of the contract. However, the construction coordinator should be

advised of the situation before this is done. When it is known that the contractor is entitled to

additional time under the contract, liquidated damages shall not be withheld from monies due the

contractor. When liquidated damages are assessed, the resident engineer shall attach a statement of

facts to the partial payment. Liquidated damages for construction contracts vary. Specification

Section 00500 typically states the contract amount per day.

At the end of each contract with Bid Items, a balancing change order is required to officially

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increase or reduce the estimated bid quantities to reflect the actual quantities. More on the topic of

balancing change order is provided in Section 3.15 Contract Closeout.

PROCESSING A PARTIAL PAYMENT REQUEST

The partial payment request package will consist of the following minimum requirements:

Estimates shall be numbered consecutively and shall be submitted for each pay period in which

substantial earnings accrue throughout the life of the contract, with the last estimate marked

FINAL.

There are four parts required to process a partial payment request; 1) a Contractor's Invoice, 2) an

MWRA Summary/Certification Form, 3) a Partial Payment Breakdown and 4) Supporting

Documents package. The following is a detailed explanation of the above four requirements.

1) Contractor's Invoice: is a typical billing invoice on a contractor's letterhead addressed to the

MWRA. The invoice should contain the following data; a) the current date b) the partial payment

number c) the pay period d) the amount the contractor is currently billing e) retainage for the

current billing f) the amount to pay for this invoice g) total billings to date h) total retainage

withheld to date i) total payments made to the contractor to date. The invoice should be signed by

an authorized person employed by the contractor who the Authority can direct any questions

concerning the invoice(s). An example of the Contractor's Invoice is as shown in Exhibit 3-A.1 at

the end of this section.�

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2) Summary/Certification Form: is a standard MWRA form which summarizes the partial

payment request being submitted and secures written certification of the contractor that both the

quantities and amounts shown are accurate and correct. Exhibit 3-B.1 is a sample of the MWRA

Summary/Certification form. This form can be computer generated by the contractor or the

contractor can use the MWRA standard form as shown in the exhibit. The contractor is responsible

for the neat and accurate preparation of the summary/certification sheet. Each line item shall be

filled out by the contractor, if applicable. Also, both the resident engineer and the construction

coordinator will certify that they have reviewed the payment request and recommend the payment.

The Director of Construction will approve the payment.

The date the resident engineer signs the summary/certification form begins the interval of time in

which the Authority has to remit payment to the contractor. Both Chapter 30 and Chapter 149

construction contracts have a 15 day time limit between receipt of the partial payment request and

payment by the Authority. To expedite preparation of the contractor's request for partial payment,

and to avoid changes following the contractor's formal submission, the resident engineer and the

contractor should meet just prior to the submission of the request to determine and agree on

quantities/percentages of work and monies to be requested and paid for that pay period. Being

aware of the time constraints, the resident engineer shall "date stamp" the payment request upon

receipt, and promptly review it for correctness. If there are no errors discovered, the resident

engineer shall sign and date it and promptly forward it to the construction coordinator. This

exercise should not take more than two days. If the payment request is not correct and can not be

readily resolved, the resident engineer shall promptly return it along with a memorandum

indicating why, to the contractor for revision and resubmission.

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3) Partial Payment Breakdown: is a tabulation which includes the contract unit quantities and

prices or an approved schedule of values, including any and all change orders executed through the

duration of the contract. The breakdown shall be prepared on a form provided or approved by the

Authority.

The partial payment breakdown shall show the total value of work performed and materials

furnished to date by the contractor and each subcontractor, if any, the value of work completed

during the pay period and the percentage of completion to date for each line item of work.

Exhibit 3-C.1 shows the suggested format for a partial payment breakdown by a given contractor.

This particular payment breakdown is computerized and was generated by the Authority for

example purposes only. The contractor must submit for approval to the resident engineer a format

similar in nature.

On unit price items the resident engineer shall pay particular attention to the quantity completed to

date to ensure an item does not overrun prior to completion of the work. Once a unit price item

attains a completion amount equal to 85% of the total estimated quantity, the resident engineer

shall estimate the required amount to complete the work. If the resident engineer determines that a

projected overrun is apparent, a “Projected Overrun Notification” form shall be completed and

attach to the monthly pay requisition with a copy forwarded to the construction coordinator. This

notification shall serve as the initial documentation for the construction coordinator to assign and

initiate drafting a Proposed Change Order (PCO) for unit price items. Exhibit 3-C.2 is an example

of the Overrun Notification form. The resident engineer cannot pay more than 100% of the item

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until a proposed change order (PCO) and a change order (CO) have been approved.

The resident engineer shall not delay or postpone adjustments to the estimated quantity

amount until the closeout of the project or the balancing change order. Unit price bid

quantities shall be monitored as the project progresses and adjustments made as necessary to bring

the project to a successful completion.

4) Supporting Documentation: is back-up material which accompanies the partial payment

request such as; certificates, paid invoices and other documentation substantiating the

contractor's-right to payment. If applicable, the following supporting documentation shall

accompany each partial payment request.

a). Minority/Women Business Enterprise Programs required by Contract.

b). Transfer of Titles - Stored Materials, See Section 3.6

c). Required Backup on Time & Materials Work, See Change Order Work, Section 4.0

d). Notice of Labor Compliance, See Exhibit, 3-D.1 shall be used for

non-federally funded projects. Projects receiving grant funding from the United

States Environmental Protection Agency (EPA) or as part of the American

Reinvestment and Recovery Act (ARRA) program or a similar federally funded

program shall use Department of Labor Form 1445, Exhibit 3-E.1. The resident

engineer shall document that the general contractor and all subcontractors are

complying with the Davis Bacon Act (Contractors Labor Compliance). By law,

every contractor and subcontractor must submit certified payrolls to the Authority

(MWRA resident engineer) every week on all persons working on the project. The

Department of Labor Form wh347, Exhibit 3-E.2a and 3-E.2b shall be used by the

contractor and subcontractor for federally funded projects. The certified payrolls

shall be complete, accurate and current within two weeks from the date of partial

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payment request. The resident engineer shall review the certified payrolls

submitted and maintain them in the project files. The resident engineer shall present

a "Notice of Labor Compliance" form to the construction coordinator, at the time a

request for partial payment is made which documents that the contractor has

submitted certified payrolls.

Note: The Contractor is required to post the contract wage schedule in a conspicuous place at the

jobsite. The resident engineer shall photograph this posting to memorialize compliance with these

state and federal labor regulations.

e). Updated Progress Schedule if required by the contract.

f). Monthly Progress Photographs.

g). Paid Police/Fire Watch Invoices.

Exhibit 3-D.1 is a Notice of Labor Compliance form to be used by the resident engineer for

non-federally funded projects. On the reverse side, Exhibit 3-D.2 is an example of how this form is

to be completed. In addition to reviewing and maintaining the contractor's certified payrolls, it is

the responsibility of the resident engineer to perform, at least once a month, an on-site labor

compliance check and/or interview. This check is made to determine if the workers on the site are

being paid the prevailing Federal/State wage rate. The resident engineer is to summarize his/her

findings on a Labor Compliance Check Report form and submit it to the construction coordinator

for his/her approval. This form should accompany the above mentioned "Notice of Labor

Compliance" document. The Department of Labor, Standard Form 1445 shall be used for this

purpose. Exhibit 3-E.1 is a sample of the form to be used by the resident engineer when performing

a labor check.

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Exhibit 3-E.1 once completed shall include a copy of the field inspector's notes from his/her manifold

report book. The field inspector's notes shall include when the interview was performed, with whom

and if all compliance conditions were met.

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EXAMPLE

NORTHERN CONTINENTAL CONSTRUCTION COMPANY, INC. 7722 MASSACHUSETTS AVENUE

BOSTON, MA 02140

INVOICE

Date: May 6, 2011 Invoice No. 35

MASSACHUSETTS WATER RESOURCES AUTHORITY CHELSEA FACILITY 2 GRIFFIN WAY CHELSEA, MA 02150 ATTENTION: Mr. Jim Trainor MWRA Construction Coordinator RE: Service Meter Project MWRA Contract No. 5398 Partial Payment No. 35 Dear Mr. Trainor, We hereby request partial payment No. 35 for work completed from March 27, 2011 to April 30, 2011 on the above subject project. Amount of Current Invoice Billings $96,605.60 Less 5% Retainage for Current Billings $ 4,830.28 Amount to pay this Invoice $91,775.32 Total Billings to Date $645,981.06 Total Retainage Withheld $ 32,299.05 Total Payments Received $613,682.01

INVOICE Please direct all questions concerning this invoice to: Mr. Bill Blank, Billing Clerk, 1- (800)-555-5678.

EXHIBIT 3-A.1

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PARTIAL PAYMENT REQUEST – SUMMARY/CERTIFICATION

Project: ___________________________________________________ MWRA Contract No.: ___________________________________________ Location:__________________________________________________ EPA/MDEP Project No.: ____________________________________________ Contractor:________________________________________________ Contract Price:____________________________________________________ Consultant:________________________________________________ Contract Date: _______________ Completion Date:_____________

Duration:___________________ Days Estimate For Partial Payment No.: ______ from ________________________ through ______________________ (Date) (Date) Percent Completed: Percent Time Used:

Total Thru Last Estimate: $

This Estimate: $

Total to Date: $

_____ % Retained on $ Equals: $ Other Deductions: $

Brought Forward: $ Total Value of Work to Date: $

Total Value of Work to Date Total Deductions: Amount payable to Date: Less Previous Payments: Amount Payable This Estimate:

COMBINED TOTAL $(_____________)

$(_____________)

$(_____________)

CERTIFICATION

All items, units, quantities and prices of work and/or material shown on this periodic estimate are correct; all work has been performed and materials supplied in full accordance with the terms of the contract documents and all authorized changes thereto; the above is a true and correct statement of the contract account up to and including the last day of the period covered by this estimate and that no part of the “amount payable this estimate” has been received. Certified By:_____________________________ Date:________________________ Contractor

MWRA

___________________________________________DATE: _________________ Resident Engineer ____________________________________________DATE: ________________ Construction Coordinator ___________________________________________DATE: _________________ Director of Construction

EXHIBIT 3-B.1

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Massachusetts Water Resources Authority Periodic Estimate

Contract Name: Estimate No.: MWRA Contract No. Date Prepared: Contractor: Period Covered: Original Completion Date: Time Extensions: days Revised Completion Date: Original Contract Price: Change Orders: Revised Contract Price: Item No. Description Est.

Qty. Units Contract

Price Qty. this Period

Prev. Qty.

Qty. to Date

Amount due This period

Prev. Amount Invoiced

Total Invoiced To date

% Complete

Contract Totals

Original Completion Date: Total for Period: Amount Retained: ________________ Amount Previously Paid: Due this Estimate: Amount due this Estimate:______________________ Total paid to Date:

Amount Previously Retained:

Amount Retained this Estimate: ______________________ Total Retained to Date: Total Invoiced to Date:

EXHIBIT 3-C.1

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EXAMPLE

PROJECTED OVERRUN NOTIFICATION

CONSTRUCTION DEPARTMENT CONTRACT NAME: Upper Neponset Valley Replacement Sewer CONTRACTOR: P. Gioioso & Sons CONTRACT No.: 6191 DATE: 6/14/08 NOTE: This form shall be completed by the Resident Engineer whenever a unit price

quantity completed to date is 85% and a projected overrun is apparent. COMPUTED BY: Bill Martini (Construction Inspector) CHECKED BY: John Doitright (Consultant Resident Engineer) ITEM No: 28 ITEM DESCRIPTION: Rock Excavation PARTIAL PAY ESTIMATE: 12 QUANTITY THIS ESIMATE: 200 C.Y. QUANTITY TO DATE: 600 C.Y. CONTRACT QUANTITY: 700 C.Y. ANTICIPATED QUANTITY TO COMPLETE (ESTIMATED) 300 C.Y. PROJECTED OVERRUN: 200 C.Y. REASON FOR OVERRUN: Due to the location of unforeseen electrical duct on Baker St. the depth of the new sewer was adjusted 2 feet lower resulting in an increase in rock removal from Sta. 3+35 to Sta. 6+35. 300 feet length x 6 feet wide x 3 feet depth/27 = 200 C.Y. CC: Construction Coordinator Design Consultant Field Office File Copy With Partial Pay Estimate

EXHIBIT 3-C.2

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MASSACHUSETTS WATER RESOURCES AUTHORITY C O N S T R U C T I O N D E P A R T M E N T

NOTICE OF LABOR COMPLIANCE To: ______________________________________ Construction Coordinator From: ______________________________________ Resident Engineer Project: ______________________________________ ______________________________________ Contract No.: __________________________ Partial Payment No.: ____________ Date: _________________ ===================================================================== All certified payrolls, current within two weeks from above partial payment request date, which are required to be submitted for work under this partial payment, have been submitted by the Contractor and are on file. ____________________________________ ________________ Resident Engineer Date ____________________________________ Title

EXHIBIT 3-D.1

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EXAMPLE


C O N S T R U C T I O N D E P A R T M E N T

NOTICE OF LABOR COMPLIANCE To: �� Construction Coordinator From: �� Resident Engineer Project: �� Contract No.: �� Partial Payment No.: �� Date: �� ===================================================================== All certified payrolls, current within two weeks from above partial payment request date, which are required to be submitted for work under this partial payment, have been submitted by the Contractor and are on file.

�� Resident Engineer Date

!��"��#�$��!��"��#�$��!��"��#�$��!��"��#�$�� Title

EXHIBIT 3-D.2

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EXHIBIT 3-E.1

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EXHIBIT 3-E.2a

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EXHIBIT 3-E.2b

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3.2 PROGRESS SCHEDULES

As set forth in the contract, the contractor is required to submit to the resident engineer an initial

baseline progress schedule for work to be performed. The contractor's schedule should be realistic

and prepared in detailed form to include all obvious features of work to be accomplished. It is the

responsibility of the construction coordinator and design consultant with input from the resident

engineer to promptly review the contractor's proposed schedule with care. If in the opinion of the

construction coordinator, design consultant and resident engineer, the proposed schedule appears

to be practical and adequate, he/she shall make a recommendation to the contractor accepting the

schedule as the "Baseline Schedule" of record. If the proposed schedule is not sufficiently detailed

and/or does not meet any contract constraints, the contract milestones or the overall completion

date, the construction coordinator shall promptly notify the resident engineer of the apparent

problems concerning the schedule, and have the resident engineer initiate a meeting with the

contractor in an attempt to resolve the areas of conflicts.

Once the Baseline Schedule has been accepted, it should not be modified unless the schedule

becomes unrealistic or if the duration of the project is extended through a change order. It is from

the Baseline Schedule that the contractor's progress is measured.

All other schedules generated from the Baseline Schedule will be referred to as "Progress

Schedules".

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The contractor is normally required by contract to update the schedule on a monthly basis or at the

end of each pay period. These updated schedules shall be consecutively numbered similar to the

numbers of the partial payment requests. The construction coordinator, consultant and resident

engineer shall review the updated schedule to determine if the progress of work is satisfactory. If

the progress of work or scheduled milestones is not in conflict with the contract requirements, the

schedule shall be deemed in compliance and the construction coordinator shall make a

recommendation accepting the updated schedule for that particular progress period. If the updated

schedule does not meet the contract requirements, and the contractor has not offered a valid

explanation, the construction coordinator shall promptly notify the contractor of his/her decision

and return it to the contractor as being unacceptable.

The resident engineer shall post the current schedule somewhere in his/her office and plot the

contractor's actual progress of the work on the schedule, on a daily/weekly basis. If the resident

engineer discovers lack of progress, he/she shall promptly bring it to the construction

coordinator’s and Construction Department’s attention.

On a monthly basis, the resident engineer must prepare a report comparing the contractor's actual

progress with the anticipated progress of the baseline schedule. The report shall be sent to the

construction coordinator and shall summarize all work which has been completed and all work to

be performed in the near future. The report shall also show any delays or anticipated delays and, if

necessary, what actions the contractor is taking to overcome the delays. The above report will be

part of the "Monthly Progress Report" which will be discussed in Section 3.4 of this manual.

3-25

When the contractor has a valid reason for time extension, as approved in a change order he/she

should modify the current schedule to show how and when the remaining work is to be completed.

The modified schedule is to be practical, realistic, logical and show all revised work sequences

affected by the time extension. The modified schedule shall also show the new adjusted milestones

and completion date. The proposed modified schedule is to be reviewed by the construction

coordinator using the same guidelines as reviewing an initial schedule previously mentioned

above. If found acceptable, the modified schedule will then be used as a basis to measure the

contractor's future progress. Once the schedule is accepted the contractor will be required to update

it according to the same requirements as mentioned above.

The Construction Department shall not recommend acceptance of the modified schedule

unless a change order extending the milestone and project completion date(s) has been

executed by the Authority.

When the contractor does not have a valid reason as to why the project is behind schedule, the

construction coordinator shall request the contractor revise the current schedule and show what

action is being taken to complete the remaining contract work within the contract time. If the

contractor can not produce a schedule that meets the contract requirements, the construction

coordinator shall immediately refer the matter to the Assistant Director of Construction. Project

schedules can be generated either by hand or by computer. Most construction contracts require the

schedule be produced by computer, however, on small less complicated projects, a hand drawn bar

chart is acceptable. There are basically two types of schedules: the Bar Chart (Gant) schedule and

the Network Logic Diagram schedule. The most commonly used, and the easier of the two to

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understand, is the Bar Chart. The Bar Chart is a graphic schedule representation using proportional

bars to show the start and completion times of each work activity in a linear calendar format. The

Network Logic Diagram is a more sophisticated type of scheduling where each work activity is

logically interrelated or dependent upon other work activities to form a sequence in which all

activities of the schedule will be performed. The latter schedule is often referred to as a Critical

Path Method (CPM).�

The Early Start and Early Finish dates are generated from the project start date (notice to proceed)

and represent the earliest times in which work on a particular activity can be performed. The Late

Start and Late Finish dates are generated from the project completion date or adjusted/revised

completion date and represent the latest times in which work on a particular activity must be

performed without delaying the contract.

Total float is the difference in time between the Early Start and the Late Start or the difference

between the Early Finish and the Late Finish. If the difference generates a positive number, it

means the work activity has developed float or slack time. Float or slack time is the length of time

that the start of an individual activity may be delayed without impacting the project completion. If

the difference generates a negative number, the work of the activity has fallen behind schedule and

is impacting the completion of the project (Initial Schedules can not have any activities that have

negative float). If the difference generates a zero (0) number, the work of the activity is considered

critical. The work must start on the date scheduled and must finish on or before the scheduled

finish dates or the work will impact subsequent work and the scheduled project completion. All

network logic diagrams generate what is called a "Critical Path". The critical path is made up of all

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work activities having zero float. Generally, it is the longest time path on the schedule. It starts

with the start of construction (notice to proceed) then travels through the schedule in a sequential

manor and ends with project completion. �

The following are some important definitions the construction staff should be familiar with when

dealing with project schedules;

ACTIVITY: The performance of a specific task with resources (time, manpower, equipment,

etc.).

ACTIVITY DESCRIPTION: A short written statement of the work involved in an activity.

BAR CHART: A graphic schedule representation using proportional bars to show the duration of

each work activity in a linear calendar format.

DURATION: The amount of time estimated to accomplish an activity considering the scope of

the work involved in the activity and the resources to be used.

WORK ITEM: Another term for an activity used in some precedence diagrams.

SEQUENCE: The logical order of activities or work items may depend on interdependence or on

the availability of information, authorization, or resources.

NETWORK: Used interchangeably with "diagram". It is a drawing of arrows and boxes or circles

that represent activities and their interdependence. The direction of the arrows indicates the

sequence in which the activities will be performed.

DEPENDENCY: A determining condition factor on a work item or activity (work activity) in a

construction schedule. The work activity may be contingent upon another work activity or upon

nature. This dependence is referred to as "Natural or Physical Dependency". The work activity

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may be contingent upon availability, use, or economics of resources. This is referred to as

"Resource Dependency".

PRECEDENCE DIAGRAMS: A network display of the interrelationships of two or more

construction work items or activities in combination with the time functions involved.

ARROW DIAGRAM: A display of two or more construction activities that show how each

activity depends upon the start or the finish of one or more other activities.

DUMMY ARROW: A broken (dashed) line with arrowhead on a diagram to indicate a restraint

or logical dependency of an activity or several activities. It also is used to establish separate 14

numbers for each activity.

EVENT: A "point in time" in the project schedule that has no duration but at which an activity or

activities may start or finish. It is usually represented by a circle on an arrow diagram. An

identification number is often included in each event circle. The activity arrow always starts and

finishes at events.

I NUMBER: The identification number for the event at the tail of an activity arrow.

J NUMBER: The identification number for the event at the head of an activity arrow.

1-J NUMBER: the unique identification number for an activity in an arrow diagram (A computer

"address" for the activity represented by the arrow).

CRITICAL ACITVITY: An activity of such importance that a delay of the activity results in a

delay of the project completion.

CRITICAL PATH: The minimum time required to complete a project. On a network diagram, it

is the longest time path through the durations of activities.

EARLY START: The earliest time that a given activity can be started, assuming that all preceding

activities start as early as possible and finish as schedule.

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EARLY FINISH: The earliest time that a given activity can be finished, assuming. It started at

early start and uses the given duration.

FLOAT OR SLACK: Float time is the length of time that the start of an individual activity may

be delayed without changing the project completion time. It is the total time available along any

path in a network less the sum of the durations of the activities along the path.

LATE START: The latest time that a given activity can be started and still allow the project to be

completed on schedule. All following activities on the same path will be "critical."

LATE FINISH: The latest time that a given activity can be finished and still allow the project to

be completed on schedule.

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3.3 VIDEO RECORDING AND PHOTOGRAPHS

A continued theme of the resident engineer’s responsibility is documentation of the work in three

phases of a construction project; pre-construction, construction progress and post construction.

Following the pre-construction meeting and prior to the contractor mobilizing to the project site it

is standard practice for an Authority construction contract to require the contractor to perform a

pre-construction video of project’s limit of work area. For pipeline project this will consist of

video recording the surface conditions along baseline route from starting point to end point and

then reversing video from end point to beginning. This video recording shall be performed in DVD

format with minimum of three DVDs provided to the Authority for review with one copy each to

be filed with home office, resident engineer and contractor. The focus of the pre-construction

video is to record the existing conditions of surface items such as street and traffic signs, traffic

signals, pavements, walks and drives, curbing, retaining walls, utility poles, lawns, guardrails,

fences, mailboxes etc. The resident engineer shall review the DVD to verify the documentation is

a proper representation of the project limit of work prior to contractor starting any physical

construction. In the case of a building or structural facility modification a video survey

documenting the existing conditions of the physical materials and equipment shall be performed.

All building material and equipment shall be cataloged for future reference.

The resident engineer shall be aware that all such video and photographic documentation may be

required to defend the Authority from property damage or liability claims and proper identification

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and description is essential. If in the opinion of the resident engineer supplemental photographs are

required, he/she shall take digital images to be recorded on a compact disk, CD, with printed

copies placed in holders and stored in three ring binders. All photographs shall have a label

identifying the project name, contract number, date, location and brief description of what is being

viewed.

Progress photographs shall be taken by the contractor routinely the last week of the month. The

progress photos shall be submitted with the contractor’s monthly pay requisition for review and

acceptance by the resident engineer. The contractor shall submit monthly photographs in

accordance with the requirements of the contract for number of photographs and manner of the

submittal in accordance to shop drawing submittal requirements. The resident engineer and

his/her staff shall not rely solely on contractor requirement for photographs to document the

progress or the conditions of the work being completed. The field staff shall supplement their field

reports with photographs to record any change in the work, damage to property, or unforeseen

conditions or requirements.

After substantial completion has been documented but prior to project closeout and the

authorization of contractor’s final payment, post construction video and photographs shall be

taken to record completion of the project. Resident engineer shall confirm if final aerial

photographs depicting the completed limits of work are required in the contract. Additionally, the

resident engineer shall confirm all contractor clean up, demobilization, street and easement

restoration and landscape requirements has been completed prior to post construction video and

photography being authorized.

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The transmittal of video DVDs, photography prints, and photo-CDs shall be in specific mailer for

photographs and marked “Photographs-Do Not bend”.

Resident engineer shall have in his/her files a written release from the contractor, photographer

and videographer allowing the publication and use of all photographs and videos by the Authority.

A copy of this release shall be forwarded to the construction coordinator for the home office files.

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3.4 PROGRESS REPORTING

All construction projects will require some type of progress reporting. The size and complexity of

the contract will determine the type of the weekly and monthly progress reports that are warranted.

The electronic daily progress report that is detailed in Section 2.1 will be required on all

construction contracts and will replace the requirement for maintaining a “Contract Diary” and to

keep senior staff advised of the progress and any outstanding issues requiring their input. As soon

as possible after the resident engineer is assigned to a construction contract, he/she should meet

with the construction coordinator and agree on which reports are necessary and at what frequency

they are to be submitted. For simplicity reasons, we will use the monthly progress report as an

example.

The resident engineer, each month, shall prepare and submit a monthly progress report. The report

shall be submitted around the same time the contractor submits his partial payment request to the

home office. However, if the contractor does not submit a partial payment request for a given

month, the resident engineer is still required to submit a monthly progress report. The progress

report will be based on the contractor's over-all accomplishments during that month. The resident

engineer shall utilize the contract daily reports, partial payment request, meeting notes, schedules,

in addition to his/her daily observations of the contractor's progress and quality of work to evaluate

and summarize the contractor's performance that month. The resident engineer shall utilize the

contractor's job schedule to determine what will likely be accomplished in the subsequent month.

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If in the opinion of the resident engineer, the contractor is not making sufficient progress or is not

complying with the contract documents, the construction coordinator should be advised of this

matter immediately.

There are many types of formats in which a progress report can be generated, however, there are

five categories which the resident engineer is to address when preparing the progress report; 1) a

summary of construction activities accomplished for this reporting period, 2) a summary of

construction activities to be performed next month, 3) a summary of construction billings, 4) a

summary of all change orders or pending change orders and 5) the resident engineer's comments.

The following Exhibit 3-F.1 is an example of a typical monthly and Exhibit 3-F.2 a weekly

progress report format. The resident engineer is instructed to use a format, similar to this example

or as otherwise approved by the construction coordinator.

If a consultant engineer is preparing the job's monthly progress report, a similar format should be

suggested and monitored by the Authority's resident engineer and construction coordinator.

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EXAMPLE

MWRA CONTRACT NO. 6216 BLUE HILLS COVERED STORAGE DESIGN/BUILD

PHYSICAL WORK STATUS

Description: Blue Hills Covered Storage Design/Build Contract No.: 6216 Contractor: Barletta Heavy Division, Inc. Status as of: September 30, 2007 Resident Rep.: Bill Keating

Progress/Work Completed: (9/1/07 to 9/30/07) ♦ Completed placing filter fabric and crushed stone for tank under drains at

Tank 1 and Tank 2 locations. ♦ Completed placing structural fill up to subgrade El. 242.83 at both tanks

in preparation for base slab construction. ♦ Received conditional approval of the 100% Structural

Package for concrete work to begin for the tank base slabs. ♦ Completed formwork, rebar and concrete placement (~200cy) at two

Section A perimeter panels for Tank 2 base slab. ♦ Started formwork and rebar for two Section B perimeter panels for Tank 2

base slab. ♦ Obtained temporary water supply from Section 22.

Ongoing Work: ♦ Continued pumping water within excavation area as necessary. ♦ Continued running end dump trucks used to haul material around

the site (subgrade excavation, existing dam demolition debris, structural fill, etc.).

♦ Continued producing structural fill and crushed stone with Rock Crusher (crushing off and on site materials).

♦ Continued placing structural fill for the Valve Vault and grading and compacting same. Continuously taking compactions tests as required – all tests passing.

Scheduling Summary: [Calendar Days (C.D.)] Date of Award: 11/15/06 Notice to Proceed: 01/17/07 Original Contract Duration: 1170 Days Current Contract Duration: 1170 Days % Current Contract Duration: 21.9 % % Complete ($ based): 23.1 %

The critical activities for the next 60 days are: ♦ DB Team submit design of Mechanical/Electrical Package. ♦ OR to review DB Team’s resubmittal of 100% Structural

Package. ♦ Obtain temporary power service for the construction site. ♦ Continue reinforcing steel, formwork and concrete for the

tank base slabs and walls. Areas of Concern: ♦ None at this time Schedule Assessment: ♦ The contract milestone to complete all work to start up the facility within

913 days of the NTP (July 18, 2009) is currently on schedule as is the contract completion date of April 1, 2010.

Cost and Schedule Impacts: ♦ None at this time. Change Orders/Potential Change Orders:

♦ No Change Orders have been executed to date.

Milestone Completion Status There is one milestone in this contract to complete all work necessary to start up the facility within 913 days of the NTP date. This milestone date is July 18, 2009. Orig. Time Variance Contr. Ext. Forecast C.D. Notice to Proceed: 01/17/07 0 01/117/07 0 Contract Completion: 04/01/10 0 04/10/10 0

Cost Summary:

1. Award Value: $37,766,275.00 2. Net Executed Change Orders (N/A) $ -0- 3. Current Contract Value: $37,766,275.00 4. Potential Change Orders (N/A): $ -0- 5. Forecasted changes as of 09/30/07: $ -0- 6. Current Forecast: $37,766,275.00 7. Current Periodic Estimate #8 $ 1,024,219.10 8. Incurred Cost (Total to Date): $ 8,713,050.93

View of Construction site looking west.

EXHIBIT 3-F.1

Cash Flow

$-

$5.00

$10.00

$15.00

$20.00

$25.00

$30.00

$35.00

$40.00

Jan-07

Mar

-07

May

-07Ju

l-07

Sep-07

Nov-07

Jan-08

Mar

-08

May

-08Ju

l-08

Sep-08

Nov

-08

Jan-09

Mar

-09

May

-09Ju

l-09

Sep-09

Nov-09

Jan-10

Mar

-10

Months

Mil

lion

s

Actual Plan

3-36

EXAMPLE

Weekly Status Report # 38: Monday 12/17/07 through Friday 12/21/07

Project: Blue Hills Covered Storage Design/Build MWRA Contract No. 6216 DEP SRF: Consultant: Tetra Tech Rizzo Design Manager: Fred Brandon Construction Coordinator: Cori Barrett Community Relations: Len Cawley Resident: Bill Keating Contractor: Barletta Heavy Division, Inc. (with VHB, GEI, SGH, Alden Labs) Notice to Proceed: January 17, 2007 Contract Amount: $37,766,275.00 Contract Duration: 1,170 calendar days Completion Date: April 1, 2010 Substantial Completion: not yet Milestone 1: 913 calendar days = July 18, 2009 Percent Complete: 337 days = 28.80%

Change Orders Approved to Date: None

Work Accomplished this week:

• Barletta carpenters continued forming for wall bulkheads and beam pockets at Tank 2 and

for walls at the valve vault. • Barletta completed setting Outlet Control Structure OCS #1 in detention basin area.

Backfilled and compacted at same. • Barletta continued hauling common fill on site. • Regis Steel continued placing rebar for Tank 2 walls and valve vault walls. • D/B team continues work on submittals, permits, and design.

Issues:

• None. Progress slow due to snowstorms during the week. Week Look Ahead:

• D/B team to continue work on submittals, permits, and design. • Continue placing formwork and rebar for walls at Tank 2 and for walls at valve vault. • Install top section of OCS #1 structure at detention basin. • Continue hauling in common fill and grading side slopes around perimeter of site.

EXHIBIT 3-F.2

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3.5 SUBMITTALS

For simplicity and clarity, the term "Submittals" will refer to all shop drawings, samples, catalog

data, certificates, drawings and calculations made for the purpose of obtaining compliance with

contract documents for materials or equipment to be used in or on a construction project.

Submittals will also refer to schedules, spare parts, special tools, operation instructions,

manufacturer’s operation and maintenance manuals, parts lists and testing results. Submittals for

manufacturer’s operations and maintenance manuals are further discussed in Section 3.7.

It is the responsibility of the contractor to prepare, review and forward to the resident engineer all

submittals required under the specifications. The submittals shall be forwarded in a timely fashion,

sufficiently in advance and in such a sequence as not to cause a delay to the project.

The submittals can be checked and accepted by the resident engineer within the capabilities of his

field staff provided they do not result in design changes or modifications or deviations from the

contract documents. When a submittal to be reviewed is beyond the capability or authority of the

field staff, the resident engineer shall forward them to the home office or to the consultant engineer

for review and acceptance. The distribution of verified submittals varies from contract to contract,

however, the resident engineer shall return three copies to the contractor, retain one copy for

his/her files and forward one copy each to the home office and to the consultant engineer. If the

submittal is forwarded to the home office or the consultant engineer, the resident engineer is to

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track the submittal to ensure that work related to the submittal does not commence until acceptance

is given. Shop drawings, diagrams, schedules and other data specifically prepared for the work by

the contractor, subcontractor, manufacturer, supplier or distributor to illustrate some portion of the

work. The resident engineer is reminded that shop drawings are not Contract Documents. The

purpose of their submittal is to demonstrate the portions of the work for which submittals are

required by the contract documents. They represent the way by which the contractor proposes to

conform with the information given and the design concept expressed in plans, specifications and

addenda.

Deviations to the contract or proposed changes to the work shall not be first approached by

the Contractor in a shop drawing submittal.

Contractor shall identify any proposed changes, substitutions or value added deviations to the

contract by submitting a Request For Information (RFI) or Change Order Request (COR) form

detailing the requested change, substitution or value added deviation to the contract for evaluation

and acceptance by the Authority. RFIs and CORs are discussed in further detail in Section 4 of this

manual. Any such changes or substitutions forwarded to the resident engineer without previous

acceptance by the Authority shall be returned to the Contractor immediately without review or

comment.

The resident engineer and his/her field staff shall verify the material and equipment being installed

is in compliance with the accepted submittals.

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SUBMITTAL CHECKLIST

As soon as practicable after the resident engineer has been assigned to a construction contract,

he/she shall thoroughly review the specifications and prepare a checklist accounting for all

submittals the contractor will be required to submit for compliance to the contract documents. This

list shall be referred to as a submittal checklist and will be monitored and maintained by the

resident engineer or his/her staff. On most Authority contracts, the contractor is required to

provide a list of submittals but often times it is incomplete or inaccurate. The resident engineer’s

checklist is to be used to verify the contractor's list of submittals. The resident engineer shall not

rely on the contractor's listing as an official record of submittals required.

Exhibit 3-G.1 is a submittal checklist form which the resident engineer shall utilize. A copy of the

completed checklist shall be forwarded to the construction coordinator. Periodically, normally at

the beginning of each month during the start of the project, the resident engineer shall forward an

updated version of the checklist to the construction coordinator as well.

Exhibit 3-G.2 is a typical example of how the submittal checklist is to be utilized. A separate

checklist for equipment and systems operations and maintenance and materials and finishes has

been developed for review and acceptance prior to vendor equipment training and building

materials and finishes are turned over to the Authority. These submittal items will be discussed in

further detail in Sections 3.7 and 3.8.

3-40

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EXHIBIT 3-G.1

ITEM REMARKS

3-41

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EXHIBIT 3-G.2

ITEM REMARKS

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SHOP DRAWING LOG

Timely and complete submittals of shop drawings will contribute materially to successful

completion, of the contract. A shop drawing log shall be maintained by the resident engineer. The

purpose of maintaining a shop drawing log is to have a record of the current status of any shop

drawing submittals to date. In order to avoid unnecessary delays to the project, the shop drawing

log shall be reviewed at frequent intervals by the resident engineer or his/her staff to ensure that all

required shop drawings, samples or other data have been provided sufficiently in advance of the

project requirement. In the event the resident engineer determines the contractor is procrastinating

or negligent in furnishing shop drawings, the resident engineer shall immediately advise the

contractor, in writing, of the shop drawings in question and request prompt action to avoid delays

to the project.

It is essential that shop drawings not only be-submitted in a timely manner, but also that they be

handled expeditiously by persons reviewing the shop drawings. In order to maintain control of

submittals, the resident engineer should develop and institute his/her own systematic checks and

follow up procedure for processing shop drawings on the project.

At the start of each assigned progress meeting, the resident engineer should discuss with the

contractor the current status of shop drawing submittals, reviews and/or acceptance by maintaining

the shop drawing log as a source of information.

Exhibit 3-H.1 is a sample form of a typical page of a resident engineer's shop drawing log. The first

3-43

three columns are used to identify the shop drawing being submitted. The next two series of

columns are identical and reserved for tracking the shop drawing until it has been satisfactorily

processed. Often times a shop drawing submittal may only need to be reviewed one time; however,

there may be times in which shop drawings require several reviews. It is the obligation of the

Authority to promptly review submittals once they are received. It is an accepted practice in most

construction contracts to give the submittals an immediate cursory review to determine if they are

in conformance with the specifications, and if they are in conformance, to review and return them

to the contractor within 30 calendar days. In receiving the shop drawing submittals, the resident

engineer shall date stamp the cover transmittal. This date will be considered as the actual date the

submittal was received and not the date entered by the contractor. In tracking the submittals the

resident engineer should always indicate who is reviewing the shop drawing and what its status is

by the codes noted at the bottom of the page; "C" for consultant Engineer, "F" for Field Office

Staff, "M" for MWRA Home Office and "O" for Others. An additional type of submittal log form

developed in a Microsoft Excel format maybe substituted for EXHIBIT 3-H.1 depending on the

complexity of the project and in compliance with construction coordinator’s direction and

consultant’s role if applicable.

3-44



SHOP DRAWING LOG

_____________________________ ________________________ Contract Job No. ________________________________ ____________________ Contractor Tel. No.

No.

Description

Spec. Sect.

Date Rec’d.

Review By

Date Return

Status

Date Rec’d.

Review By

Date Return

Status

Days

Reviewed By: C = Consultant Engr. Status: 1 = No exceptions Taken F = Field Staff 2 = Reviewed, Conditions Noted M = MWRA Home Staff 3 = Revise and Resubmit O = Other 4 = Rejected – See Remarks 5 = Reviewed for Information Purposes Only

EXHIBIT 3-H.1

3-45

SHOP DRAWING SUBMITALS

Submittals, particularly shop drawings, are to be submitted for complete systems. Partial submittals are not

permitted. The approval of a specific item shall not indicate acceptance of an assembly of which the item is

a component. All submittals shall be thoroughly checked by the resident engineer. or his/her field staff for

conformance with the contract requirements. Unsatisfactory submittals shall be promptly returned to the

contractor for correction and resubmission. The resident engineer shall specifically advise the contractor

that an acceptance of such drawings does not relieve the contractor of the responsibility for furnishing

material and equipment complying with the requirements of the contract documents or for any error which

may exist on the shop drawings or layout drawings.

No material, equipment or system will be allowed to be incorporated into the contract or

work performed until the shop drawing is accepted, or accepted as noted - no waiver to this

requirement is permitted or payment will be withheld by the Authority.

When reviewing requests for acceptance of methods and procedures for accomplishing such work

as blasting, control of groundwater, compaction of earthwork, grouting, pile driving, and other

types of work utilizing certain equipment and materials, care shall be given not only to request

methods and procedures, but also to require alternatives to meet all possible conditions.

Acceptances of this type should generally be made contingent upon proposed methods and

procedures obtaining the satisfactory specified results.

3-46

STANDARD TRANSMITTAL FORM

Exhibit 3-I.1 is a form for forwarding submittals to the Authority or Resident Engineer. This form

is to be made available to the contractor to transmit any item which the contract documents require

to be submitted. No action will be taken on any item unless accompanied by this form. Entries

must be printed or entered electronically. In order to expedite the processing of the submittal, the

following information is required.

See Exhibit 3-I.1:

�� Section 1 is intended only to accommodate any existing or desired in house numerical tracking systems of a contractor or consultant and is not relevant to the form's intended use.

�� The date is to be the date the form is filled out.

�� The project name and contract number are to be obtained from the contract documents.

�� The location is the city and state where the work is being done.

(5) The forms shall be numbered consecutively beginning with one. When an

item in any transmittal is to be resubmitted, the number of the original

transmittal shall be used followed by a capital letter starting at A and using

consecutive letters for each re-submittal. For example, if an item

appearing on Transmittal No. 10 is submitted for the second time, the

transmittal number will be 10A. A transmittal may consist of more than

one form, but the same transmittal number must appear on each form and

the total number of forms in the submittal noted on each (1 of 3, 2 of 3, and

so forth)

(6) Only one specification section number should be on each transmittal. Do

not mix items appearing in separate specification sections. The number

used shall be from the specification .section which covers the items being

3-47

submitted. (Several pumps for different purpose, all of which are covered

by one specification section, may be submitted on the same transmittal.

However, the pipe and valves that are used in connection with a pump

cannot be listed on the same transmittal as the pump since the pipe and

valves are covered by different specification sections.)

�� The address of the Authority or its Representative to which shop drawings

and other data are to be sent shall be determined at the preconstruction

conference.

�� In the space marked "From" shall be the name and the address of the contractor.

�� The item numbers shall be consecutive and shall start at one. THERE SHOULD BE NO MORE THAN ONE ITEM NUMBER ON EACH LINE. However, one item may cover two or more lines. Number each item.

�� The description of the item shall be in sufficient detail to clearly identify the item being submitted.

�� The manufacturer or designer shall be the originator of the drawing, catalog cut, brochure, etc.

�� The drawing number, catalog number, brochure number, etc. shall be the number used by the designer to identify the particular piece of paper. USE ONLY ONE NUMBER PER LINE.

�� The number of copies shall be the number of copies of the documents being submitted.

� � The contract drawing reference shall be the contract drawing(s) which shows the details of the particular item. If there is any question as to the item's use or application, indicate the intended service.

(15) The Contractor shall not mark in the final two columns headed "Engineer's Use”. These two columns are to be completed by the actual reviewer of the submittal.

3-48

(16) The space marked "Special Instructions" should be used to indicate other

drawings or other material with which the items being submitted must be

coordinated. In emergencies, if special handling or routing of the drawing is

requested, such instructions should be entered here.

(17) The signature and title of the contractor's representative who has reviewed

the material being submitted should be placed in the designated space. It is

the intent of this requirement that the person performing the review have the

necessary background and/or authority to perform this function. THIS IS A

CONTRACTUAL, NOT A CLERICAL CERTIFICATION.

(18) Prior to returning the submittal to the Contractor, it shall be signed, dated and the box checked indicating whether the reviewer is MWRA or the Consultant.

After reviewing and date stamping, make a copy of the transmittal submitted to the Authority or its

Representative as outlined in No. 7. Upon completion of the Consultant’s or Authority’s review,

you will receive the original white copy together with the number of copies of the submittal

required to be returned.

An electronic alternative to this process may be arranged during pre-construction meeting. The

General Contractor may choose to deliver and receive shop drawings through email or web based

system. The Authority’s acceptance of such a process will be dependent on the size and

complexity of the construction project and the availability of field office systems to support

electronic procedures. The resident engineer would be required to follow all notification and

documentation procedures for handling shop drawing submittals. The specific details of an

electronic system such as providing hard copies to field staff would be established at the

pre-construction meeting or shortly thereafter to the satisfaction of the Authority. General

3-49

Contractor and resident engineer’s contract responsibilities of implementing such a system would

not change.

The action for each item submitted will be noted in the right hand columns. Items marked with 1, 2

or 5 may be fabricated and incorporated into the work without further resubmittal of drawings,

provided that any noted corrections are made to the furnished item. Items marked 3 or 4 may not be

incorporated into the work until data concerning those items have been resubmitted and have

received an action code 1, 2 or 5.

3-50

TRNSMITTAL TO: MASSACHUSETTS WATER RESOURCES AUTHORITY CONTRACTOR’S JOB NO: (1) SECTION 1 (FOR CONTRCTOR’S USE) CONSULTANT JOB # (IF APPLICABLE) DATE

(2)

PROJECT NAME & CONTRACT NO.

(3)

LOCATION

(4)

TRANSMITTAL #

(5)

SPEC SECTION #

(6)

T MWRA REPRESENTATIVE O

(7) (9)

F R O M (8) (13) (14) (15)

ITEM NO.


OR DESIGNER

DRAW NO CATAL NO

BROCHURE NO ETC.

NO OF

COPIES CONTRACT

DRAW REF.


CODE REVEWED

BY

(10) (11) (12) THIS CERTIFIES THAT ALL ITEMS SUBMITTED HEREWITH HAVE BEEN CHECKED BY THE CONTRACTOR, ARE IN CORNFORMANCE WITH THE REQUIREMENTS OF THE CONTRACT DOCUMENTS, EXCEPT AS NOTED, AND ARE APPROVED BY THE CONTRACTOR FOR THIS PROJECT. SPECIAL INSTRUCTIONS (16)

(17) SIGNATURE & TITLE


a. INSTALLATION SHALL PROCEED ONLY WHEN ACTION CODE IS 1 0R 2 b. ACTION CODED 3 SHALL BE RESUBMITTED WITHIN TIME LIMIT SET IN CONTRACT. c. REVIEW DOES NOT RELIEVE CONTRACTOR FROM RESPONSI- BILITY OF COMPLIANCE WITH ALL REQUIREMENTS OF THE CON- TRACT DOCUMENTS.

ACTION BY MWRA CONSUL

BY (18)

(SIGNATURE)


EXHIBIT 3-I.1

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3.6 STORED MATERIALS

An item may be included on the pay estimate to pay the contractor for special, job-unique materials

on hand which have not been incorporated into the work. Payment shall be made in accordance

with the provisions of the contract and shall be based on the paid invoice value, less any

deductions. Payment shall be made only on approved material to be incorporated into the project.

Materials are to be properly stored and protected at all times prior to installation. Care shall be

taken to ensure that the cost of the material does not constitute the cost for installation and testing.

Depending on the contract, certain restrictions exist regarding payment for the materials stored on

site. These restrictions are to be discussed with the contractor and clarified during the

preconstruction conference or shortly thereafter.

In order for the contractor to be paid for stored materials off site, the contractor must first obtain

written approval from the Authority through its resident engineer. Before approval is granted, the

resident engineer shall advise the general contractor that all charges associated with the storage,

including insurance, shall be borne solely by the contractor. In addition, the resident engineer shall

advise the contractor that any additional cost to the Authority resulting from the storage of

materials off-site, such as travel time and expenses for field engineer(s) may be back-charged to

the contractor.

3-52

Payment for materials stored off site shall be at the sole discretion of the Authority, via

recommendation by the resident engineer.

Before payment is recommended, the resident engineer shall receive proper "Title of Ownership"

of the materials being stored. Also, the resident engineer shall require; 1) proof of payment (paid

invoice, cancelled check etc.), 2) proof of insurance, 3) a notice identifying the contractor and/or

subcontractor leasing or owning the storage area, the exact location of the storage space within the

storage area, the date on which the material is first stored, and 4) the value of the material stored.

The contractor is required to label each sealed carton/crate to show the name of the MWRA

construction project, the MWRA contract number and resident engineer's name in clear view.

At least once a month the resident engineer or his designee shall inspect the materials being stored

at any off site location. The resident engineer will maintain an on-going inventory for all materials

held in storage for which payment has been requested and permission has been granted to the

contractor.

The resident engineer shall ensure that the title to the materials stored off site is transferred to the

Authority before he/she recommends payment for them. Exhibits 3-J.1 and 3-J.2 are forms

required for submission by the contractor to properly transfer title of ownership. Exhibit 3-J.1

transfers the ownership of equipment, materials or products from the manufacturer or supplier to

the contractor, and Exhibit 3-J.2 transfers the ownership of equipment, materials or products from

the contractor to the Authority. The resident engineer shall forward these forms to the contractor

upon his request. Once the forms are completed by the contractor and returned to the resident

3-53

engineer, he/she shall review the documents for accuracy. Also, the resident engineer should not

accept any title documents that are not properly notarized. A photocopy of the titles should

accompany the partial payment request as supporting backup, and the originals should be retained

for the resident engineer's files.

The following is a guideline for the resident engineer to use in determining if the Authority's

current procedures are being properly followed and payment of materials stored on-site or off-site

is justified.

MWRA'S GUIDELINES FOR PAYMENT OF MATERIALS STORED

1. Advanced written request and approval required for materials stored off site before

any payment is recommended.

2. Contractor must provide documents/information as follows:

a. Proof of payment by the person transferring title.

b. Materials must be paid in full.

c. Transfers of Title must properly be submitted.

d. Proof of insurance naming MWRA as beneficiary.

e. Name and address of storage area owner/lessor.

f. Specific location of MWRA materials.

g. Date materials placed in storage

h. Value of stored materials

3. Each carton/item to be marked with project data, and have a visible packing slip

attached. An inventory shall be maintained routinely.

3-54

4. Materials to be inspected by MWRA once per month or as deemed necessary by the

Consultant.

5. Personnel time and expenses for inspection to be paid by contractor.

6. Contractor must protect materials and transport them to project site.

7. Storage costs to be borne by contractor.

8. Contractor must provide manufacturer's recommended storage maintenance

requirements and provide a monthly statement certifying that proper storage

maintenance has been performed on each piece of stored material/equipment.

3-55

TRANSFER OF TITLE TO THE GENERAL CONTRACTOR

, a Corporation, having (Name of Supplier or Subcontractor) (State) a principal place of business in , hereby conveys to (City or State) GENERAL CONTRACTOR title to the following material delivered and stored at the designated storage area(s) at (Job site or secure location approved by owner) upon receipt of , . (Amount of Bill of Sale), $

This amount is as indicated on our invoice No. , dated , 20 and attached.

(Description of Materials)

Therefore, upon receipt of the above sum, (Name of Supplier Subcontractor)

waives all of its statutory lien rights regarding the above mentioned material. The storage, protection and ultimate installation of this material remains the responsibility of (Name of Supplier, Subcontractor or General Contractor) IN WITNESS WHEREOF, has caused this instrument to (Name of Supplier or Subcontractor) be executed this day of . (Name) By: (Attorney-in-Fact or Company Officer) STATE OF COUNTY OF then personally appeared and acknowledged (Attorney-in-Fact or Company Officer)

and foregoing instrument to be the free act and deed of before me. (Name of Supplier or Subcontractor) Sworn to me this day of , . (SEAL) By: Notary Public

EXHIBIT 3-J.1

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TRANSFER OF TITLE TO THE AUTHORITY (MWRA)

, a Corporation, having (Name of General Contractor) (State) a principal place of business in , hereby conveys to MASSACHUSETTS WATER RESOURCES AUTHORITY title to the following material delivered and stored at the designated storage area(s) at (Job site or secure location approved by owner) upon receipt of , . (Amount of Bill of Sale), $ This amount is as indicated on our invoice No. , dated , 20 and attached.

(Description of Materials) Therefore, upon receipt of the above sum, (Name of General Contractor) waives all of its statutory lien rights regarding the above mentioned material. The storage, protection and ultimate installation of this material remains the responsibility of . (Name of General Contractor) IN WITNESS WHEREOF, has caused this instrument to be (Name of General Contractor) executed this day of . (Name) By: (Attorney-in-Fact or Company Officer) STATE OF COUNTY OF then personally appeared and acknowledged (Attorney-in-Fact or Company Officer) and foregoing instrument to be the free act and deed of before me. (Name of Supplier or Subcontractor) Sworn to me this day of , . (SEAL) By: Notary Public

EXHIBIT 3-J.2

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3.7 MANUFACTURER’S OPERATIONS AND MAINTENANCE MANUALS

Operations and maintenance (O&M) manuals shall be submitted in similar manner for shop

drawings as detailed in Section 3.5. The resident engineer shall keep a separate submittal log to

document manuals have been submitted, acceptance and received.

O&M manuals shall be project specific. The contractor and/or vendor shall have reviewed and

edited the manuals to include the project specific model of the equipment supplied. Since O&M

manuals are bulky in nature, it is common practice for the contractor to submit three preliminary

copies for review and approval by the Authority. Once approved two copies shall be returned to the

contractor and one manual retained by the resident engineer to serve as his/her field copy. The

contractor shall then deliver to the resident engineer’s field office the remaining number of copies

required by the specific contract. The resident engineer shall acknowledge receipt of these

manuals by signature on submittal transmittal.

No startup, training or testing of equipment shall take place until these manuals have been

accepted. Manuals shall be delivered a minimum of thirty days prior to commencing

training, testing or startup of equipment.

EXHIBIT 3-K.1a through 3-K.1d is an example of a standard checklist for review of operations

and maintenance manuals. Resident engineer shall adapt the checklist to coincide with the specific

contract requirements. Reviewed checklist shall be signed by the reviewer and kept with the

resident engineer’s copy of the manual.

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EXAMPLE


MANUFACTURER’S OPERATIONS & MAINTENANCE MANUAL SUBMITTAL CHECK LIST

Page 1 of 4

PROJECT:

CONTRACT No.

CONTRACTOR:

SPEC. SECTION:

EQUIPMENT DESCRIPTION:

MANUFACTURER: SYSTEM:

DATE: REVIEWED BY:

KEY TO REVIEW: A = ACCEPTED P = PROVIDE NA = NOT APPLICABLE 1. Binder:

Commercial quality

8-1/2” x 11”, 3-ring

Hardback, cleanable plastic cover

Tabbed fly leaves with typed description

2. Cover

O&M Instructions printed/typed

Title of project & name of pumping station

Name of Contractor

Subject matter of contents

Area for Consultant’s name, signature and date

EXHIBIT 3- K.1a

3-59

EXAMPLE Page 2 of 4

3. Table of Contents:

Title of project

Consultant’s name, address, phone number and contact

Contractor’s name, address, phone number and contact

Schedule of products and systems with index

Complete data sheet showing all components included in manual:

Model numbers

Serial numbers

Quantities

Features

4. Product Information (for each component):

Manufacturer’s name, address and phone number

Manufacturer’s order number

Names, addresses and phone numbers of local source(s) of supplies

and replacement parts

Edit product information professionally and accurately;

delete/cross-out information not specifically related

to this project

Description of unit or system, including all component parts

Function

Normal operating characteristics

Limiting conditions

Performance curves

Engineering data and tests (factory and field)

Complete parts list with parts number, cut-away illustrations

and recommended quantities to have on-hand

Installation and storage procedures

EXHIBIT 3-K.1b

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EXAMPLE Page 3 of 4

5. Operating Instructions:

Set-up in logical sequence

Training guide

Operating instructions

Start-up

Break-in

Routine normal instructions and sequences

Emergency instructions

Special instructions

Controls sequence of operation

6. Maintenance Requirements:

Routine procedures Troubleshooting guide

Preventative maintenance and repair frequency

Disassembly, repair and reassembly instructions

Alignment, adjusting, balancing and checking instructions

Servicing and lubrication schedule

List of lubricants

All required diagrams for the above maintenance tasks

7. Drawings:

Reinforced punched binder tab and inserted into text and/or

folded and inserted into drawing pocket

One (1) complete copy of shop drawings approved by Consultant

Component parts schematic

Control and flow diagrams

All drawings mentioned in manual text

Valve tag number charts and diagrams

Location of valve

Function of valve

As-installed color-coded wiring diagrams

As-installed color-coded piping diagrams EXHIBIT 3-K.1c

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EXAMPLE Page 4 of4

Contractor’s coordination drawings

8. Manufacturer’s Written Reports:

Factory and field test reports

Inspection report (after trial operating tests)

Final test report

9. Warranties and Bonds:

Copy included where applicable.

10. Proposed startup demonstrations and training schedule for each system

and/or equipment component

11. Other items required by other Sections of the Specifications

12. Corrections to O&M manuals after all testing and instructions to Plant

Personnel have been completed

13. Product data for "Materials & Finishes":

Catalog number

Size

Color designation

Texture designation

14. Instruction for Care & Maintenance for "Materials & Finishes":

Recommendations for cleaning agents and methods

Precautions against detrimental agents and methods

Recommended schedule of cleaning and maintenance

Inspection, maintenance and repair recommendations

EXHIBIT 3-K.1d

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3.8 CHECKOUT, TESTING AND STARTUP OF SYSTEMS

This section shall describe resident engineer and field staff observation requirements for the

inspection of equipment checkout, testing and startup. Portions of the work or equipment may be

required to be put into operation or accepted by the Authority per contract milestones or to achieve

overall completion of the project.

When the Authority is required to take possession of portions of work before the contract is

declared substantially complete a comprehensive process for the start up of equipment systems has

been developed. The resident engineer will be required to examine the contract documents to

understand the contract requirements for the turnover of portion of the work such as equipment,

structures or operation systems. The resident engineer and the construction coordinator shall be

responsible for coordinating the work with the Authority Operations personnel. For example if a

construction contract for the upgrade of an existing pump station included an early milestone for

the Authority to occupy the newly constructed generator room to produce power, even though

overall project would not be completed for another year, this can be done once the contractor has

established the generator and associated systems have been verified to be put into operations. Once

this turnover occurs, the generator room becomes independent from the contract overall

substantial completion date. The resident engineer shall establish and document a specific punch

list and warranty period associated with this intermediate milestone. All other conditions of the

generator room relative to the technical specifications will continue to remain in effect. In

occupying the room, the Authority accepts the room as is, with the exception of unsatisfactory or

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incomplete work items. Incomplete work items need to be identified to the contractor in writing

prior to the room being occupied and being accepted by the Authority. Therefore, it is absolutely

essential before the Authority accepts any area or systems that certain procedures be followed by

the resident engineer to ensure proper turn-over of portions of the work for the Authority’s use or

occupancy.

Prior to the resident engineer performing any type of building, system or equipment checkout or

testing, the contractor shall have submitted a checkout, testing and startup plan for approval by the

Authority.

The contractor’s startup plan shall contain the following items:

1. A chronological schedule of all checkout, testing and startup activities. 2. A checklist of all inspection, checkout, testing broken down by location,

discipline, system, and device or item. 3. All blank forms proposed by the Contractor for verification or recording of

the factory and field testing. 4. An index which cross references the forms to their intended application(s). 5. A list of all factory (shop) tests, and supplier’s certifications, including

those required by the applicable technical specifications. Provisions shall also be included for retesting, in the event it is required

6. Participants in the testing. 7. Special test equipment. 8. Sources of the test media (water, power, chemicals, air.) The proposed

method of delivery of the media to the equipment to be tested. 9. Temporary or interim connections for the sequencing of multiple units.

10. Ultimate disposal of the test media.

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The procedure for system acceptance as recognized by the Authority shall consist of three

sequences being successfully performed, dry checkout, wet checkout and performance testing.

The steps to be taken before a portion of work can be accepted by the Authority are listed in the

order in which they should evolve.

Prior to the resident engineer performing any type of checkout, the contractor shall have

confirmed to the Authority that the authorized equipment and/or system manufacturers'

service representative(s) have performed a successful installation checkout and submitted

an installation certification form or letter.

The resident engineer or his/her designee shall document the successful completion of each step of

the following procedures. Exhibits 3-L.1 through 3-L.7 have been developed to offer a guide for

the resident engineer or his/her designee to document checkout and testing of each component of a

system prior to turnover to the Authority :

1. PIPE & TANK TESTING – HYDROSTATIC/PNEUMATIC:

Pipe and tank/vessel testing is to be conducted by the Contractor and witnessed by the

resident engineer or staff designee. Reference Exhibit 3-L.1.

2. EQUIPMENT SYSTEM PREOPERATIONAL CHECKLIST

(DRY CHECKOUT)

a. Dry Checkout of Piping, Valves and Gates. 1) Confirm hydrostatic/pneumatic tests have been conducted for pipelines and

valves. (Written test reports must be submitted by Contractor prior to scheduling Authority’s Dry Checkout.)

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2) Confirm potable water pipelines have been disinfected (Written test reports

must be submitted by Contractor prior to scheduling Authority’s Dry Checkout).

3) Check that pipelines, valves and gates are supported and restrained per

manufacturer's recommendations.

4) Verify cleanliness of piping, valves and gates.

5) Verify proper valve or gate orientation and flow direction. 6) Check manual valve or gate operation (via handwheel or lever operator, as

applicable); check operation of motor-actuators for plug valves and flow control pinch valve; check operation of hydraulically-operated influent sluice gate; note any installed piping interferences with routine valve and gate operation.

7) Check for lubrication of valves and gates; check that valve or gate packing

has been installed per Contract and manufacturer’s requirements. 8) Painting, labeling and valve identification has been completed.

b. Dry Checkout of Mechanical and Process Equipment/Systems.

1) Confirm that required hydrostatic tests for adjoining piping, tanks, channels and structures have been completed and test forms submitted by the Contractor.

2) Verify equipment nameplate data (manufacturer, model, type, size, serial

number, RPM, amperage, and horsepower). 3) Check drive arrangement/orientation; check drive and belt alignment, as

applicable; check for proper belt tension as required. 4) Check for proper motor, drive and equipment rotation. 5) Check for proper coupling and shaft alignment and confirm that equipment

is within acceptable manufacturer's tolerances (review manufacturer's checkout/inspection form).

6) Check for proper equipment mounting anchors and supports; check that

grouting is installed under supports and equipment.

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7) Inspect bar screen rake mechanism, raw wastewater and dewatering pump, odor control fan, valve and damper actuator motors and bearings for cleanliness (all foreign matter to be removed; dust to be blown out).

8) Check for proper lubrication of equipment (motors, pumps, fans, and screen

rake mechanism). 9) Check for piping strain at pumps and odor control fans on suction and

discharge side of units. 10) Energize and initially run all motors/equipment for several seconds. 11) Furnish all required spare parts and/or special tools if required for

operation.

c. Dry Checkout of Electrical, Controls and Instrumentation Equipment/Systems.

1) Check installation and wiring of control/annunciation panels and field panel mounted instrumentation devices and all electrically operated equipment, valves, solenoids, gates, and dampers.

2) Check that power/control wiring pulled and terminated. 3) Check field sensing elements installed/wired (pressure, level, temperature,

flow, position, and H2S/oxygen/combustible gas sensing system.); check that pneumatic tubing/instruments installed.

4) Verify that electrical continuity tests completed and recorded. 5) Confirm that electrical (megger) tests have been completed and recorded. 6) Check motor rotations for equipment. 7) Verify equipment motor and electrical/control panel nameplate data

(manufacturer, model, type, size, rating serial #, amperage, voltage, power factors, hertz rating, kW, kVAR, Hp, UL listing).

8) Verify that all electrical equipment/controls can be energized (including

verification of operation of auto-transfer switch for portable generator). 9) Verify that all explosion-proof conduits are sealed.

The resident engineer shall review the installation using Equipment System Preoperational Checklist and accompanying forms. This will verify that system equipment is installed complete and ready for Field Performance Testing (if required) and Operation Check-out. Reference Exhibit 3-L.2

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3. EQUIPMENT SYSTEM PRE-TESTING CHECKLIST (WET CHECKOUT)

a. Wet Checkout/Pre-Testing. The Contractor shall demonstrate to the Authority

under wet operating conditions (utilizing water, wastewater, and/or air, as required)

the structural, mechanical, hydraulic and electrical/control, and functional

operation requirements of all installed equipment, systems and/or subsystems.

1) Visually check for leaking at pipe joints/couplings, fittings and valves;

check packing torque settings for valves and gates.

2) Verify that motor-operated valves and gates function under live dynamic

loads; verify limit switch settings on valve or gate actuators, as applicable.

3) Run equipment/systems with water and/or air (as applicable) under

dynamic load conditions and check for any abnormal amperage draw,

noises, vibrations, overheating, and rubbing.

4) Operate pumps at different speeds and heads (discharge valve to be set at

different positions) and observe amperage draw readings; check that flow is

pumped from one location to another, note any noises, vibrations, and

overheating.

5) Verify pumping system check valve and plug valve operation.

6) Check flow meter readings with pumped flow rate determined from

certified factory test pump curves; check air flow rate for odor control fans

based on field measurements.

7) Check pump/equipment lubrication systems are operable.

8) Check pump or fan packing torque settings, if applicable.

3-68

b. Wet Checkout/Testing of Controls and Instrumentation Equipment/Systems.

1) Check instrumentation and controls functioning under dynamic loading

(verify that flow meters, level sensors, pressure transmitters, gas meters,

etc. send proper signals; and speed indicators function).

2) Verify that all alarms and safety controls function under dynamic loading

conditions.

4. PERFORMANCE TESTING (FIELD):

Field performance testing is to be conducted by the Contractor and the manufacturers'

representatives and witnessed by the resident engineer or staff designee. Operations

personnel shall not conduct such testing other than to operate such existing systems as

may be necessary to coordinate and assist in the performance testing. Reference Exhibit

3-L.3 for checklist.

Each test shall be run only with the medium (city water, wastewater, clean air, chemicals,

inert gas, etc.) specified or as directed by the Authority. The Contractor shall provide all

labor, materials, water, tools, chemicals, and instruments for equipment/systems

performance testing.

5. MANUFACTURERS' SERVICES AND TRAINING:

Manufacturer's shall provide additional services, O&M Manual, and training as specified.

The resident shall coordinate and schedule the times and dates of the manufacturers' arrival

to the site with the Operational personnel. Reference Exhibit 3-L.4

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6. MANUFACTURER'S TRAINING ATTENDANCE SHEET:

The manufacturer's training attendance form is to record the person and his/her affiliation

receiving training on a specific piece of equipment. One copy shall be retained in the

resident engineer's file and a copy sent to the construction coordinator and the MWRA

Representative of Operations that is assigned to the contract. See Exhibit 3-L.5

7. SPARE PARTS AND SPECIAL TOOLS CHECKLIST:

Spare parts and tools are to be furnished as specified by the contractor and delivered to a

storage area designated by the resident engineer and secured by Operations. See Exhibit

3-L.6. This material shall be turned over to the Authority and recorded by the resident

engineer prior to Authority personnel taking over operations of the equipment/systems.

8. EQUIPMENT SYSTEM TRIAL OPERATIONS BY AUTHORITY PERSONNEL:

Equipment/system operations by Authority personnel shall be performed for a trial period

as established within the specific project contract. This shall only take place when all of

the above has been completed and accepted. The system will be brought on line and

operated by Operations Personnel. This will be coordinated through the Resident Engineer

and/or field staff. The system shall be evaluated under online conditions for an

appropriate period of time so that any operational irregularities or equipment and control

functions can be calibrated and field adjusted. This mode of operation shall continue until

the system is fully operational and all equipment is functioning as specified. See Exhibit

3-L.7.

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9. NOTIFICATION of OPERATIONAL CHECK-OUT ISSUES:

Should any irregularities/malfunctions be identified during the trial operational period,

formal notification in the form of the Operational Check-out Notification shall be

forwarded to Contractor for immediate attention. See Exhibit 3-L.8.

10. EQUIPMENT SYSTEM TURNOVER ACKNOWLEDGEMENT:

When all of the above conditions are satisfied, the system, area or building is ready for

acceptance by the Authority for beneficial use. The resident engineer shall establish a date

in which the conditional acceptance is to go in effect along with an acknowledgement that

all prior procedures (steps) have been successfully been completed. This date will also

serve as the acknowledged date that the warranty period begins. This information is to be

recorded on an "Equipment System Turnover Acknowledgement" form (See Exhibit

3-L.9) and signed by the resident engineer, contractor, consultant engineer, if any, the

construction coordinator and the Operations personnel designee.

11. NOTIFICATION of WARRANTY ISSUES;

During the warranty period of such equipment, if a malfunction occurs and the resident

engineer is still on site, the Operations personnel are required to notify the resident

engineer. The resident engineer, in turn, shall record the necessary information on the

"Notification of Equipment Warranty Issue" form (See Exhibit 3-L.10) and forward this

notification to the contractor without delay. The resident engineer shall periodically

review the warranty issues to ensure the problems are receiving proper attention. If the

resident engineer is no longer on the site, the procedure relating to warranty issues as

outlined in Section 3.13 shall be followed.

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PIPE TEST - HYDROSTATIC/PNEUMATIC

PROJECT: _______________________________________ MWRA CONTRACT No.:

LOCATION: _________________________________ EPA/DWPC No.: ____________________

================================================================================

PIPING SYSTEM:

1. SERVICE: ______________________________________________________________

2. PIPE MATERIAL: ________________________________________________________

3. PIPE JOINT (TYPE): ______________________________________________________

4. START & STOP STATIONS: _______________________________________________

PIPING TEST:

1. DATE OF TEST: TIME: _______________________________

2. TEST MEDIUM: _________________________________________________________

3. TEST PRESSURE: ________________________________________________________

4. LENGTH OF TEST: __________________

5. PRESSURE AT START OF TEST: ___________________ PSI

PRESSURE AT END OF TEST: ______________________ PSI

6. TEST SUCCESSFUL (YES/NO): _____________

7. COMMENTS: ____________________________________________________________

________________________________________________________________________

_________________________________________________________________________

_________________________________________________________________________

__________________________ RESIDENT ENGINEER

IF TEST IS UNACCEPTABLE, TEST SHALL BE REPEATED AND SECOND FORM

COMPLETED.

EXHIBIT 3-L.1

3-72

MASSACHUSETTS WATER RESOURCES AUTHORITY CONSTRUCTION DEPARTMENT

EQUIPMENT SYSTEM PRE-OPERATIONAL CHECKLIST

PROJECT:_____________________________________ MWRA CONTRACT No. _________

LOCATION: ___________________________________ MDEP CWSRF No. _____________ SYSTEM: _____________________________________ EXCEPTIONS AND/OR EXCLUSIONS (IF ANY): __________________________________

STATION/LOCATION: __________________________________________________________

SPECIFICATION REFERENCE: _____________________

DATE CHECK BY CHECKLIST COMPLETED RES.ENGINEER

1. STRUCTURAL SUPPORTS

2. GROUTING COMPLETE

3. MECHANICAL EQUIPMENT

4. PIPING AND VALVES

5. PIPE HANGERS 6 RESTRAINTS

6. PIPE TEST (HYDROSTATIC/PNEUMATIC)

7. VALVES LUBRICATION

8. ELECTRICAL WIRING 6 LIGHTING

9. ELECTRICAL EQUIPMENT

10. INSTRUMENTATION EQUIPMENT

11. CONTROL/SENSING ELEMENTS ACTIVE

12. SAFETY EQUIPMENT AVAILABLE

NOTE: ALL APPLICABLE ITEMS MUST BE COMPLETE AND INITIALED BY RESIDENT ENGINEER BEFORE ADVANCING TO NEXT PHASE OF ACCEPTANCE.

EXHIBIT 3-L.2

3-73

M A S S A C H U S E T T S W A T E R R E S O U R C E S A U T H O R I T Y


PERFORMANCE TESTING (FIELD)

PROJECT: MWRA CONTRACT No.:

LOCATION: ____________________________________ MDEP CWSRF No.:__________________

=========================================================================

EQUIPMENT SYSTEM: __________________________________________________________________

DATE: _________________________________ SPECIFICATION REFERENCE:

DESCRIPTION OF ACTUAL FIELD PERFORMANCE TEST:

______________________________________

______________________________________

______________________________________

______________________________________

______________________________________

_____________________________________________________________________________________

DATE EQUIPMENT PRE-OPERATIONAL SYSTEM CHECK WAS PERFORMED ________________

TEST SUCCESSFUL (YES/NO, COMMENTS): ______________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

Resident Engineer TO THE BEST OF MY KNOWLEDGE ALL SHOP DRAWING & O&M INSTRUCTIONS REGARDING THE ABOVE EQUIPMENT ARE APPROVED AND COMPLETED AND A MONETIZED PUNCH LIST, IF APPLICABLE, HAS BEEN PRESENTED TO THE CONTRACTOR.

Engineer Date

EXHIBIT 3-L.3

3-74

MASSACHUSETTS WATER RESOURCES AUTHORITY C O N S T R U C T I O N D E P A R T M E N T MANUFACTURER'S SERVICES/TRAINING

PROJECT: ________________________________________ MWRA CONTRACT No.: _________

LOCATION: ______________________________________ MDEP CWSRF No.: ______________

=========================================================================

EQUIPMENT SYSTEM: ____________________________________________________________

SPECIFICATION REFERENCE: ___________________________

MANUFACTURER'S ADDITIONAL SERVICE:

1. SERVICES PROVIDED AS SPECIFIED TO SECURE PROPER INSTALLATION, ADJUSTMENT AND TESTING

DATES SERVICES PROVIDED: __________________________________________ 2. SERVICES PROVIDED AS SPECIFIED FOR TRAINING PLANT PERSONNEL IN

OPERATION & MAINTENANCE OF EQUIPMENT (ATTACH ATTENDANCE LIST) DATES TRAINING PROVIDED: _________________________________________ 3. MANUFACTURERS O&M MANUAL SUBMITTED & APPROVED DATES APPROVED: ____________________________________ DATES COPIES FORWARDED TO MWRA: ________________ COMMENTS: _____________________________________________________ ______________________________________________________ ______________________________________________________ ______________________________________________________ ______________________________________________________ ______________________________________________________ The above conditions having been completed, the undersigned agree additional services/training by Manufacturer’s Representative have been completed as specified. 1. _____________________________________________ Contractor Date MWRA Construction Department Date 2. _____________________________________________ Resident Engineer Date MWRA Operations Division Date

EXHIBIT 3-L.4

3-75



MANUFACTURER'S O & M TRAINING ATTENDANCE



========================================================================= SYSTEM: ________________________________________________ DATE OF TRAINING: SPECIFICATION SECTION: ____________________ MANUFACTURER’S O&M TRAINING - ATTENDANCE: NAME ORGANIZATION

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

Attach this form to Manufacturer’s Additional Services/Training Checklist

EXHIBIT 3-L.5

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SPARE PARTS & SPECIAL TOOLS CHECKLIST

PR OJ EC T:_______________________________________ MW RA CONTRACT N o . ______

LOCATION: _______________________________________ MDEP CWSRF No. _______________

=========================================================================

DATE: ____________________________________________________ TIE UNDERSIGNED HEREBY WITNESS THAT ON THE ABOVE DATE THE FOLLOWING SPARE PARTS/SPECIAL TOOLS, SUITABLE BOXED, PROTECTED AND IDENTIFIED AS PER SPECIFICATIONS WERE TURNED OVER TO THE MWRA OPERATION DIVISION.

LIST OF SPARE PARTS

SPEC.

SECTION

SPARE PART/

SPECIAL TOOL

QUANTITY

SERIAL

NUMBER

Contractor MWRA Operations Division Resident Engineer

EXHIBIT 3-L.6

3-77


EQUIPMENT SYSTEM TRIAL OPERATIONS BY AUTHORITY PERSONNEL



========================================================================= EQUIPMENT SYSTEM: ________________________________________________ EXCEPTION AND/OR EXCLUSIONS (IF ANY): __________________________________________ BUILDING LOCATION: SPECIFICATION SECTION: DATE CHECK-OUT COMPLETED & OPERATING CHECKED BY CHECKLIST PROPERLY (RES. Engineer) 1. STRUCTURAL WORK & SUPPORTS 2. MECHANICAL WORK 3. PIPING & VALVES 4. UNIT ASSEMBLIES 5. ELECTRICAL WORK 6. INSTRUMENTATION WORK COMMENTS:

EXHIBIT 3-L.7

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NOTIFICATION OF OPERATIONAL CHECK-OUT ISSUE



========================================================================= CONTRACTOR: ___________________________________________________ EQUIPMENT NAME & No.: ________________________________________________ DATE: SPECIFICATION REFERENCE:

DESCRIPTION OF OPERATIONAL ISSUE:

DATE OF RESOLUTION/REPAIR:

DESCRIPTION OF RESOLUTION:

NOTE: Contractor’s failure to immediately correct/repair above issue may require Engineer to terminate equipment

check-out.

Resident Engineer Date

Distribution:

Contractor MWRA – Director of Operations MWRA – Construction Coordinator Attach this form to appropriate System Operational Check-out form.

EXHIBIT 3-L.8

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EQUIPMENT SYSTEM TURNOVER ACKNOWLEDGEMENT PROJECT: ________________________________________ MWRA CONTRACT No.: _________


========================================================================= SYSTEM: ________________________________________________ EXCEPTION AND/OR EXCLUSIONS (IF ANY): __________________________________________ STATION/ LOCATION: SPECIFICATION SECTION: DATE CHECKED BY CHECKLIST COMPLETED (RES. Engineer) 1. Equipment System Pre-operational checklist Complete (attached) 2. Field Performance Testing completed as per Specification (Forms attached) 3. Spare Parts furnished as specified (Forms attached) 4. Manufacturer’s additional services, O&M Manual, and training provided as specified (Forms attached) 5. Equipment system operational check-out Completed with system on-line performing intended service (Form attached)

The above conditions having been completed, the undersigned agree the above equipment system was put into normal operation and beneficial use on , and that equipment warranties included under the above system begin effective this date. This checklist shall in no way constitute final or partial acceptance by the Authority of the above system and/or contract.

1. 4. Contractor Date MWRA Construction Department Date

2. 5. Resident Engineer Date MWRA Operations Division Date

3. Consultant Engineer Date

EXHIBIT 3-L.9

3-80


NOTIFICATION OF WARRANTY ISSUE



========================================================================= CONTRACTOR: ___________________________________________________ EQUIPMENT NAME & No.: ________________________________________________ DATE: SPECIFICATION REFERENCE:

DESCRIPTION OF OPERATIONAL CHECKOUT ISSUE:



NOTE: Contractor’s failure to immediately correct/repair above issue in a timely manner may require Engineer

(AUTHORITY) to perform the work , as per the general conditions of the Contract.


Distribution: Contractor: Consultant Engineer MWRA – Operations Division MWRA – Construction Coordinator MWRA – Project Manager

EXHIBIT 3-L.10

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3.9 EQUIPMENT NOMENCLATURE AND TECHNICAL DATA

The Authority requires a detailed system to uniquely identify facilities, systems, equipment,

structures and architectural units that are constructed, installed or used in the Authority’s

Facilities. The resident engineer and field staff should review the contract documents and become

familiar with the nomenclature identification systems required, however Operations will provide

the nomenclature tag number for all systems not referenced in the contract documents. All

equipment data shall be entered by the Contractor into a data base provided by the Authority. The

resident engineer should attempt to monitor completion of these forms prior to the contract

achieving substantial completion.

The Authority provides these data entry forms in Microsoft Access and Excel format for

contractor’s to use for entering the appropriate data. These forms are typically completed at the

end of the project, just prior to closeout and require some familiarity with equipment/process

systems and can be time consuming to complete. The resident engineer and construction

coordinator are reminded that the size and complexity of the project shall be considered when

evaluating the contractor’s cost to complete this work when reviewing the Schedule of Values,

release of retainage and assigning a cost for punch list items associated with this work.

A description of Authority’s nomenclature hierarchy which consists of six levels, standard and non

standard item label formats, electrical and instrumentation nomenclature system codes are

described in detail in each Authority contract specification section 01080.

3-82

Exhibits 3-M.1a and 3-M.1b and 3-M.2a and 3-M.2b are samples of MWRA Operations Technical

Data form completed for electrical lighting fixture and heating and ventilating unit heater.

3-83

EXAMPLE

MWRA TECHNICAL DATA FORM

Massachusetts Water Resources Authority ELECTRICAL Operations Division 1. CONTRACT NUMBER

6856

2. EQUIPMENT DESCRIPTION

Lighting Panel

3. EQUIPMENT TAG NUMBER 3A. FACILITY 3B. SYSTEM 3C. COMPONENT 3D. SUB-COMPONENT

F194:ELEC.DP-02

4. EQUIPMENT SERVICE

NA

5. SPECIFICATION SECTION

16160

6A. MANUFACTURER 6B. ADDRESS 6C. PHONE NUMBER

Square D/Schneider Electric 1415 S. Rowselle Road, Palatine, IL 60067 847-397-2600

7. MODEL NUMBER

NQOD MB Panelboard

8. SERIAL NUMBER

NA

9A. WARRANTY BEGIN DATE 9B. WARRANTY DURATION

04/01/07 12 Months

10. EXPECTED LIFE

20 Years

11. MFR SHOP ORDER NUMBER

NA

12. O&M DOCUMENT REFERENCE

NA

13. SPARE PARTS

None

14. ENCLOSURE

NEMA 3R

15. PHASE

1

16. LINE VOLTS (VAC)

120/240

17. AMPS

125

EXHIBIT 3-M.1a

3-84

EXAMPLE

18. POWER (HP)

NA

19. STARTER SIZE

NA

20. STARTER TYPE

NA

21. OVERLOAD HEATER SIZE

NA

22. CONTROL VOLTAGE

NA

23. BREAKER FRAME

QOB-VH

24. BREAKER TRIP

50

25. MCC/BUCKET LOCATION

NA

OPS VENDOR FORM #

EXHIBIT 3-M.1b

3-85

EXAMPLE

MWRA TECHNICAL DATA FORM

Massachusetts Water Resources Authority HVAC Operations Division

1. CONTRACT NUMBER

6856

2. EQUIPMENT DESCRIPTION

Unit Heater

3. EQUIPMENT TAG NUMBER 3A. FACILITY 3B. SYSTEM 3C. COMPONENT 3D. SUB-COMPONENT

F194:HVAC.UH-01

4. EQUIPMENT SERVICE

NA

5. SPECIFICATION SECTION

16900,2.08

6A. MANUFACTURER 6B. ADDRESS 6C. PHONE NUMBER

Marley 470 Beauty Spot Road, E. Bennetsville, SC

7. MODEL NUMBER

JUW500493CTLS

8. SERIAL NUMBER

279008-01

9A. WARRANTY BEGIN DATE 9B. WARRANTY DURATION

04/01/07 12 Months

10. EXPECTED LIFE

20 Years

11. MFR SHOP ORDER NUMBER

NA

12. O&M DOCUMENT REFERENCE

NA

13. SPARE PARTS

None

14. DUCT SIZE (IN X IN)

NA

15. FLOW (CFM)

NA

16. DISCHARGE PRESSURE (PSIG)

NA

17. CAPACITY 17A. HEATING (BTU/HR) 17B. COOLING (TONS/HR)

17000 BTU/Hr

EXHIBIT 3-M.2a

3-86

EXAMPLE

18. PHASE

3

19. VOLTS (VAC)

480

20. AMPS

6

21. POWER (HP)

1/14

22. RPM

1750

23A. REFRIGERANT TYPE 23B. REFRIGERANT QUANTITY (LBS)

NA

24. GLYCOL QUANTITY (GAL)

NA

25. EFFICIENCY

NA

OPS VENDOR FORM #

EXHIBIT 3-M.2b

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3.10 SUBSTANTIAL COMPLETION

Substantial completion is a milestone event which occurs at the end of construction. It signifies

that the work of the contract is basically complete except for minor incomplete or unsatisfactory

work items that do not materially impair the usefulness of the work required by the contract

documents. Because substantial completion is only a point in time in a contract, it can only be

recognized by establishing a date as to when it occurred. Basically, a contract is substantially

complete when the remaining contract work is less than one percent of the contract price or the

majority of contract work is complete and open to public use, or in the case of a building contract,

where the Authority takes possession for occupancy, whichever comes first. The resident engineer

should consult the general conditions of the contract for a more specific definition of substantial

completion, because substantial completion for Chapter 30 contracts, horizontal construction, and

Chapter 149 contracts, vertical construction, have different requirements.

Prior to the Contractor submitting a request to declare substantial completion a project

walkthrough with Field Operations Department shall take place. The purpose of this walkthrough

is to confirm all equipment/facility turnover procedures have taken place and all equipment and

systems are operational for their intended use. The resident engineer and construction coordinator

shall coordinate a “Stat-up/Turnover Package” prepared by the design consultant. The following is

a sample Table of Contents of a typical Stat-up/Turnover Package:

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LIST OF SYSTEMS/ITEMS/FACILITIES

OPEN ISSUES

CONSULTANT/VENDOR SUPPORT

TESTING SUMMARY (SHOP, FUNCTIONAL, PERFORMANCE/ACCEPTANCE) –

INCLUDING COPIES OF ALL SIGNED TESTING CERTIFICATES

DOCUMENTS/O&M MANUALS/FACILITY HANDBOOKS/SOPS/RED-LINE

DRAWINGS AND SCHEDULE FOR FINAL RECORD DRAWINGS

TRAINING STATUS

PUNCH LIST

PERMITS

SPARE PARTS

WARRANTIES

OPERATING SUPPLIES

SAFETY

COMMUNICATIONS

Generally, in establishing substantial completion, the contractor, in a written notice to the

Authority, certifies that the contract is substantially complete and establishes a date in which

substantial completion occurred. Providing the contractor meets the above criterion, the resident

engineer will promptly evaluate the contractor's notification and make a recommendation to the

Authority, through the construction coordinator, which either accepts or rejects the contractor's

declaration. The Authority, in most cases, will accept the resident engineer's recommendation.

Once a date of substantial completion is mutually agreed upon, the MWRA Chief Engineer will

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issue a Certificate of Substantial Completion. The date of substantial completion is also the start

date for all warranties on the project and will remain in effect for the time period designated in the

contract documents, usually one full year. Exhibit 3-N.1 is a copy of Certificate of Substantial

Completion required to be completed for the declaration of Substantial Completion. A copy is also

included in the Appendix of this manual. In addition, at the time substantial completion is

established, the contractor may request a reduction or a release of retainage. The time frame and

procedure for the release of retainage is dependent on the type of contract, Chapter 30 for

horizontal construction and Chapter 149 for vertical construction. An overview of retainage

release is in Section 3.11 Release of Retainage and with a detailed description in Section 4.7

Contract Closeout. Also, shortly after substantial completion occurs the resident engineer shall be

required to develop a monetized punch list, indicating all unsatisfactory and/or incomplete work

items. This is also discussed in greater detail in Sections 3.12 Punch List and 4.7 Contract

Closeout.

If the Construction Department does not agree that the contract work is substantially complete,

they shall promptly respond, in writing, to the contractor indicating the specific reasons for not

accepting the contractor's assessment.

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CERTIFICATE OF SUBSTANTIAL COMPLETION PROJECT: CONTRACT NUMBER: TO: (Owner): Massachusetts Water Resources CONTRACTOR:

Authority 100 First Avenue Boston, MA 02129

The Work of this Contract has been reviewed and found to be substantially complete. The Date of Substantial Completion is hereby established as of ______________ which, unless otherwise provided in the Contract Documents, is also the date of commencement of all warranties and guarantees required by the Contract Documents.

Project Manager DATE

Jae Kim, ENGINEER DATE

A list of items to be completed or corrected, prepared by the Massachusetts Water Resources Authority is appended hereto. The failure to include any items on such list does not alter the responsibility of the Contractor to complete all Work in accordance with the Contract Documents. The Contractor will complete or correct the Work on the list of items appended hereto by

________________.

CONTRACTOR DATE

EXHIBIT 3-N.1

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3.11 RELEASE OF RETAINAGE

By Massachusetts Law the Authority is authorized to withhold five percent (5%) of the

contractor's payment, each payment, throughout the life of the contract or until substantial

completion occurs.

Once the substantial completion date has been established, the contractor is entitled to all or most

of the retainage being withheld by the Authority. The following is an overview of the requirements

for the release of retainage. The amount of retainage to be released varies from contract to contract,

depending on the type of contract. A more detailed description is covered in Section 4.7 Contract

Closeout. If the contract is a “vertical” construction contract, Chapter 149, the contractor is entitled

to all of the retainage withheld. If the contract is a "horizontal" construction contract, Chapter 30,

the contractor is entitled to all but one percent of the value of completed work at the time of

substantial completion. The resident engineer should consult the general conditions to determine

which case pertains to his/her contract. Prior to any agreement to release retainage the resident

engineer shall establish a monetized punch list identifying all incomplete and unsatisfactory work

items. Partial release of retainage shall then be calculated by reducing the retained amount from

5% to 1% and then adding the amount for the monetized punch list to the 1%.

The Authority, by law, is obligated to release retainage withheld to the contractor within 65

calendar days after substantial completion occurs. However, in release of retainage, the contractor

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must furnish certain supporting documents as required by the Authority. The following documents

should accompany a contractor's request for a partial release of retainage (reducing the amount

withheld from 5% to 1% of the contract price). Copies of the standard forms listed below can be

found in the Appendix of this manual.

SUPPORTING DOCUMENTS :

•••• Letter and invoice from contractor requesting partial release of retainage.

•••• Consent of Surety for Partial Release in Retainage and Surety's Power of Attorney.

•••• Affidavit of Release of Debts and Claims.

•••• Affidavit of Release of Liens.

•••• Certificate of Substantial Completion

•••• Monetized Punch List

The following documents are required by the contractor when requesting final release of retainage

(either reducing the amount retained from 5% to 0% as for Building contracts or from 1% to 0% as

for all other construction contracts).

• Contractor's Letter of Request for Final Release of Retainage.

• Contractor's Invoice for Final Release of Retainage accompanied by Summary/Certification.

• Consent of Surety Company for Final Payment, accompanied by Insurance Firm's Power of Attorney.

• Affidavit of Release of Liens.

• Affidavit of Payment of Debts and Claims.

• Statement by Contractor of One Year Warranty and Guarantee Starting from Date of Substantial Completion.

• Certificate of Insurance beyond Final Payment for specified time period covering Warranty/Guarantee period.

The contractor shall furnish "as-built" drawings and data, plus test data, code and building permit

3-93

compliance forms where applicable. Also, subcontractor's surety, affidavits, warranties,

guarantees and other compliance forms may be required if unresolved matters or problems exist.

At the time of final retainage release request, the resident engineer and construction coordinator

shall begin the process for issuing balancing change prior to processing substantial completion and

final release of retainage. Projects that contain State or local Conservation Commission Order of

Conditions shall begin the process of obtaining Certificate of Compliance prior to final release of

retainage is completed. This Certificate of Compliance shall be obtained by the Authority or

design consultant if applicable.

At the time of the retainage release request, a completed DCAM Contractor Standard Evaluation

Form is required. This form is to be prepared jointly by the resident engineer and the construction

coordinator or the consultant's resident engineer. It allows for the evaluation of the contractor's

performance, accountability and product quality pertaining to the construction contract.

This evaluation is to be taken very seriously. The resident engineer is urged to answer all questions

to the best of his/her ability. The form is a rating summary sheet where the resident engineer is

asked to rate the contractor's performance according to the following categories:

1) Quality of Workmanship

2) Project Management

a. Scheduling

b. Subcontractor Management

c. Safety and House Keeping Procedures

d. Change Orders

e. Working Relationships

f. Paperwork Processing

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3) On-site Supervisory Personnel Rating

The total amount of points per category varies from 7 (seven) to 28 (twenty eight), however, the

total amount of points per evaluation is 100. There are five ratings; unacceptable, poor,

satisfactory, very good and excellent. The resident engineer is to address each category very

thoughtfully and choose which rating best suits his/her judgment. A rating below 80% could result

in the Authority serving notice to the contractor that his performance is considered unsatisfactory

and may cause the contractor to be disqualified from bidding future Authority construction work.

The final evaluation must be signed by the Authority's resident engineer or the consultant's

resident representative and the Director of Construction. Prior to signing by the resident engineer

and forwarding to the Director of Construction, the completed form shall be reviewed and

presented by the resident engineer to the construction coordinator for agreement on enlisted rating.

For most projects a signed copy of the evaluation shall be forwarded to the contractor with the

original mailed to DCAM. The Standard Contractor Evaluation Form can be obtained through the

Home Office or through DCAM website at:

http://www.mass.gov/anf/property-mgmt-and-construction/oversight-agencies/dcam/.

A blank copy of the “Standard Contractor Evaluation Form” is provided in the Appendix of this

manual.

3-95


3.12 PUNCH LIST

Once the contract is declared substantially complete, it is the responsibility of the resident to

compile a punch list of all unsatisfactory or incomplete work items. The punch list shall be

itemized, and include a fair and reasonable dollar value to complete the work for each

unsatisfactory and/or incomplete item of work. In considering a fair and reasonable cost, the

resident engineer should arrive at the lowest estimated cost for the Authority to complete the work,

and not the cost it would take for the contractor to complete the work. In certain circumstances it

may cost the Authority more than it would cost the contractor if the Authority were to complete

certain outstanding work items. For example, in some cases the Authority would experience

mobilization and demobilization costs where the contractor would not, or the Authority may be

subject to additional consultant fees, where the contractor would not. Although it doesn't happen

very often, if the contractor were to walk off the job the resident engineer should be holding

enough of the contractor's monies to have the outstanding work completed as specified.

Exhibit 3-O.1 is a form the resident engineer may use in developing the project punch list. The

punch list should be sorted by the divisions of the specification first, followed by the description

and the specific section and article which refer to the punch list item. Each punch list item shall be

assigned a fair value as mentioned above. The resident engineer if he/she so chooses may develop

a similar listing of punch list work in Microsoft Excel format.

3-96

The unsatisfactory and incomplete work shall have a value of less than one percent of the total

contract amount which determines the declaration of substantial completion discussed in

Section 3.10.

Once the punch list is developed and reviewed by the construction coordinator, the resident

engineer shall present it to the contractor by formal transmittal. The Contractor and Resident

Engineer should then perform a walk through of the work area to be declared substantially

complete and come to an agreement on the punch list work items. This walk through by the

resident engineer shall be as thorough as practical. Although additional work items, if found to be

unsatisfactory and/or incomplete, can be added to the punch list at any time, the resident engineer

shall be cautious of creating a revolving list of work to correct/complete or using the punch list as

a tool to prolong a contract or punish a contractor. It is intended as a definitive means to achieve

satisfactory completion of a construction project. The value of the monetized punch list shall be

withheld in addition to other remaining retainage until satisfactory completion and sign-off by the

resident engineer. In the interim, each time the contractor completes an item and it is determined

satisfactory, the resident engineer shall remove the item from the list and adjust the value being

withheld accordingly. The contractor may request a partial payment for the sole reason of being

paid for punch list work completed to date. In most cases the contractor is allowed 45 days from

the date they receive the official punch list to complete the work. This time period may be

extended for delays beyond the contractor’s control. If the contractor fails to complete such work

within the time period specified, the Authority may, subsequent to seven days written notice to the

contractor by certified mail, terminate the contract and complete the incomplete or unsatisfactory

work items and charge the cost of such work to the contractor. The purpose of the punch list is to

3-97

identify all unsatisfactory and incomplete work and not such items as; warranty issues, disputes or

claims by the contractor or request for direct payments by subcontractors. The value of the punch

list shall be coordinated and substantiated in the Quantity Control Ledger.

3-98


Page ______ of _______ DATE

PUNCH LIST FOR INCOMPLETE OR UNSATISFACTORY WORK ITEMS

PROJECT: ___________________________________ MWRA CONTRACT No. _____________ CONTRACTOR: ______________________________ TELEPHONE No. ___________________

DIVISION

PUNCH LIST ITEM SECTION VALUE

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

EHIBIT 3-O.1

3-99


3.13 WARRANTY POLICY & PROCEDURES

The following is the Operations Division's policy and procedure for the One Year Warranty Period

for construction projects. Once a construction contract is complete (substantially complete or once

MWRA staff start operating equipment of a facility), the contractor is obligated (according to

MWRA General Conditions, Article 14 - "Correction of Work" and Article 18 - "Warranty" in the

contract) to warranty his work, material used and equipment supplied for a minimum period of one

year thereafter (Particular items or equipment may have a Warranty extending beyond the initial

one year period).

Should there be a failure of equipment, workmanship or material within the one (1) year or longer

warranty period, as described above, the supervisor in charge of the operation shall fill out the

attached Form #1 (Exhibit 3-P.1) describing the problem and submit it to the Contractor with

copies to the Director of Construction, his/her Operations Manager and the Law Division.

The Operations Manager shall coordinate the subject warranty issue with the construction

coordinator and shall review Form #1 and investigate the issue by reviewing the manufacturer’s

warranty, and if necessary draft a letter to the contractor. See attached sample letter, Form #2

(Exhibit 3-P.2), requesting appropriate action, a specified timeframe and immediate response. The

letter along with a copy of the Warranty (if longer than one year) shall be reviewed by the Law

Division prior to sending it to the contractor.

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Once the letter is sent to the Contractor, the Operations Manager shall track the letter (Form #2)

and follow up by monitoring the expedition of the repair and maintaining the necessary

documentation until Form #3 (Exhibit 3-P.3), is complete.

The Form #3 Warranty Resolution Number shall match the Failure Number on Form #1. Form #3,

upon completion, shall be sent to the initiator of Form #1 with copies distributed to the manager of

the initiator, the Law Division, and the Director of Construction.

Should the contractor fail to provide the necessary repair, the Operations Manager shall notify the

Director of Construction and the Law Division and arrange to contract out or have the repair

performed by MWRA personnel. Once the repair is complete, Form #3 and invoices of the cost of

repair by the outside contractor or MWRA staff shall be submitted to the Law Division who shall

be responsible to acquire reimbursement from the primary contractor.

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FORM #1 MASSACHUSETTS WATER RESOURCES AUTHORITHY

O P E R A T I O N S D I V I S I O N

NOTIFICATION OF EQUIPMENT WARRANTY ISSUE TO:

Director of Operations FROM:

(Title) DATE: FAILURE No. ===================================================================== CONTRACT NAME: MWRA CONTRACT No.: LOCATION: CONTRACTOR: EQUIPMENT NAME & No.: SPECIFICATION REFERENCE: DATE COMPLETED: DATE OF FAILURE: DESCRIPTION OF WARRANTY ISSUE:

EXHIBIT 3-P.1

3-102

SAMPLE FORM #2

NOTICE OF WARRANTY

NAME: CONTRACTOR: ADDRESS WARRANTY CLAIM NOTIFICATION No. CONTRACT No. CONTRACT NAME: Dear Mr. The subject contract was completed on (date) , and the following prime developed on (date) : within your warranty period.

(Explain the Problem ….) You are hereby requested to respond in writing as to your receipt of this letter and date repair will be made. Should you fail to correct or repair the above issue within (number) days, the Authority will contract out or perform the work and request reimbursement from your Company.

Very truly yours, Operations Manager

Cc: Director of Construction Notification Form - Initiator Law Division Construction Coordinator

EXHIBIT 3-P.2

3-103

FORM #3 MASSACHUSETTS WATER RESOURCES AUTHORITHY


EQUIPMENT WARRANTY RESOLUTION TO:

(Title) FROM:

Operations Manager DATE: SUBJECT: WARRANTY RESOLUTION No.: ===================================================================== CONTRACT NAME: MWRA CONTRACT No.: LOCATION: CONTRACTOR: EQUIPMENT NAME & No.: SPECIFICATION REFERENCE: DATE COMPLETED: DATE OF RESOLUTION/REPAIR: DESCRIPTION OF RESOLUTION:

EXHIBIT 3-P.3

3-104


3.14 FINAL PAYMENT

Final Payment is the last act of the contract between the contractor and the Authority. It represents

the fulfillment of all contract requirements and relieves the Authority and the contractor of any

further obligations towards each other (other than warranty issues). What prompts Final Payment

is when the contractor considers the work of the contract to be complete and he/she has met all

obligations as required by the contract. At that time, the contractor shall present to the Authority,

through the Construction Department: 1) a written notice indicating the project is ready for final

inspection and acceptance, and 2) a final request for payment. The resident engineer and

representative from operations will promptly make a final inspection of the work. If and when

resident engineer, in agreement with representative of Operations, determines the work acceptable,

he/she shall issue a recommendation to the construction coordinator, Director of Construction and

Director of Operations based on his/her observations that the contract work has been completed

and to the best of his/her knowledge, the work has been performed in accordance with the contract

documents. This notice will also serve as a recommendation for final payment. The resident

engineer shall confirm that all manufacturer’s operations and maintenance manuals have been

received, operator’s training has been completed, equipment nomenclature and data

documentation has been processed and all contractor responsible as-built plans have been turned

over to the Authority. By copy of this notice, the contractor will be required to provide the

following documents in support of the final payment request.

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1. An affidavit that all payrolls, bills for materials and equipment and other

indebtedness connected with the Project, have been paid or otherwise satisfied.

2. Consent of the contractor's surety to final payment.

3. An affidavit(s) indicating that all obligations, such as receipts, releases, claims

and liens arising out of the project have been resolved or otherwise satisfied.

The acceptance of final payment shall constitute a release and waiver of all claims by the Authority

except those arising from:

1. Unsettled liens.

2. Faulty or defective work appearing after substantial completion or not

specifically accepted by the Authority.

3. Failure of the contract work to comply with the requirements of the contract

documents.

4. The terms of and warranties or guarantees required by the contract documents.

5. All claims made known to the Authority prior to final payment.

In turn, the acceptance of final payment shall constitute a release and waiver of all claims by the

contractor except those previously made in writing and identified by the general contractor as

being unsettled at the time of the final payment request. Generally, the Authority has an obligation

to pay the contractor within sixty-five (65) calendar days of the final payment request.

4-1

SECTION 4

CONTRACT CHANGES & MODIFICATIONS

PAGE

4.1 REQUEST FOR INFORMATION (RFI) 4-2

4.2 CONTRACT CHANGES 4-7

4.3 CHANGE ORDER COST REVIEW 4-21

4.4 TIME & MATERIAL (T & M) CHANGE ORDERS 4-37

4.5 CHANGE ORDER TRACKING 4-43

4.6 CONTRACTOR CLAIMS 4-48

4.7 CONTRACT CLOSEOUT 4-69


4-2


4.1 REQUEST FOR INFORMATION (RFI)

During construction, the Contractor has a right to request interpretations and/or clarifications of

conflicts, inconsistencies or discrepancies in the Contract Documents from the Authority. It is the

responsibility of the Contractor to review all Contract Documents prior to submitting a Request for

Information (RFI). The resident engineer shall log, track and file each RFI following the

procedures discussed in Section 1 of this manual. The RFI shall be reviewed and distributed

following a procedure similar to the one for Contractor submittals previously discussed in Section

3.5.

Exhibit 4-A.1a, includes a blank RFI form which will be issued to the Contractor at the

pre-construction meeting and should be used for initiating any RFI request. If it is determined that

additional work is required, the response shall be as shown in Exhibit 4-A.1b which includes an

example of an RFI response in which additional work is identified as being required and includes

the standard language to be included in all responses requiring additional work. The Contractor is

required to submit a cost proposal within (10) days after Contractor’s receipt of the response to the

RFI indicating that there is additional work (see General Conditions Article 13.1.2). If it is

determined that no additional work is required, the response shall be as shown in Exhibit 4-A.1c

which includes an example of an RFI response when the Resident Engineer determines that

additional work is not required. This standard language shall be included in all responses that in

the opinion of the Resident Engineer do not require additional work. If the Contractor wishes to

dispute the determination of no additional work, a claim must be filed by the Contractor as detailed

4-3

in Section 4.6 of this manual within twenty-one (21) days after Contractor’s receipt of the response

to the RFI (see General Conditions Article 19.2.1).

4-4

REQUEST FOR INFORMATION FORM

PROJECT:

Date:

MWRA CONTRACT NO.

RFI NO.

Originator:

REFERENCE OR AFFECTED DESIGN DOCUMENTS(S):

SPEC SECT. DWG/Sheet No.

Subject:

Description of Request:

Additional Info Attached : y n Response Needed By:

Signed:

Assigned To: Signed: Date: Resident Engineer

Response to Request:

Signed: ____________________________________________________ Date: _________________________ Title:

1. Does Response Change Contract Documents? ___ y ____ n 2. Additional Info. Attached? __ y__ n 3. Response Result in COR? ___ y ___ n 4. Are site or Plant wide issues involved? ___ y ___ n

Distribution:

EXHIBIT 4-A.1a

4-5


PROJECT:

Date:

MWRA CONTRACT NO.

RFI NO.

Originator: WCC



Subject:



Signed:

Assigned To: Signed: Date: Consultant MWRA Resident Engineer


Signed: �� Date: �� Title: This determination results in a change to the Contract. The Contractor is requested to submit a cost proposal within ten (10) days in conformance with Section 00700, Article 13.1.2.

1. Does Response Change Contract Documents? y ____ n 2. Additional Info. Attached? y__ n 3. Response Result in COR? y ___ n 4. Are site or Plant wide issues involved? ___ y n

Distribution:

EXHIBIT 4-A.1b

4-6


PROJECT:

Date:

MWRA CONTRACT NO.

RFI NO.

Originator: WCC



Subject:



Signed:

Assigned To: Signed: Date: Consultant MWRA Resident Engineer


Signed: �� Date: �� Title: This determination results in no change to the Contract Price or the Contract Time. In the event the Contractor disagrees with this determination the Contractor’s attention is directed to the provisions of Section 00700, Article 19.2.1 which requires the submission of a written Notice of Claim within twenty-one (21) days, and the subsequent requirement to provide a complete claim submittal within sixty (60) days after delivery of the Notice of Claim (unless the Engineer allows an additional period of time to ascertain more accurate data in support of the claim as requested by the Contractor).

1. Does Response Change Contract Documents? y ____ n 2. Additional Info. Attached? y__ n 3. Response Result in COR? y ___ n 4. Are site or Plant wide issues involved? ___ y n

Distribution:

EXHIBIT 4-A.1c

4-7


4.2 CONTRACT CHANGES

A change order is a written order issued by the Authority to the Contractor authorizing an addition

to, deletion from, or revision in the work, and an adjustment in the Contract Price and/or Contract Time, if

justified. All changes to a construction contract resulting in a change in Contract Price or Contract Time require

a change order. All change orders must be processed in accordance with Article 13 of the General Conditions,

Policy #ADM.03 and applicable statutes. Either the Authority or the Contractor may initiate a change

order.

Contractor CORs:

All Contractor initiated change order requests must be in writing, must follow the Change

Order Request (COR) form, Exhibit 4-B.1, and must be submitted to the Resident Engineer for

review. When presented with a COR, the Construction Staff must answer the threshold

questions indicated in Exhibit 4-B.2a and 4-B.2b “Changes in the Work” to determine if the

Contractor is entitled to a Change Order. If it is determined that the work is additional

work to the Contract and is justifiable under ADM.03, the COR shall be responded to

using the standard COR acceptance included in Exhibit 4-B.3a. If it is determined

that the work is already specified in the contract documents or is not justifiable

under ADM.03, the COR shall be rejected using the standard COR denial response

included in Exhibit 4-B.3b. If the Contractor submits a claim, Construction Staff shall

support the Claims Management Specialist in analyzing and processing the claim and

Engineer’s Decision.

4-8

EXAMPLE

CHANGE ORDER REQUEST FORM PROJECT:

Date:

MWRA CONTRACT NO. MDEP:

COR NO.

From:

Subject:

Basis of Request:

Signed:


Signed: �� Date: Title:

1. Does Request Meet Article 13.1? Y N 2. Response Result Additional $? Y N 3. Additional Contract Time? Y N 4. PCO Number Assigned? Y N

Distribution:

EXHIBIT 4-B.1

4-9

REASONS FOR CHANGE ORDERS

1. Actual subsurface or latent physical conditions encountered at the site differ substantially or materially from those shown on the plans or indicated in the Contract Documents (M.G.L. c. 30, sec. 39N). The actual conditions encountered must differ substantially or materially from those indicated on the plans or Contract Documents, or they must differ from those conditions ordinarily encountered and generally recognized as inherent in work of the character provided for in the Contract Documents.

2. Authority ordered suspension, delay or interruption for the Authority's convenience, or failure by the Authority to act within the time specified in the contract (M.G.L. c.30, sec. 39 (0).

3. Changed Site Conditions. After commencement of the contract, physical site conditions and characteristics have changed, requiring additional or different work as is necessary to complete the project as originally specified.

4. Unforeseen Conditions or Circumstances. A Change Order may be required because: �� Reasonable assumptions may have been made at the design stage (e.g.

based on surveys, tests, or perceived conditions), but actual conditions or circumstances were not as originally thought; or

�� After commencement of the contract, and in the course of performing the contract, certain conditions, not foreseeable, were found that require additional work in order to complete the project as bid.

5. Design Changes.

a. To comply with a change in any regulatory code (e.g., safety, fire, building) or law; or

b. To correct an error or omission in the Contract Documents and such change is necessary to complete the project; or

c. If, after commencement of the contract, the method of construction or materials specified have been found, after Authority investigation, to be in error, unsuitable to produce the desired result, unavailable or obsolete.

6. Reduction Scope of Work. Work, due to changed circumstances, may no longer be required.

EXHIBIT 4-B.2a

4-10

7. Overruns/Underruns in Quantities. If a difference develops between the quantity estimated on the bid schedule and the quantity actually required to complete that portion of he project. This is only for contracts that are formulated as a series of bid unit prices based on estimates of the item of work. This does not apply to lump sum fixed price contracts.

8. Schedule Changes*. Either extensions or reductions to the schedule may be made for: acts of the Authority, labor disputes, fire, unusual delays in transportation, unusually severe weather, causes beyond the reasonable control of the Authority or the Contractor, or by changes ordered in the work. *Schedule should not necessarily be changed on a “one-to-one” basis. It must be determined if the event in on the critical path, and what effect it has on completion. The resident engineer shall note that schedule changes do not necessarily impact price.

EXHIBIT 4-B.2b

4-11

EXAMPLE


Date:


COR NO.

From:

Subject:

Basis of Request:

Signed:

Response to Request: This determination results in a change to the Contract. The Contractor is requested to submit a cost proposal within ten (10) days in conformance with Section 00700, Article 13.1.2.



Distribution:

EXHIBIT 4-B.3a

4-12

EXAMPLE


Date:


COR NO.

From:

Subject:

Basis of Request:

Signed:

Response to Request: This determination results in no change to the Contract Price or the Contract Time. In the event the Contractor disagrees with this determination the Contractor’s attention is directed to the provisions of Section 00700, Article 19.2.1 which requires the submission of a written Notice of Claim within twenty-one (21) days, and the subsequent requirement to provide a complete claim submittal within sixty (60) days after delivery of the Notice of Claim (unless the Engineer allows an additional period of time to ascertain more accurate data in support of the claim as requested by the Contractor).



Distribution:

EXHIBIT 4-B.3b

4-13

If the Authority initiates a Change Order or determines that a Contractor Change Order Request

has merit, Construction Staff, in conjunction with Construction Coordinator and Document

Control staff, shall process the change order in accordance with following checklist:

Reply to Contractor using standard COR acceptance response in Exhibit 4-B.3a, including a request for a cost proposal within 10 days*. *Construction Staff must prepare a scope of work for the Contractor’s use in preparing the cost proposal which clearly specifies work to be performed by the contractor and subcontractors, if any. If the scope of work is prepared by a Consulting Engineer, it must be reviewed by Construction Staff.

Resident Engineer prepares a draft Description of Work and Reason for Change for inclusion in a Proposed Change Order (PCO) as soon as the need for a change order is identified.* *Only PCO's that can be justified with one of the reasons identified in Exhibit 4-B.2a and B.2b are permitted. Exhibit 4-B.4a through 4-B.4c includes the PCO template required by ADM#03. Resident Engineer submits draft to Construction Coordinator for review Construction Coordinator reviews and transmits draft PCO language to the assigned Contract Administrator in Coordination and Control. Contract Administrator revises draft PCO language, in coordination with the Construction Coordinator, and prepares a PCO. PCOs must:

• be consecutively numbered starting with one • indicate if the change is requested by the Authority or the Contractor • indicate if urgent action (i.e. authorization/execution in 5 days or less) is

required.* *If urgent action is requested, the PCO must include an explanation of the reason for urgency (i.e. an emergency involving health and safety of persons or damage to property or a delay of project progress which will result in (1) time delays, (2) additional Authority cost for idle personnel/equipment or (3) disruption to Authority or member community operations). Contract Administrator submits PCO to Construction Coordinator and Assistant Director of Construction for signature Contract Administrator submits the PCO to Procurement Department for review and approval

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If the PCO is returned by Procurement with questions, Construction Coordinator assists Contract Administrator with responses until PCO is approved* or denied** NOTE: *An approved PCO does not authorize the Contractor to proceed with or receive payment for the change order work. **If the PCO is denied, the PCO is void and the change order process ends.

If the PCO is approved, Contract Administrator determines the required level of approval based on remaining delegated authority

Assist Contract Administrator in drafting e-mail approval or Staff Summary Prepare Fair Cost Estimate Review Contractor’s Cost Proposal in accordance with Article 13 of the General Conditions

If the cost proposal is less than $100,000, Resident Engineer shall review and verify the prices in association with the contract. and determine if the costs are fair and reasonable. If the cost proposal is over $100,000, an independent fair cost estimate (FCE) shall be prepared by the Consultant or Authority and compared to the proposal.* *The Construction Coordinator may require a FCE for contractor cost proposals under $100,000.

Negotiate CO cost and time (if any) Prepare Memorandum of Negotiation (MON) Provide cost, time (if any), detailed scope of work and sketches or revised drawings (if any) to C&C for

draft Change Order Assist C&C with preparation of Draft Change Order

Exhibit 4-B.5a and 4-B.5b includes the CO template required by ADM#03

Assist C&C with obtaining Procurement approval of draft Change Order Present approved Change Order to Contractor for execution after authorization by e-mail, staff

summary or Board vote has been obtained and Procurement has approved the Draft Change Order Return Change Order to C&C for execution by the Director of Construction after obtaining

Contractor’s signature.* *If the Contractor refuses to sign the Change Order it will be issued unilaterally in accordance with the provisions of Article 13.1.11 of the General Conditions

The Contractor is authorized to proceed with the change order work as of the day the change order is executed by the Director of Construction but cannot bill for the work until the change order has been entered into the contract system.* *C&C will submit the executed change order package to Procurement for review, signature by Budget (if required by funding source), and entering into the contract system. Procurement will mail one original executed change order to the Contractor.

Integrate the change order into the “as-bid” set of drawings and specifications.

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P-II.A.1, Form 1 ��

Project: MWRA Contract No. Location: EPA/DWPC Project No. Contractor: MWRA Division: Change Order proposed by (Check One): MWRA Contractor Check if URGENT action requested (Include reason for urgent action) Description of Change: See Page 2 Reason for Change: See Page 2 By: Date: MWRA Representative The Construction Department/Section Recommendation: Yes No Remarks: By: Date: Procurement Department:

The proposed change is consistent with MWRA procurement policy. The proposed change is NOT consistent with MWRA procurement policy.

Remarks: By: Date: EXECUTION OF THIS FORM DOES NOT AUTHORIZE CONTRACTOR TO PROCEED WITH WORK

EXHIBIT 4-B.4a

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Page 2 Contract No. PCO No. 1. DESCRIPTION OF CHANGE: 2. REASON FOR CHANGE: 3) Is urgent action required? ()yes (X) no

EXHIBIT 4-B.4b

4-17

Page 3 Contract PCO No.

4. REFERENCE DOCUMENTS: .

5. ORIGINATOR/ORGANIZATION: MWRA PHONE # DATE: 6. CHANGE PROPOSED BY: MWRA ( X ); DE ( ); CONTRACTOR ( ) 7. ROUGH ORDER OF MAG. EST: $ 8. IS REWORK REQUIRED? YES ( ), NO ( X ) 9. EST. OF EFFECT ON CONTRACT COMPLETION DATE: NONE (X), or, APPROX. ________DAYS 10. IS REDESIGN REQUIRED? YES( X ), NO( ) 11. REQUESTED DELIVERY DATE FOR REDESIGN: 12. CPs AFFECTED:

13. COULD THE WORK BE PERFORMED UNDER ANOTHER CP? YES ( ), NO (X)

14. MWRA ACTION: DATE RECEIVED: / /

DECISION: APPROVED DISAPPROVED REFERRED ACTION: / / / / SENIOR CM DP MANAGER

EXHIBIT 4-B.4c

4-18

(REF. PCO’s ) CHANGE ORDER

Project: MWRA Contract

No.: Location: EPA/DWPC Proj. No.: Contractor: Consultant: MWRA Division: Change Order No.: Original Contract Price: $ Previously Approved Change Orders (No. ) $ Net Increase/Decrease in Contract Price (This Change Order) $ Total Adjusted Contract Price (Including this Change Order) $ This Change Order extends the time to complete the work by Calendar Days. The revised completion date is: . Description of Change: This Change Order checked by: Resident Engineer/Project Rep. Date This Change Order requested by: This Change Order recommended by: Engineer P. E. # Date MWRA Construction Representative Date The adjustments in Contract Price and Contract Time stipulated in this Change Order constitute full, complete and final compensation for all costs and time associated with this Change Order. The Contractor agrees that this Change Order represents an all inclusive and equitable adjustment to the Contract, and further agrees to waive all rights to make any further claim arising out of or as a result of this change. The undersigned agree to the terms of this Change Order. Contractor Date MWRA Date (Authorized Signature) (Authorized Signature) The individual signing this Change Order on behalf of the Contractor hereby certifies, under the penalties of perjury, that to the best of his/her knowledge and belief, the Contractor has complied with any and all applicable state and local tax laws related to the taxes included in G.L. c. 59; G.L. c. 60B; and G.L. c. 62C, §2.

EXHIBIT 4-B.5a

4-19

CHANGE ORDER - Page 2 Project: MWRA Contract No.: Change Order No. EPA/DWPC Proj. No.:

Description of Change:

Reason for Change:

Additional pages may be attached if required.

COMPLETE BELOW FOR GRANT FUNDED PROJECTS ONLY

Approval as to appropriation:

Certification Officer Date

Do not write below: This space reserved for State and/or FEDERAL AGENCY APPROVAL MDWPC EPA

EXHIBIT 4-B.5b

4-20

CHANGE ORDER AUTHORIZATION

There are three processes for a change order to be authorized depending on their total dollar

value as follows:

A. Change Orders less than $25,000 - Approved with email authorization from the

Executive Director.

B. Change orders greater than $25,000 but less than $250,000 - Approved by a Staff

Summary submitted to the Executive Director.

C. Change orders greater than $250,000 - Approved by a vote of the Board of

Directors based on a Staff Summary.

Staff Summaries are initiated by Construction Coordinator and Document Control with

assistance from Construction Staff and routed to the office of the Chief Operating Officer. Change

Order Staff Summaries are required to describe the change order work, the reason for the change,

the dollar amount of each change order item, and extension of Contract Time, if any, expressed in

number of days). Once a change order is authorized according to the above and the draft change

order is approved by Procurement, it is then forwarded to the Contractor by Construction Staff for

execution.

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4.3 CHANGE ORDER COST REVIEW

The next step in the change order process is to make a thorough review of the contractor's cost

proposal. For simplicity reasons we shall consider that whatever change order is being discussed,

its value is less than $100,000.00. For change orders with a value greater than $100,000, an

independent Fair Cost Estimate (FCE) is required. The FCE shall be performed by an independent

Consultant Engineer, the design engineer, or the Authority to develop an independent cost for

comparison and evaluation to the contractor’s proposal. For any change order with a value greater

than $100,000 a certificate of current cost or pricing data shall be provided and executed by the

contractor. Exhibit 4-C.6 is a sample form of a certificate of current cost or pricing data.

The contractor must submit with every proposed change a detailed cost estimate which provides

sufficient information to evaluate the cost elements needed to perform the work involved. The cost

estimate must clearly distinguish between tasks or activities which will be performed by

subcontractors from those to be performed by the contractor. The resident engineer should

examine the contractor's proposed cost estimate and ask three questions: Is the cost proposal

accurate? Is the cost proposal reasonable based on current market standards? Is the cost proposal

fair?

The following are guidelines in determining if a cost proposal is accurate, reasonable and fair.

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Is the cost proposal accurate?

The resident engineer must double check the contractor's submission for any quantity or math

errors and compare certain proposed costs (such as wage rates and indirect labor rates) with

certified payrolls and prevailing wage rates on file in the project records.

Whether the terms of the change are lump sum, unit price or time and materials, there are certain

cost items which are non-allowable, as defined by the contract documents. “Non-allowable costs”

simply means that although the costs may be legitimate costs borne by the contractor, they are

costs which can not be passed on to the Authority. These costs are for the most part considered to

be included in the base contract amount, or are indirect, administrative or other overhead costs.

The resident engineer shall consult Article 13 of the General Conditions in determining allowable

vs. non-allowable costs associated with determining the cost of change order work.

Is the cost proposal reasonable?

To review a cost proposal for reasonableness is to determine whether the level of effort, the

quantity of materials, and the usage are equal to the scope of work to be performed given the

existing conditions. One of the most common indications of a cost proposal being unreasonable is

showing duplication of effort in the work, (i.e. using two ten-wheel trucks instead of one, showing

the need for four laborers instead of two, listing 800 linear ft. of conduit where only 400 linear ft. is

necessary).

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The resident engineer shall review the contractor’s proposal in accordance with the contract

documents for determining cost proposal reasonableness.

Is the cost proposal fair?

There is generally no cost competition in dealing with change orders. In the absence of

competition, it becomes important to determine whether the costs proposed by the contractor are

fair. The resident engineer should determine if the costs being proposed are in accordance with

Article 13 of the General Conditions.

If the work involved is extensive and requires potentially costly subcontract work, such as asbestos

removal, removal of contaminated or hazardous material or the purchase of major

equipment/systems, the resident engineer should require the contractor to obtain three written

quotes from different firms.

The preferred method to arrive at a conclusion if the contractor’s costs are accurate, fair and

reasonable is for the resident engineer or Consulting engineer to perform a “Cost Breakdown &

Verification” (CB&V) or a Fair Cost Estimate (FCE) review of the contractor's cost proposal.

Exhibit 4-C.1a and 4-C.1b is an example of a CB&V or FCE review form to be utilized to verify

the contractor's cost proposal. The CB&V is a two part form; the first part is the cost breakdown

and the second part is the summary of cost review with comments on the contractor’s cost proposal

Exhibit 4-C.2 is an example of this cost summary. (Blank forms are provided in the Appendix of

this manual).

4-24

Basically, the CB&V review is a comparison between the contractor's proposed costs and the

resident engineer's costs as per each work category. The resident engineer can design his own form

or use the CB&V form offered in this manual. Whichever the resident engineer decides, the form

should reflect the following criteria. Each work category shall be identified and each line item

shall include the description or trade, rate or quantity per unit or time, and the proposed cost. Labor

and equipment categories shall correspond to the contractor’s work force and equipment as

recorded in the resident engineer’s daily work force account log. If the contractor’s proposal

requires specific labor and equipment not currently accounted for in the project, prevailing wages

and blue book rental rates shall be used. Work categories are defined as; labor cost, indirect labor,

materials, equipment and subcontractor(s), if any. The prices derived by the resident engineer

should equal or be within reason of the contractor’s cost proposal. If not, difference between the

contractor's prices and resident engineer's prices shall be recorded and summarized as to the

reasons for the difference. If there is substantial difference between prices, further negotiation of

the contractor's proposal is warranted. At this point in time, the resident is to notify the contractor

and request a meeting to jointly review the item(s) in question. This meeting shall be documented

in a Memorandum of Negotiation (MON).

One of the more important functions of performing a CB&V is to make sure that all costs that

appear on the cost proposal can be verified and are compatible with the agreed scope of work. One

way to verify the contractor's proposal is for the resident engineer to indicate a source of reference

for each entry. Some of the most common sources of reference in dealing with construction

contracts are; Certified wage rates, Federal/State wage rate schedules, existing labor contracts,

4-25

prices from manufacturer’s catalogs, contractors stock, rental invoices and reference books (Blue

Book, Green Guide, Means Cost Data). The source of reference is a very important part of the cost

verification in that it establishes a level of accuracy to the resident engineer's review. Also, it

allows the resident engineer to show specific origins of costs, which are practically un-deniable

when it comes to substantiating prices. An example of how to document a source of reference is

included in Exhibit 4-C.1a and 4-C.1b.

If there is a conflict between the contractor's estimated costs and the prices found in the source of

reference, without an explanation provided by the contractor, the resident engineer shall use the

source of reference prices. The contractor is required to submit a statement along with his cost

breakdown indicating whether the equipment he intends to use to perform the change order work,

is, owned, leased or rented.

The CB&V review should conclude with a summary. Exhibit 4-C.2 is a suggested format for such

a summary. The summary shall indicate the total labor, material, and equipment costs along with

the Contract specified percent mark-up for the contractor as well as subcontractors. The resident

engineer is required to make a recommendation indicating the acceptable price to perform the

work and sign it as a record of his acceptance.

Once the form is completed it shall be forwarded to the construction coordinator. The construction

coordinator and the Consulting Engineer, if applicable, shall jointly review the CB&V and the

resident engineer's recommendations. The "review team" (the construction coordinator,

Consulting Engineer and the resident engineer) shall meet to review the CB&V and sign-off as to

their acceptance. If the review team does not accept the contractor's cost estimate as submitted, the

4-26

review team and the contractor are obligated to enter into negotiations. These negotiations should

not be informal discussions, but formal meetings. However, at these meetings, all subject matter,

discussions and agreements must be documented in writing by the review team. Providing written

documentation of these types of meetings protects both the Authority and the contractor, and

serves as a record that negotiations were performed in good faith. The review team may select its

own format for such negotiations, however, at the conclusion a "Memorandum of Negotiation"

(MON) shall be prepared by the review team to officially address the following topics: (a) state the

project name & number; (b) list name and title of persons representing the Contractor and

Authority; (c) description of proposed change, attach relevant revised specifications, sketches,

plans and/or shop drawings; (d) Contractor’s price proposal and FCE; discussion of alternative

methods to of meeting objective and quality considerations; (e) list any disputed items and the

reason not accepting them; (f) the contractor's response as to the disputed items; (g) statement of

agreed total cost; (h) statement of total time changes; (i) assurance that complete cost of secondary

effects has been included; (j) a new summary sheet similar to the one prepared for CB&V

indicating the final negotiated price(s). The summary sheet should be dated and signed by the

construction coordinator and the contractor. The MON is not a notice to proceed, nor is it a change

order. It should be used in preparation of the change order and the final version provided to the

Contract Administrator with a copy placed in the resident engineer’s construction file. Exhibit

4-C.3a and 4-C.3b is an example of the MON format. Exhibit 4-C.4 is an example of certificate of

current cost or pricing data. Exhibit 4-C.5a through 4-C.5c and 4-C.6 are alternate CB&V and

Certificate of Current Cost Data forms, Blank copies of these forms are included in the Appendix

of this manual.

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EXAMPLE

COST BREAKDOWN AND VERIFICATION Project: Upper Neponset Valley Replacement Sewer MWRA Contract No. 6191 General Contractor: P. Gioioso & Sons PCO No. 13 Subcontractor: NA Prepared by: MG Date: 2/5/08 Location: Baker Street – West Roxbury Title: Resident Engineer Description: Conflict with Electrical Duct Bank required realignment of new sewer. Parameters: Remove Previously Installed 40 Feet 24-inch PVC pipe; Additional Length of interference with ductbank = 80 feet Labor Rates taken from Contractor Certified Payroll; Equipment rates from Blue Book LABOR QTY Hours RATE TOTAL Foreman 1 8 $ 42.00 $ 336.00 Operator – Backhoe 1 8 $ 63.00 $ 504.00 Operator-Loader 1 8 $ 63.00 $ 504.00 Laborer 2 8 $ 38.00 $ 608.00 Pipelayer 1 8 $ 36.74 $ 293.92 Truck Driver 2 8 $ 34.56 $ 552.96

Subtotal = $2,798.85 Indirect Labor Per MWRA Audit Report = 134.0%

Subtotal = $3,750.46 EQUIPMENT QTY Hours RATE TOTAL Cat 375L Excavator 1 8 $205.40 $ 1,643.20 Komatsu 450 Loader 1 8 $ 64.87 $ 518.96 Mack 10Wh. Dump Truck 1 8 $ 35.78 $ 286.24 Volvo 10Wh. Dump Truck 1 8 $ 35.78 $ 286.24 50Kw Generator 1 8 $ 15.75 $ 126.00 3” Suction Pump& Hose 1 8 $ 6.75 $ 54.00

Subtotal = $2,914.64

Total This Page $9, 463.95

EXHIBIT 4-C.1a

4-28

EXAMPLE

COST BREAKDOWN AND VERIFICATION Total Carried Forward from Previous Page $ 9,463.95

MATERIALS No additional materials required. General Contractor O&P 15% of Total $ 1,419.59 SUBCONTRACTOR N/A Subcontractor O&P N/A 5%

Subtotal $ 10,883.54 Contractor’s General Liability 1.92% $208.96 Bond 0.40 % $43.53

Total Cost Verification for PCO No. 13 $ 11, 136.03

EXHIBIT 4-C.1b

4-29

EXAMPLE

SUMMARY REVIEW SHEET

Contractor’s Submitted Cost Proposal dated 2/3/08 $12,500.00 Resident Engineer’s Cost Breakdown and Verification $ 11, 136.03 Difference $ 1, 363.97 ===================================================================== Comments: The amount of $11, 136.03 is recommended for Proposed Change Order No. 13. The difference in the two costs can be attributed to the Contractor including Superintendent Labor hours in their proposal. These hours are not permitted by contract.

REVIEW & ACCEPTANCE

��

Name Title Date

EXHIBIT 4-C.2

4-30

EXAMPLE

MEMORANDUM OF NEGOTIATIONS

Contractor: P. Gioioso & Sons, Inc. MWRA Contract No. 6191 Project Name: UNVRS DEP/BMF No: CWSRF-1220 Location: West Roxbury Change Order No: 3 MWRA Department: Construction PCO No. 6 – Unforeseen Waterline Clair Motors Parking Lot Easement

Cost

The Contractor, PGS, on 7/5/05 identified unforeseen condition while installing the sewer pipe in the easement area of Clair Motors, Sta. 1+41 to Sta. 2+89. Additional water line for fire service and associated metering pit were encountered in the Clair Motors parking lot easement area. PGS took action to repair, temporarily relocate and later reinstall these items so the contract work could continue without delaying the project. FST monitored the work and recorded daily work logs. PGS submitted initial cost proposal on October 31, 2005 of $40,471.57. FST subsequently reviewed the daily field reports for labor and equipment associated with this additional work item and determined that PGS included contract work with their submitted labor, material and equipment logs as identified by FST. A negotiation session between FST and PGS took place on March 8, 2006 and a review of the daily work logs took place and an agreement that contract work had been proceeding during the time of the additional work condition. The overlap of material, equipment and labor hours would be removed from the initial cost proposal. Negotiations concluded and all parties agreed to a revised the lump sum cost of $25,471. No additional time is required or associated with changed condition. Recommended Settlement The Total Added Cost for PCO No.6: $25, 471. PCO No. 7 Unforeseen Electrical Duct bank Clair Motors Parking Lot Easement

Cost

The Contractor, PGS, on 6/27/05 identified unforeseen condition while installing the sewer pipe in the easement area of Clair Motors, Sta. 1+41 to Sta. 2+89. A buried electrical duct bank containing wiring and electrical power for parking lot lights and Clair Motors signage was damaged while excavating for sewer pipe installation. This damaged electrical duct bank required emergency repair, temporary relocation and reinstallation. FST monitored the work and recorded daily work logs. PGS submitted initial cost proposal on October 31, 2005 of $21,554. FST subsequently reviewed the daily field reports for labor and equipment associated with this additional work item

EXHIBIT 4-C.3a

4-31

EXAMPLE

and determined that PGS included some overlap of labor charges between the crews performing the electrical and waterline repairs. A negotiation session between FST and PGS took place on March 8, 2006 and a review of the daily work logs took place and an agreement that some hours of PGS’s work crew overlapped with other ongoing work. The overlap of labor hours were removed from the initial cost proposal. Negotiations concluded and all parties agreed to the lump sum cost of $20,255.

No additional time is required or requested to perform this additional work.

Recommended Settlement

The Total Added Cost for PCO No. 7: $20,255.

Summary

Cost Days Unforeseen Water line Clair Motors parking Lot (PCO No. 6) $ 25,471 0 Days Unforeseen Elec. Duct Bank Clair Motors Parking Lot (PCO No. 7) $ 20,255 0 Days

$ 45,726 0 Days

Therefore it is recommended that Change Order No. 3 be issued for an increase of $45,726 with zero (0) Time Extension to Contract 6191.

_______________________________________ ________________ Consultant Project Engineer (Design Representative) Date _______________________________________ ________________ MWRA Construction Coordinator Date _______________________________________ ________________ General Contractor Project Manager Date

EXHIBIT 4-C.3b

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EXAMPLE CERTIFICATE OF CURRENT COST OR PRICING DATA

In accordance with the provisions of Article 20 of the General Conditions of the Contract, this

document certifies that to the best of my knowledge and belief the cost or pricing data as required

by Article 13 of the General Conditions of the Contract and submitted to the Construction Manager

in support of:

Change Order 17, PCO 39, Item 1: Re-construct twenty-one existing pedestrian/wheelchair ramps and

construct six (four at Lagrange Street/VFW Intersection and two at Corey Street/VFW Intersection)

median crosswalk tactile pads to ADA standards on VFW Parkway, from Lagrange St. to Corey St., in

accordance with Drawings R-1 thru R-10, incorporated herein by reference.

For an amount not to exceed $108,000

CONTRACTOR: P. Gioioso & Sons, Inc.

MWRA CONTRACT #: 6191

SIGNATURE: ______________________________________

TITLE: Project Manager

NAME (print):

DATE OF EXECUTION: ______________________________

EXHIBIT 4-C.4

4-33

COST BREAKDOWN AND VERIFICATION

Job: Job# PCO# DATE Reviewers G. C.: Sub: CATEGORIES PROPOSED ITEMS g=SOURCE OF DATE VERIFIED ITEMS a=1. LABOR COST d=Rate/hr. or R=Rate Schedule h=Rate/hr. or 2. INDIRECT LABOR Qty./units L=Labor Contract Qty./units 3. MATERIALS Q=Quotes/Estimate i=Time or Unit 4. EQUIPMENT e=Time of Units C=Catalog Cuts j=Verified Cost 5. SUBCONTRACTORS * S=Contractor’s Stock f-j=Verified values b=Trade/Description f=Proposed Cost I=Rental Invoice Proposed c=EQUIP. STATUS B=Reference Book ** O=owned, L=leased, R=rented O=Others ** (* = Provide separate breakdown of items 1-4, ** = Specify on Summary Sheet)

- - - - CONTRACTOR’S - - - - - - - -RESIDENT ENGINEER’S - - - - a b (c) d x e = f (g) h x i = j f-j

EXHIBIT 4-C.5a

4-34

COST BREAKDOWN AND VERIFICATION

- - - - CONTRACTOR’S - - - - - - - -RESIDENT ENGINEER’S - - - -

a b (c) d x e = f (g) h x i = j f-j

EXHIBIT 4-C.5b

4-35

SUMMARY REVIEW SHEET CATEGORIES m=Contractor’s p=Allowances k=6. General Contractor’s Cost Mark-ups 20% for Item 6 7. Subcontractor’s Cost n=Total Proposed 20% for Item 7b 8. Unit Priced Items*** Cost 7% for Item 7c 9. Value of Credits 0% for Item 8 & 9 10. Grand Total VERIFIED ITEMS q=Total Verified Cost PROPOSED ITEMS j=Verified Cost n-q=Verified vs. Proposed f=Proposed Cost, Items 1 - 4 Items 1 - 4 (*** Attach Breakdown)

- - - - CONTRACTOR’S - - - - - - - -RESIDENT ENGINEERS - - - - k f x m = n j x p = q n – q 6a. Total Items 1-4 6b. Contractor’s % 20% 7a. Total Item 5 7b. Subcontractor’s % 20% 7c. G. C.’s Mark-up 7% 8. Unit Price Items 0% 9. Credits Offered 0% 10. Grand Total $ $ $ COMMENTS

REVIEW & ACCEPTANCE Name Title Date

EXHIBIT 4-C.

4-36

CERTIFICATE OF CURRENT COST OR PRICING DATA



by Article 13 of the

General Conditions of the Contract and submitted to the Construction Manager in support of:

Change Order , PCO :

Description:

For an amount not to exceed $

CONTRACTOR:

MWRA CONTRACT #:

SIGNATURE: ______________________________________

TITLE:

NAME (print):


EXHIBIT 4-C.6

4-37


4.4 TIME & MATERIAL (T & M) CHANGE ORDERS

Assuming that a CB&V was performed and the review team and the contractor can not agree on a

cost to complete the contract modification (change) and if extra work is urgent and must be

performed without delay due to an emergency situation, the Authority shall issue a unilateral

change order authorizing work to proceed on a time and material (T&M) basis.

Before allowing T&M work to commence, the resident engineer must receive permission

from the construction coordinator and Assistant Director of Construction.

Performing work on a T&M basis is an agreed mechanism by which the contractor performs the

work and is reimbursed by the Authority for the actual cost to complete the work, plus an agreed

upon percentage for overhead and profit. The exact percentage for overhead and profit is stipulated

in the contract documents.

T&M work is subject to specific types of documentation, principally because the contractor

must prove that the costs he/she is requesting payment for are actual costs incurred in the

performance of the work. All costs submitted by the Contractor must be actual costs and must be

verified by the resident engineer. The resident engineer and/or field staff is to observe and

document T&M work from the initial start of the extra work until the work is accepted. The

preferred way to achieve this is utilize a “Force Account - Daily Status Report”. Exhibits 4-D.1a

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and 4-D.1b are an example of this form. A blank version of this form is included in the Appendix

of this manual. When the extra work is being performed, the Force Account Daily Status Report

becomes part of the contract documents representing a record of the details of a Time & Materials

change order.

The resident engineer should take care in completing this form. All entries are important. The

upper section of the front page is the header and is self explanatory. The next section, on the left

hand section of the first line, is where the field engineer enters the book and page number of his/her

daily report book where the details of the work are to be kept. On the right hand section is where

the field engineer records the weather conditions and the date. The next line the field engineer

enters time the work started and finished. The resident engineer shall advise the field engineers

that times entered on this form are to be the actual times the contractor is working and not the times

the field engineer works. If the contractor has more than one crew working at different times, in

different locations, each start and finish time shall be recorded on a separate report. If the

contractor stops and then starts work in the same location, the field engineer shall record this

information in the description section. The next item is the Area of Work. The area of work is the

location of the work in relationship to the contract drawings (Station 0+00, elevation 0.00, Room

#101, etc.). Below the area of work item is where the field engineer records if there are any

subcontractor(s) performing part or all of the work. If so, they should be listed as such. The

resident engineer shall distinguish between any as-bid contract work and T&M change order work.

The next section is where the resident engineer and/or field engineer records what materials were

delivered to the site. It is also where it is recorded if any invoices regarding materials were

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submitted as backup or verification of delivery. The bottom half of the first page is where the

resident engineer/field engineer describes, in detail, the work being performed. The description

should not be the generic description of the extra work, but the description of the actual work being

done. On the backside of the form is where the resident engineer/field engineer indicates the

contractor's labor and equipment on site relative to the change order work being performed. The

labor involvement shall consist of only the labor associated with T&M change order work. If there

was a part-time laborer or tradesman present, it should be noted as such. If possible, the resident

engineer/field engineer should obtain the names of the entire workforce performing the T&M

change order work. Idle equipment unrelated to the work being performed should not be listed on

this form.

Equipment not in use but essential to the completion of the change order work should be listed and

noted as being idle. The resident engineer/field engineer observing the work is required to list any

visitors to the site. A visitor is defined as anyone other than members of the MWRA project field

staff and the contractor's work force. If a police detail is required, the resident engineer/field

engineer shall make note of this event in the “visitors” section. The resident engineer/field

engineer shall record the name of the officer; his badge number, the date, location and the actual

time worked. Also, the resident engineer/field engineer will be instructed to fill out a MWRA

Police Detail Voucher. This form is explained in greater detail in Section 5 of this manual. The last

item to be addressed on this form is for the resident engineer/field engineer to obtain the signature

and date of the contractor's representative to confirm the information on the form for that particular

day is accurate. The contractor's representative shall be the person present at the time and in charge

of work (foreman, superintendent, project engineer, project manager, etc.). This form shall be

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completed by the field engineer, signed and submitted to the resident engineer at the end of each

day T&M work is performed.

The resident engineer or field staff shall get the contractor to sign this document, if a disagreement

arises, it should be resolved at the end of the day with the contractor's representative and the

resident engineer. If for some reason the contractor refuses to sign the form the resident engineer

shall: 1) consult the construction coordinator, 2) request the contractor provide his own

information in a format acceptable to the resident engineer and 3) note in the contract diary of the

contractor's reasons for not signing the form. Resident engineer shall inform the contractor that not

signing the form will jeopardize approval by the Authority for payment.

The resident engineer must be able to verify or substantiate all of the costs submitted by the

contractor for T&M work on a daily basis. If the extra work is so extensive that it spans over

several pay periods, it is the contractor's option to include the additional costs to date for T&M

work in his regularly monthly partial payment request. In order for the contractor to receive

payment, T&M cost must be approved by the resident engineer and the associated change order

must be executed.

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FA#

F O R C E A C C O U N T

D A I L Y S T A T U S R E P O R T Contract: MWRA Job No.

Location: DEP CWSRF No.

Contractor: Resident Engineer:

& Book No. Page Weather Date Time Started: Time Finished:

Area of Work:

Subcontractors:

=====================================================================

Materials:

Description of Work:

EXHIBIT 4-D.1a

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C O N T R A C T O R ’S W O R K F O R C E

LABOR EQUIPMENT SUPERINTENDENT CAR ASSIST. SUPER PICKUP ENGINEER POWER LABOR FOREMAN SAW CARP. FOREMAN FINISHING MACHINE CARPENTER MORTAR MIXER BRICKLAYER PIPE CUTTER PLUMBER LIGHT PLANT ELECTRICIANS MOTOR BUGGIES LABORER BACKHOE (580E) WELDER BACKHOE ( ) LOADER OPER. BULLDOZER OILER FRONT END LOADER

( )

BULLDOZER OPR. CONCRETE PUMP TRUCK DRIVER VOMPRESSOR TECHNICIAN PUMP ( ) CRANE OPERATOR TRUCK ( ) GENERATOR OPR. SCRAPER BACKHOE OPER. GRADER COMPRESSOR OPR. ROLLER PUMP OPERATOR GENERATOR DOCKWORKER CRANE (MECHANICAL) SANDHOG WORKER CRANE (HYDRAULIC) IRONWORKER WELDING MACHINE CEM.FIN.FOREMAN BOBCAT CEM.FINISHER JACK HAMMER PAINTER CONC./BIT PAVER SHT.METAL WORKER COMPACTOR ROOFER VIBRATOR PIPEFITTER FORKLIFT PILE DRIVER PILE HAMMER MILLWRIGHT ROAD SWEEPER MINER TRAILER ( )

EXHIBIT 4-D.1b

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4.5 CHANGE ORDER TRACKING

Construction Staff shall monitor the tracking of a given change order to ensure that the appropriate

procedures and controls are being administered and the contractor is not being delayed. This

responsibility is also shared by the construction coordinator so that the tracking procedures are

maintained and the change order is processed in a timely manner.

The resident engineer shall maintain a separate tracking form for each proposed change order

(PCO). The form shall be filed along with information pertaining to a particular PCO or change

order. Exhibit 4-E.1 is a sample form for tracking a PCO.

The above policy must be strictly adhered to at all times. Variations from the policy are not

allowed. It is the responsibility of the resident engineer to monitor the tracking of a given change

order to ensure that the appropriate procedures and controls are being administered and the

contractor is not being delayed. This responsibility is also shared by the construction coordinator

so that the tracking procedures are maintained and the change order is processed in a timely

manner.

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CONSTRUCTION DEPARTMENT CHANGE ORDER TRACKING

PROJECT: CHANGE ORDER No. PCO #

(Description)

STEPS POLICY/PROCEDURES DATE/COMPLETION INT

1 Determine additional work is needed.

2 Prepare PCO (Proposed Change Order)

3 Review/approval of PCO by Const. Dept.

4 Review/approval of PCO by Procurement

5 Prepare detailed scope of work

6 Request Written cost proposal from Cont.

7 Prepare written cost proposal review

a. if <100K, perform in house review

b. if >100K, obtain independent estimate

8 Negotiate and prepare

Memorandum of Negotiation (MON)

9 Prepare CO and Staff Summary Forms

10 Depending on Delegated Authority,

Submit CO through review process

11 CO approved & Signed by all parties

12 Distribute CO with all Documentation

13 Contractor Authorized to Proceed

s/

Title

EXHIBIT 4-E.1

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CHANGE ORDER RECORD LOG

Another administrative function regarding the change order process is for the resident engineer to

maintain a record of all change orders. This record shall be kept in the form of a log and be kept up

to date, accurate and complete at all times. Exhibit 4-E.2 is a Change Order Record form to be

utilized by the resident engineer. The form(s) are to be kept in a three-ring binder and stored at the

field office in a place of easy access. Exhibit 4-E.3 is an example of how the Change Order Record

log is to be maintained by the resident engineer or his/her staff. All the information to be recorded

on the form can be found on the executed change order itself, with the exception of the last column

which is labeled "Remarks".

It is the responsibility of the resident engineer to ensure that these reports are kept up to date and

available. Copies should be periodically forwarded to the construction coordinator for the purpose

of comparing the field data with the data at the Home Office.

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MASSACHUSETTS WATER RESOURCES AUTHORITY CONSTRUCTION DEPARTMENT CHANGE ORDER RECORD LOG

MWRA Contract No. ________ Location: ______________ Contract Name: ___________________________________________

Start Date: _______/_______/_______ Page: _____ of _____ Contractor: _____________________________________________ Consultant: _____________________________________________ Constr. Coord.: ____________________________________________

PCO No.

C.O. No.

DESCRIPTION OF CHANGE ORDER DATE EXC’D

NO. & REASONS CHANGE ORDERS

AMOUNT REMARKS

EXHIBIT 4-E.2

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CHANGE ORDER RECORD

MWRA Contract No. �� Location: �� Contract Name: ��

Start Date: ��/��/_ �! �! �! �! Page: �� of """" Contractor: #��$��%� �� #��$��%� �� #��$��%� �� #��$��%� �� %��%��%��%�� Consultant: �&'��&'��&'��&'�� Constr. Coord.: ��(��)��(��)��(��)��(��)��

PCO No.

C.O. No.



AMOUNT REMARKS

��""""��

��""""��

��$�*��%�+��,��,��$�,��$�� $�*��%�+��,��,��$�,��$�� $�*��%�+��,��,��$�,��$�� $�*��%�+��,��,��$�,��$�� -�� .��".��-�� .��".��-�� .��".��-�� .��".��/��$� �� 0.��/��$� �� 0.��/��$� �� 0.��/��$� �� 0.��1$��$�*�� /��$� ��,��1$��$�*�� /��$� ��,��1$��$�*�� /��$� ��,��1$��$�*�� /��$� ��,�� -�� ,��$�� -�� ,��$�� -�� ,��$�� -�� ,��$��

��2� "��2� "��2� "��2� "�� "�� "�� "�� "��"�� ""�� ""�� ""�� "��

030303034444� ,�� ,�� ,�� ,�� %� �� %� �� %� �� %� �� 4444��3��3��3��3�� 5�� 5�� 5�� 5��6 �� 6 �� 6 �� 6 �� /�� /�� /�� /�� 7��7��7��7��22224444�� /��/��/��/��

��89��89��89��89��8��8��8��8��:8��;:8��;:8��;:8��;��

<��6 �� <��6 �� <��6 �� <��6 �� ,��7�� ,��7�� ,��7�� ,��7�� -��=�� -��=�� -��=�� -��=�� ,��$��6�� ,��$��6�� ,��$��6�� ,��$��6��/��,��/��,��/��,��/��,�� >�� >�� >�� >��/��,�/��,�/��,�/��,�� ,�� ,�� ,�� ,��

EXHIBIT 4-E.3

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4.6 CONTRACTOR CLAIMS

Once the Authority has forwarded a decision to the contractor that a Change Order request (COR)

or Proposed Change Order (PCO) does not comply with Authority policy for a change in the

contract, the contractor may make a claim for damages by reason of any direction, interpretation,

or any act or omission of the Authority or its representative. Notice of such a claim shall be given

to the Authority within twenty-one (21) days after the occurrence of the event or notification that a

change order has been denied and given rise to such claim otherwise the claim shall be waived.

This section is designed to describe the basic aspects of a contractor claim in Authority

construction contracts. �

PURPOSE:

The purpose of this procedure is to provide step-by-step instruction to MWRA staff for the

uniform internal identification, tracking and timely disposition of Contractor Claims for

additional cost and/or time. In addition, these procedures are intended to facilitate an effective

means of communication between Construction Staff, Consultants and the Risk Management

Group so that Construction Claims are identified, Authority costs mitigated and claims

ultimately resolved expeditiously. Any questions relaying to this procedure should be directed

to Mr. Ed Brown, Claims Management Specialist, Risk Management at (617) 788-2231.

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BACKGROUND:

The MWRA, through the Procurement Department, routinely advertises and solicits bids

for construction services funded by the CIP and CEB Budgets. During the course of

performing the work it is not unusual for Contractor’s to assert portions of the work

performed are not covered or specified by the Contract Documents. As a result, Authority

construction staff is often confronted with Claims for additional cost and/or time from the

Contractor. The Risk Management Department, with assistance and input from the Law

Division, the Procurement Department, Construction Coordinator, Project Manager,

Design Manager, Resident Engineer, Resident Inspector, and Design Consultant, is

ultimately responsible for the administrative resolution of these Claims, through the

issuance of an Engineer’s Decision, subject to the provisions of M.G.L. c.30 s.39J.

DOCUMENTS/FILES:

When Authority Construction Staff receive a Notice of Claim a copy must be sent by the

PM/RE to the Claims Management Specialist/Risk Management. A file is then created by

the Claims Management/Specialist identifying the Claim with a discrete number (i.e.

Contract No. ____, Claim No. 01, Claim No. 02 etc…) The Claims Management

Specialist/Risk Management will maintain that file during and after the subsequent

investigation, administration and ultimate disposition of that Claim. The investigation of

the Claim will frequently result in numerous requests for construction related documents,

including but not limited to Field Transmittal Memos (FTM - see EXHIBIT 4-F.1) RFI’s,

Submittals, Meeting Minutes, Contractor Correspondence/Letters, MWRA

Correspondence/Letters, Design Drawings, Design Calculations, Design Assumptions,

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Estimates, Codes, CMR’s, Contract Specifications, Change Orders and MON’s,

chronology of events leading up to the claim, and answers to specific questions dealing

with the Claim.

The Project Manager/Construction Coordinator, and in some cases the Design Engineer,

will also be expected to provide a written recommendation on the Claim, which will be

provided to the Engineer, Jae Kim, P.E., for his consideration in deciding the Claim. The

Risk Management Department, the Law Division and the Procurement Department will

also provide a written recommendation to the Engineer for his consideration in deciding

the Claim. All of these written recommendations, as well as the applicable documents

described above are provided to the Risk Management Group, which will coordinate

dissemination of all information necessary to decide the Claim to the Engineer. The Risk

Management Department will develop an Engineer’s Review Package consisting of the

applicable documents described herein for the use of the Engineer in deciding the Claim.

Ultimately, an Engineer’s Decision will be issued deciding the Claim, which will be

drafted by the Claims Management Specialist at the direction of the Engineer. Once

received, all of the documents requested dealing with the specific claim will be maintained

in the Claim File by the Risk Management Department.

Construction Claims Procedure:

Claims processed under this procedure must be administered in a manner that is consistent

with the principles contained in the Massachusetts public construction laws, including

M.G.L. Chapters 30 and 149, the MWRA change order process, MWRA procurement

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policy and procedures, and Contract requirements. These Claim procedures are designed to

work within existing administrative program guidelines and to provide an efficient

mechanism to:

• Keep the Authority and its Staff informed of all Construction Claim issues.

• Ensure timely receipt, analysis and issuance of recommendations for approval or denial of Claims by authorized parties, including Engineer’s Decisions and/or Change Orders; and

• Ensure auditable record of Claim processing, determination and disposition

In order to mitigate Claim impacts and to reduce the number of Claims processed under

these procedures, the Resident Engineer (“RE”) will initially review Claim notices and

filings and identify any issues that on the facts and/or merits may be resolved by Change

Order. Those Claims that the RE believes should be processed as a Change Order will be

referred to the MWRA’s Project Manager for further consideration and if appropriate be

processed in accordance with the Contract’s Change Order Procedures (i.e. Article 13 of

the Contract).

All issues to be resolved as Claims will be processed in accordance with the Claim

procedures described herein and Article 19 of the Contract Documents. EXHIBIT 4-F.2

“Claims Process Flow Chart” is a flow diagram that illustrates the process that will be

used for evaluating Construction Contract Claims.

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DEFINITIONS:

CLAIM: A written demand or assertion by the Contractor seeking an adjustment in

Contract Price and payment of monies due; an extension in Contract Time; the adjustment

or interpretation of Contract terms or requirements; or other relief arising under or relating

to the Contract. A written demand or assertion by the Contractor seeking the payment of

money or an extension of time is not a Claim as defined herein unless clearly designated as

such by the Contractor, and until certified as required by the provisions of Article 19 of the

General Conditions of the Contract. A voucher, invoice, or other routine request for

payment that is not in dispute when submitted is not a claim as defined herein. A valid

Claim is based on a written Notice of Claim and subsequent Claim Submittal that is

complete, timely and complies in all respects with the provisions of Article 19 of the

General Conditions of the Contract.

CLAIMS MANAGEMENT SPECIALIST/RISK MANAGEMENT: The flow and

expediting of Claim documents within the MWRA will be led by the Claims Management

Specialist/Risk Management, who will ensure that Engineer’s Decisions on Contractor

Claims are promptly issued.

CLAIM SUBMITTAL: Documents submitted by the Contractor to the Resident Engineer

which provide support for a Claim made by the Contractor including supporting cost data,

CPM schedule analysis, if required, and Contractor’s Affidavit as described in Article 19

of the General Conditions, all due within 60 days of the date that the Contractor

provides its Notice of Claim. (The Authority may, if requested, extend the deadline for

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the submission of the Claim Submittal if the Contractor needs additional time to ascertain

its cost in support of its claim.)

CONTRACTOR: The person, firm, corporation or joint venture with whom the Authority

has executed the Authority-Contractor Agreement (i.e. the General Contractor)

DE: Refers to the firm contracted to provide Project Design Engineering, which may also

include Resident Engineering (RE) and/or Resident Inspection (RI) Services.

ENGINEER: Jae Kim, P.E., or the person identified in the Notice to Proceed to act as the

Engineer for the given contract. The Engineer’s Decision shall be final, conclusive and

binding on the Contractor subject to the provisions of M.G.L. Chapter 30 Section 39J.

ENGINEER’S DECISION: A written determination on the Claim rendered by the

Engineer pursuant to Article 19 of the Contract Documents and the provisions of M.G.L.

c.30 s. 39J (see EXHIBIT 4-F.3).

MWRA CLAIMS REVIEW GROUP: The MWRA Claims Review Group is comprised of

the following members:

• Claims Management Specialist/Risk Management

• Associate General Counsel/Law Division

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• MWRA Project Manager

• Deputy Contract Manager/Procurement

• Deputy Director of Construction (as needed)

The group’s participation in the Claims process represents the Authority’s internal review

of the Claim and includes independent recommendations to the Engineer as to the proper

disposition of the Contractor’s Claim.

NOTICE OF CLAIM: A written notification provided by the Contractor to the Authority,

usually through the RE, reporting the occurrence of an event that caused the Contractor to

seek an adjustment in Contract Price or Time, requesting an adjustment or interpretation of

contract terms or requirements or seeking other relief arising under or relating to the

Contract. The Notice of Claim must include a description of the general nature of the

Claim. A Notice of Claim must be submitted promptly, but in no event later than

twenty-one (21) days after the occurrence of the event giving rise to the Claim,

OTHERWISE THE CLAIM IS WAIVED BY THE CONTRACTOR (see Article 19

of the General Conditions of the Contract).

RESPONSIBILITIES

MWRA Risk Management Department is responsible for internal Authority Claim

processing. These responsibilities involve Claims tracking, mitigation and review

activities, including the receipt of claim related materials, development of a written Claim

Analysis and recommendation to the Engineer (Jae Kim, P.E.), drafting of Engineer’s

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Decisions for the review and approval of the Engineer, distribution and coordination of

claims and claim related information to the Law Division and Procurement Department.

The Law Division, Procurement Department and MWRA Project Manager will provide

written recommendations on all claims to the Claims Management Specialist. Upon receipt

of the Law Division, Procurement Department and Project Manager’s recommendations,

the Claims Management Specialist will prepare a Claim Review Package for the Engineer.

The Engineer will ultimately decide the claim through the issuance of an Engineer’s

Decision in conformance with Article 19 of the General Conditions and M.G.L. c.30 s.39J.

The Claims Management Specialist will also provide litigation support to the Law Division

when requested.

MWRA Law Division will review all Construction Claims and provide a written

recommendation on the merit of the Claim. The recommendation will address the merit of

the claim and whether or not the Contractor has complied with the procedural requirements

for Claim Submittal specified in Article 19 of the Contract Documents. All

recommendations from the Law Division will be provided to Claims Management

Specialist/Risk Management.

MWRA Procurement Department will review all Construction Claims and provide a

written recommendation on the merits of the Claim. The recommendation will address the

merit of the Claim and whether or not the Contractor has complied with the procedural

requirements for Claim Submittal specified in Article 19 of the Contract Documents. All

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recommendations from the Procurement Department will be provided to Claims

Management Specialist/Risk Management.

MWRA Internal Audit Unit will perform requested audits of Claim documentation and

Contract costs.

MWRA Project Manager (PM) is responsible for identifying and providing Notices of

Claim and Claim Submittals to the Claims Management Specialist/Risk Management. The

PM will also review the Contractor’s Claim Submittal and provide a written

recommendation on the merits of the Claim to the Claims Management Specialist/Risk

Management. The PM will provide support to the Claims Management Specialist/Risk

Management, Law Division and Procurement Department. This typically includes

answering technical questions concerning engineering and construction means and

methods, as well as gathering Claim related documents such as FTM’s, RFI’s, Submittals,

Contractor Correspondence, Specifications and Drawings. The PM is usually supported in

this function by the RE and/or DE.

Resident Engineer/Resident Inspectors have day-to-day management responsibility for

oversight of all in-the-field construction related functions and activities. The following are

some of the tasks undertaken by the Resident Engineer relative to Claims management:

• Controlling and documenting FTM’s and other correspondence between MWRA and contractor.

• Preparing background information.

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• Reviewing scope of Claims. • Documenting reasons in support of or opposition to Claims. • Participating in evaluation of Contractor Claims, including field input. • Providing input for estimates and schedule if necessary • Data preparation and collection including progress photos. • Monitor Time and Material Costs on disputed work items.

Design Engineer (DE) shall provide technical support and assist in evaluations and

negotiations as required by the MWRA. Specific responsibilities include:

• Participate in evaluation of the Claim’s merit as required. • Provide relevant factual and historical information relative to any RFI’s,

submittal review, comments and approvals, substitutions, design criteria, calculations and assumptions. When requested provide opinions as to the suitability of Contractor means, methods, techniques and sequences related to the Claim. Provide further technical and engineering information or interpretation as may be required.

CLAIM IDENTIFICATION AND ASSESSMENT

CLAIM IDENTIFICATION

A Contractor may file a Claim for several reasons during the course of a Project. These

reasons may include but are not limited to:

• Denial of a Contractor’s Change Order Request (“COR”) • Differing Site Condition • Unforeseen Condition • Unusually Severe Weather • Authority/DE Contract Interpretation • Unclear Specification Requirement or Design Drawing • Code compliance • Time Extension • Design Change • MWRA/DE response to RFI

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• MWRA/DE Submittal Review Comments • Construction Material Cost Increases • Unilateral Change Order • Substitution Request

SUBMISSION OF NOTICE OF CLAIM

In general a Notice of Claim is a written request by the Contractor for additional cost

and/or time. In its simplest form it is a notice from the Contractor that informs the

Authority something is going to cost more and/or take more time. Pursuant to Article 19 of

the General Conditions of the Contract (“Article 19”), a Notice of Claim must be submitted

by the Contractor to the MWRA within twenty-one (21) days of the event giving rise to the

Claim. The Notice of Claim must be identified as such and requires a brief statement of the

nature of the Claim, but does not ordinarily require detailed backup information. Pursuant

to Article 19, failure to provide a Notice of Claim within twenty-one (21) days after the

occurrence of the event giving rise to the Claim shall be conclusively deemed to be a

waiver of the Claim.

CLAIM DOCUMENTATION SUBMITTAL

Pursuant to Article 19, a complete Claim Submittal with supporting documentation and

Contractor’s Affidavit must be delivered by the Contractor to the MWRA within sixty (60)

days after delivery of the Notice of Claim. (The Authority may, if requested, extend the

deadline for the submission of the Claim Submittal if the Contractor needs additional time

to ascertain its cost in support of its claim.)

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CLAIMS TRACKING AND REPORTING

Upon receipt of a Notice of Claim, the Claims Management Specialist/Risk Management

opens a Claim file, assigns a Claim Number for tracking purposes and enters the basic

claim information, including the Claim Submittal deadline (i.e. the Claim Submittal is due

60 days from the date of the Notice of Claim) in a Master list of Claims Report, maintained

by the Claims Management Specialist/Risk Management. Entering the Claim data into the

Master list of Claims allows the Claims Management Specialist to track, process, and

report Claims status to all appropriate parties. Claims Reports are considered Confidential

Documents and as such have a limited distribution.

CLAIM REVIEW PROCESS

CLAIMS MANAGEMANT SPECIALIST/RISK MANAGEMENT

Upon receipt of a Contractor Claim Submittal, the Claims Management Specialist will

provide copies to the Claims Review Group. Thereafter, the Claims Management

Specialist reviews the claim collects and researches applicable documents and prepares a

detailed analysis of the Claim, which addresses the Claims procedural compliance with the

Contract requirements, as well as a detailed analysis of the Claim on its merits. This

analysis shall include a recommendation to the Engineer to either allow or deny the Claim.

This analysis together with any additional pertinent Claim related material will be provided

to the other members of the Claim Review Group.

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CLAIMS REVIEW GROUP

Each member of the Claims Review Group will also conduct an independent detailed

review of the claim considering both the Claim’s procedural compliance and its merit and

provide a written review and recommendation to the Claims Management Specialist. In the

interest of timely and expeditious processing, the other members of the Claims Review

Group shall provide their review and recommendation at any time subsequent to their

receipt of the Contractor’s Claim Submittal and do not have to wait to receive the review

and recommendation of the Claims Management Specialist/Risk Management. (In the

event there is unanimous agreement between the Claims Management Specialist, the Law

Division, the Procurement Department and the Project Manager that the Claim has merit, it

may be recommended that the PM promptly process a Proposed Change Order (PCO) in

lieu of continuing the Claim Process.)

ENGINEER’S CLAIM REVIEW PACKAGE

Subsequent to the receipt of all recommendations from the Claims Review Group members

the Claims Management Specialist will prepare an Engineer’s Review Package containing

all pertinent Claim related material and whatever additional information and documents

the Engineer may request. This package is provided to the Engineer for his use and benefit

in making his final determination on the Claim.

ENGINEER’S DECISION

Following a review by the Engineer of the Engineer’s Review Package, including the

evaluations and recommendations of the Claims Review Group, a written Engineer’s

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Decision notifying the Contractor of the Engineer’s determination is issued. The

Engineer’s Decision will be drafted by the Claims Management Specialist, at the direction

of the Engineer. Engineer’s Decisions will be issued as specified in Article 19 of the

Contract Documents, subject to the provisions of M.G.L. c.30 s.39J, and will be

coordinated by the Claims Management Specialist, with the support and assistance of the

Project Manager/Resident Engineer.

CLAIMS WITHOUT MERIT

If the Engineers’ Decisions results in a denial of the Claim, the Engineer’s Decision will

reference the requirements Article 19 of the General Conditions regarding the submission

of a Notice of Objection and shall advise the Contractor that failure to provide a timely

Notice of Objection to the Engineer’s Decision will conclusively be deemed to be a waiver

of objection or further Claim of the matter. The Contractor’s written Notice of Objection to

the Engineer’s Decision must be submitted within twenty-one (21) days of receipt of the

Engineer’s Decision otherwise the claim is waived.

CLAIMS WITH MERIT

If the Engineer’s Decision results in a change to the Contract Price or Contract Time, the

Claims Management Specialist will coordinate the matter with the PM/RE for initiation of

a Change Order consistent with the determination by the Engineer, and Article 13 of the

General Conditions.

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ENGINEER’S DECISION REQUIRING NEGOTIATION OF PRICE OR TIME

In the event that an Engineer’s Decision determines entitlement and directs negotiation of

price or time, and the Contractor and the PM/RE cannot reach agreement, the issue will be

returned to the Engineer for a final determination as to the amount of the change.

Differing Site Condition Claims

M.G.L. c.30 s.39N and Article 13.3 of the Contract Documents set forth the terms and

conditions concerning a Differing Site Condition (“DSC”). In the event a Contractor

encounters a DSC the procedure outlined below shall be followed:

First, upon discovery of a DSC the Contractor must provide a written notice to the

Authority within twenty-one (21) days of discovering the condition.

Second, the Authority must promptly investigate the DSC and make a determination as to

whether or not the condition(s) encountered by the Contractor: (i) differ substantially or

materially from those shown on the plans/specs (sometimes referred to as “Type I”) or (ii)

differ from those ordinarily encountered and generally recognized as inherent in the Work

being performed (sometimes referred to as “Type II”) and (iii) cause an increase or

decrease to the cost of the performance of the Work. It is important to understand that this

is a two part test. Is the condition different and does it now cost more/less to perform the

Work as a result?

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Third, after the determination is made as a result of the investigation above the Contractor

shall be informed of the findings by FTM.

In the event the investigation finds that a DSC exists and it has caused an increase/decrease

to the cost of the Work then the FTM should include language that states as follows:

“This determination results in a Change to the Contract. The Contractor is requested

to submit a cost proposal within ten (10) days in conformance with Article 13 of the

Contract.”

In the event the investigation finds that no DSC exists or a DSC exists but has not caused

an increase/decrease to the cost of the Work then the FTM should include language that

states as follows:

“This determination results in no change to the Contract Price or Contract Time. In

the event the Contractor disagrees with this determination the Contractor’s attention

is directed to the requirements of Article 19.2.1 which requires the submission of a

written Notice of Claim within 21 days, and the subsequent requirement to provide a

complete claim submittal within sixty (60) days after delivery of the Notice of Claim

(unless the Engineer allows an additional period of time to ascertain more accurate

data in support of the claim as requested by the Contractor).”

Thereafter, the Claim Process as previously set forth above shall be followed.

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EXAMPLE

Massachusetts Water Resources Authority

F.T.M. NO. PAGE 1 OF 1

FIELD TRANSMITTAL MEMORANDUM

CONTRACOTR CONTRACT NO. DATE

Attention: Subject: Reference: Please acknowledge receipt of this memorandum by signing and returning one copy.

RECEIVED FOR CONTRACTOR FOR MASSACHUSETTS WATER RESOURCE AUTHORITY

BY: BY:

TITLE: DATE: TITLE: DATE:

EXHIBIT 4-F.1

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CLAIMS PROCESS FLOW CHART

EXHIBIT 4-F.2

When Appropriate

PM/RE Sends FTM telling the Contractor its

Notice of Claim is Due within 21 Days Pursuant to

Article 19.2.1

Upon Receipt of Notice of Claim

from PM/RE Claims Management

Specialist enters Claim Data on

Masterlist and tracks due date

Event of Claim See Examples in

Text

Upon Receipt of Notice of Claim PM/RE sends FTM

to Contractor stating Claim Submittal is due

within 60 days and sends copy of Notice of Claim

and FTM to Claims Management Specialist

Article 19.2.1 Notice of Claim Due Within

21 Days of Event

Article 19.2.1 Claim

Submittal Due within 60 Days of

Notice (time frame

can be extended)

PM/RE Sends Claim Submittal to

Claims Management

Specialist

Claims Management

Specialist writes detailed review (Copies

to Law and Procurement)

and sends Claim

Submittal to Claims

Review Group

Claims Management

Specialist receives written

review from PM, Law

and Procurement and prepares Engineer’s

Review Package

Claims Management

Specialist sends

Engineer’s Review

Package to Engineer

(Jae Kim) for final decision

Engineer Decision

Issued and Forwarded

to Contractor

Article 19 Contractor

must submit Notice of Objection within 21 Days or Claim is Waived

If Notice is not provided within 21 Days of when the Contractor knew or should have known about the event giving rise to the Claim then the Claim is Waived

If the Claim Submittal is not provided within 60 Days the Claim is Waived (time frame can be extended)

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EXAMPLE

COMMONWEALTH OF MASSACHUSETTS In Re: ) LYNNFIELD/SAUGUS PIPELINES PROJECT ) ) ) ENGINEER’S CONTRACT NO. 6584 ) DECISION ALBANESE BROTHERS, INC. ) ) CLAIM NO. 02 ) FILTER FABRIC ) I have reviewed the written claim material filed by the Contractor, Albanese Brothers, Inc. (“ABI” or “Contractor”) and the position of the Owner, the Massachusetts Water Resources Authority (hereinafter the “MWRA” or “Authority”). The Contractor claims that it is due additional cost in the amount of $329,210.92 and an additional 14 days of Contract Time to install filter fabric beneath the entire length of the pipeline for this Contract. The principle issues are as follows. Background On July 11, 2011 the Contractor submitted a written notice indicating that the installation of filter fabric beneath the entire length of the pipeline e constituted additional Work. The notice indicated in pertinent part as follows:

“. . . At the progress meeting that took place on 6/24/11, ABI was directed to install filter fabric below the pipe bedding for all piping. The Contract Specifications do not direct the Contractor to install filter fabric beneath all pipe. The Trench Section detail on Drawing CD-2 of the Contract Drawings does note where filter fabric is to be used. The half of the Trench Section Detail that describes the construction of a Rock Trench includes the note “Compacted Crushed Stone to be Wrapped in Filter Fabric.” The half of the Trench Detail that describes construction of an Earth Trench does not include the installation of filter fabric. The cost to provide and install the filter fabric, as directed by the Authority, is not included in the Contract Documents, therefore ABI should be compensated for this additional work.”

Authority’s Position The Authority provided its response to the Contractor in a letter dated August 31, 2011 which stated in pertinent part as follows:

EXHIBIT 4-F.3a

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“. . . Your attention is directed to Specification Section 02200 paragraph 3.04 H. which states “Backfilling beneath structures shall be crushed stone to the limits indicated on the Drawings. The stone shall be wrapped in filter fabric, as indicated on the Drawings and as specified in paragraph 2.03.” Further Contract Drawing CD-2 at “Trench Section” shows a typical “split detail” containing Earth Trench and Rock Trench with notation ‘Compacted Stone to be wrapped in Filter Fabric”. The Authority finds ABI’s request for an equitable adjustment to the Contract Price and/or Contract Time to be without merit and is hereby denied. . .”

Additionally, in an e-mail to the Authority dated 10/08/11 the Authority’s Design Engineer, Fay, Spofford & Thorndike (“DE” or “FST”) set forth its position on the claim. The e-mail stated in pertinent part as follows:

“. . . under [Section 02200] 3.04 C.4. Trench Backfill it clearly states that “Filter fabric and bedding material shall be placed after excavating.” It does not differentiate between a rock trench or earth trench. Also . . . Drawing CD-2 shows a detail that is labeled Trench Section. It clearly states with a note “Compacted crushed stone to be wrapped in filter fabric.” It is a split detail that is showing the different limits of excavation whether you are in a rock trench or an earth trench. It is clear to me wherever crushed stone is used it is to be wrapped in filter fabric. Therefore, I agree that the claim has no merit and should be denied.”

Contractor’s Position The Contractor’s position is best summarized in its claim submittal dated September 21, 2011 and states in pertinent part as follows:

“. . . The MWRA’s 08-31-11 letter referenced section 02200 paragraph 3.04 “Filling & Backfilling” Section H “Backfilling beneath structures…..” as a reason for denying ABI’s claim. ABI is in agreement with the MWRA that filter fabric is required beneath “structures”. Pipelines, however, are not “structures” as depicted within the Contract Documents . . . In Summary, ABI’s position is that the installation of filter fabric around ALL pipelines constitutes extra work for which additional compensation and an extension of Contract Time is required when not in a rock trench. ABI agrees with the MWRA that filter fabric is required under structures as per the reference in the MWRA 08-31-11 letter. Pipelines are not structures as is evident in numerous locations within the Contract Documents. Therefore, the MWRA’s reference to section 02200 paragraph 3.04H is inapplicable as it pertains to “structures” and not pipelines. . . Please reconsider your denial of this claim and prepare a Change. Order to equitably adjust the Contract Price and Contract Time pursuant to the Contract Documents. . . .”

EXHIBIT 4-F.3b

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Procedural Analysis The Contractor’s claim is timely and complies with the procedural requirements set forth in the Contract Documents. Merit Analysis First, I do not agree with the Authority’s interpretation of Specification Section 02200 paragraph 3.04 H. and agree with the Contractor’s assertion that “pipelines” and “structures” are different and distinct. Therefore, the disposition of this claim hinges on the interpretation of the split detail indicated on Contract Drawing CD-2. I find that the use and meaning of such a split detail is both common and clear and well accepted within the construction industry. The detail clearly requires the installation of filter fabric within both rock trench and earth trench. Moreover, the purpose of wrapping the stone in filter fabric is to prevent the migration of sediment and fines into the voids of the stone and thus prevent settlement of the pipe. The use of filter fabric is crucial when laying pipe in an earth trench where the likelihood of sediment migration is higher than in a rock trench. Furthermore, the Contractor’s interpretation of the split detail ignores the plain language in Specification Section 02200 paragraph 3.04 C. 4. And results in a conclusion that is inconsistent with the well accepted industry practice of installing filter fabric in earth trenches. ABI is an experienced and prudent Contractor and most certainly is well aware of the customary use and intended purpose of filter fabric. It is also noteworthy that the contractor’s interpretation of the split detail is so strained that it results in the conclusion that notes on the left side of the drawing have no bearing on excavation limits shown on the right side of the drawings. Engineer’s Determination For the reason’s set forth above, I find the Authority’s position persuasive and agree with Authority construction staff that the claim lacks merit. Therefore, the Contractor’s claim is hereby denied in its entirety. Pursuant to Section 00700 Article 19.5.1 this determination of the Engineer if final, conclusive and binding, subject to the provisions of M.G.L. c.30 s.39J. The Contractor should refer to Section 00700 Article 19.5.1 which provides that the failure to give notice of objection within twenty-one (21) days shall be conclusively deemed to be a waiver of objection or further claim of the instant matter. Jae Kim, P.E. Date

EXHIBIT 4-F.3c

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4.7 CONTRACT CLOSEOUT

The purpose of this Section is to outline for the construction department staff the requirements and

procedures necessary to close out a construction contract.

In closing out a construction contract, the Contractor must meet all MWRA internal procedures

regarding contract closeout (e.g. procedures for release of retainage, final payment, AIA Forms) in

a timely manner as required by the contract and in conformance with applicable state laws. If the

project is grant funded, the Authority's Grants Unit in the Budget Department must be provided

with closeout information necessary to meet any grant conditions if applicable. The following is a

step by step description of the process by which construction contracts are closed out:

SUBSTANTIAL COMPLETION:

The Contractor must declare in writing, to the Authority, that the work of the contract is

substantially complete as defined by the contract documents. At the same time the contractor may

request the release of all or a portion of the retainage being withheld. The term "substantial

completion", as previously discussed in Section 3.10, indicates the work of the contract has been

completed except for work having a contract price of less than one percent (1%) of the adjusted

total contract price, or substantially all of the work has been completed and opened to public use

except for minor incomplete or unsatisfactory work items that do not materially impair the

usefulness of the work required by the contract. Substantial completion shall be conclusively

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determined by the Authority after inspection of the work as described in Section 3.10 of this

manual. Generally, the contracts require that when the contractor declares substantial completion,

and it is accepted by the Authority, the Contractor will submit all warranties and guarantees.

Upon receiving the substantial completion notice by the Contractor, the resident engineer is to

perform an inspection of the contract work. Once the work is inspected, a written list of incomplete

and/or unsatisfactory work is developed with a monetized value for each item. This list is referred

to as the “punch list”. Prior to the resident engineer sending the list to the Contractor it should be

forwarded to the construction coordinator and consultant for their review and comment. There are

important items that should be included in the punch list but are not part of the physical work such

as documentation (testing reports; 1080 forms; record drawings; warranties; final manufacturer’s

operation and maintenance manuals; post construction photographs; etc.)

Note: The date the Construction Department establishes as the Substantial Completion date is the

start date for all warranties and guarantees.

The Contractor shall complete all punch list and incomplete work items within forty-five days

after receipt of notification of such unsatisfactory or incomplete work items or before the contract

completion date, whichever is later. If the Contractor fails to complete the list of incomplete or

unsatisfactory work within this time frame, the Contractor shall be given seven days written

notice, the Authority may terminate the contract and complete the incomplete and unsatisfactory

work items and charge the cost to the contractor. Once the contractor declares in writing to the

Authority that the contract is complete, the Authority shall within thirty days from notice of

completion from the contractor prepare and send final estimate for the quantity and price of the

work completed and all retainage less all payment made to date.

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BALANCING CHANGE ORDER

At the time of substantial completion the resident engineer shall prepare a rough draft of the

balancing change order and present it to the construction coordinator. A balancing change order

adjusts any unit price bid item to reflect the difference between the bid estimated quantity and

actual quantity used in the work. The balancing change is processed in the same manner as all

other change orders. A proposed change order (PCO) must be approved by Procurement before the

balancing change order is finalized. The purpose of the change order is to reduce/increase

estimated quantities to reflect actual quantities used. The balancing change order must also rectify

any bid allowances (such as Police and Fire Details) and also must include any time and material

(T&M) Not to Exceed (NTE) change orders not previously rectified in other change orders.

During the progress of the work the resident engineer shall have monitored any bid items

approaching an overrun and coordinated with the construction coordinator for a change order to

adjust the bid item and not exceed the quantity during any particular pay period. The balancing

change order should mainly be comprised of under run items with the exception of minor overruns

that may have occurred during the final completion of the project. The resident engineer and

construction coordinator shall not delay until the balancing change order to combine overruns and

underruns to offset their total cost. Overruns shall be monitored and addressed throughout the

progress of the work. The balancing change order shall include the following information:

1) A tabulation of each bid item showing an overrun (minor increase in quantities) or an

underrun (reduction in quantities). The tabulation shall show the overruns separated

from the underruns with separate Subtotal cost.

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2) The columns for each bid item noted above indicating the "Original Quantity/Unit

Price", the "Previous Quantity Adjustments", the "Increase/Decrease This C.O.", “Unit

Price” and "Total”. The difference between the Original Quantity and the Actual

Quantity multiplied by the Unit Price shall provide the amount of the change. Exhibit

4-Q.1a through 4-Q.1d and 4-Q.2a through 4-Q.2d are two examples of a typical

balancing change order bid item breakdown.

3) The balancing change order shall conclude with a summary which adds the net

increase/decrease to the original contract price.

4) A narrative justification must be included as to the reason for either the overrun or

underrun.

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EXAMPLE

PROPOSED CHANGE ORDER NO. 15

Project: Wachusetts Reservoir Spillway Improvements/ MWRA Contract No.: 7020

Quabbin Drain and Spillway Repairs EPA/DWPC Project No.: ________

Location: Various Locations MWRA Division: Construction___

Contractor: R. Zoppo Corp. __

Change Order proposed by (Check One): MWRA [ x ] Contractor [ ]

Check if URGENT action requested: [ ]

Change Description/Reason: (Include reason for urgent action). Please type or print clearly. Additional pages

may be attached if required.

See attached page.

By: Date:_________

MWRA Representative

Construction Department Recommendation: Yes [ ] No [ ]

By: Date:_________

MWRA Representative

MWRA Procurement Department:

[ ] The proposed change is consistent with MWRA procurement policy.

[ ] The proposed change is NOT consistent with MWRA procurement policy.

Remarks:

By: Date:_______________

MWRA Procurement Representative

**EXECUTION OF THIS FORM DOES NOT AUTHORIZE CONTRACTOR TO PROCEED WITH WORK**

EXHIBIT 4-Q.1a

4-74

EXAMPLE PAGE 2 CONTRACT 7020 PCO 15

1. DESCRIPTION OF CHANGE: Increase/decrease the estimated quantities of unit price items and Allowances to reflect actual quantities used as follows: ORIGINAL PREVIOUS INCREASE/ BID QUANTITY/ QUANTITY DECREASE UNIT ITEM UNIT PRICE ADJUSTMENTS THIS C.O. PRICE TOTAL 2 2,100 c.y./$50 None (1,060 cy) $50 ($53,000.00) 3 845 l.f./$300 None 62.33 lf $300 $18,699.00 4 520 l.f./$70 None (204 lf) $70 ($14,280.00) 5 260 bags/$50 None (144 bags) $50 ($7,200.00) 6 12 c.y./$700 None 2 cy $700 $1,400.00 8 350 c.y./$300 None (19.4 cy) $300 ($5,820.00) 10 $210,000/Allow. None ($135,557.81) Allow. ($135,557.81)

For a lump sum credit amount of ($195,758.81)

2. REASON FOR CHANGE: (7) Overruns/Underruns in quantities Bid Item 2, Rock Removal – The quantity of rock removed was about 50% of the estimated quantity. The reason for this discrepancy is due to the fact that information about the rock's surface and its relation to the ground surface is unknown. There were only about three or four borings taken at about 80 foot centers in the area where rock was removed. A precise estimate of the rock surface would require borings spaced at 5 to 10 feet. It was decided very late in the design that rock removal would be paid for on unit price basis. It was decided at that time that due to time constraints, additional borings would not be provided for the purpose of estimating the quantity of rock. The estimated quantity was, therefore, very conservative. Bid Item 3, Vibrating Wire Piezometer Installation at Quabbin - The final quantity equals 7% more than the original estimated quantity. The final quantity was a minor variance from the estimated quantity. Additional depth was required based on conditions encountered during drilling to ensure that the sensor instrumentation was below groundwater. Bid Item 4, Drill Boreholes for Grouting Corrugated Metal Pipe - Bore holes were required to be drilled through the top of a 24-inch pipe installed in 1938 located 44 to 66 feet below existing grade. No as-built drawings were available for this existing pipeline. The closest point at which the pipeline could be located precisely was about 400-feet away in an existing manhole. Also, it has a buried bend, whose location was uncertain. The area of the pipe that requires filling is located on the bend. The pipe is only 2-feet wide. The contract amount (250 linear feet) assumed the Contractor would have to drill about twice as many holes as required for filling the pipe due to misses. The Contractor only had one hole that could not be used for filling the pipe. This was due to the incredible accuracy of the design drawing sin terms of location of the pipe.

EXHIBIT 4-Q.1b

4-75

EXAMPLE PAGE 3 CONTRACT 7020 PCO 15 Bid Item 5, Grouting Corrugated Metal Pipe - The contract documents require the Contractor to fill a 24-inch corrugated metal pipe with grout. This pipe had not been used in several years and its condition was unknown. It was being filled to prevent it from becoming a conduit from the dam or collapsing and creating voids. Videos taken during construction on piping downstream of this location indicated that it was partially filled with sediment. There was no way of knowing the quantity of pipe that was filled with debris or sediment. The contract quantity was based on the pipes being clean. A final quantity used was 45% of the estimated quantity, indicated that 55% of the pipeline was filled with sediment. Bid Item 6, Abandon Existing Corrugated Metal Pipe with Jetted Sand - The final quantity equals 117% of the original estimated quantity. The contract documents required that sand was to be jetted upstream inside the 24-inch perforated CMP as far as possible. The Contractor was able to install the sand beyond the minimum 100 feet required. Bid Item 8, Gabions - This is a minor variation and contract quantity (6%). Bid Item 10, Police, Ranger and Fire Department Details - This item was overestimated based on the number of man-hours required to complete the project. Also contributing to the underrun was the fact that much of the Quabbin work, including grouting and repointing the spillway which would have required constant Ranger details for pedestrian and traffic safety, was eliminated from this contract. This Allowance was based on 45 hours a week, 18 months and $22 per hour at Wachusett and 45 hours week, 18 months and $35 per hour at Quabbin. These numbers were given to the Consultant by the Authority. Construction was able to build the project using considerably less coverage of Rangers. Additional requirements for state police and the fire department were nominal. This is an underrun of 65%.

3. URGENT ACTION REQUIRED? YES ( ), NO (X) IF YES, WHY?

EXHIBIT 4-Q.1c

4-76

EXAMPLE PAGE 4 CONTRACT 7020 PCO 15 4. REFERENCE DOCUMENTS: None ORIGINATION 5. ORIGINATOR/ORGANIZATION: Mike Schweihs PHONE #_5434 DATE: 2/20/09

6. CHANGE PROPOSED BY: MWRA(x); DITP( );CONTRACTOR( ) 7. R.O.M. EST: (195,758.81) 8. IS REWORK REQUIRED? YES( ),NO(x) 9. EST. OF EFFECT ON CONTRACT COMPLETION DATE: NONE(x), or, APPROX._DAYS 10. IS REDESIGN REQUIRED? YES( ), NO(x) 11. REQUESTED DEL. DATE FOR REDGN:N/A 12.IS A COD REQUIRED? YES( ),NO(x ) 13. TYPE OF CHANGE: CP SPECIFIC x ; MULTI-CP ; PLANT-WIDE ; SITE 14. CONTRACTS AFFECTED: None 15. COULD THE WORK BE PERFORMED UNDER ANOTHER CONTRACT? YES( ), NO(x) 16: MWRA ACTION:

DATE RECEIVED:

DECISION: APPROVED

DISAPPROVED

REFERRED

ACTION: DP MANAGER TO PREPARE COD

[ ]

SENIOR CM

DATE

DP MANAGER

DATE

EXHIBIT 4-Q.1d

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EXAMPLE

PROPOSED CHANGE ORDER NO. 3 Project: Diesel Generator Maintenance MWRA Contract No.: OP-115 Location: John Carroll Treatment Plant EPA/DWPC Project No.: N/A Contractor: Authorized Service of New England MWRA Division: Operations Change Order proposed by (Check One): MWRA ( X ) Contractor ( ) Check if URGENT action requested ( ) (Include reason for urgent action) Description of Change: See Page 2 Reason for Change: See Page 2 By: George Norregaard, Program Manager Date: January 19, 2012 MWRA Representative____________________________________________________________

The Construction Department/Section Recommendation: Yes ( ) No ( )

Remarks:

BY: Date: ___________________________________________________________________________

Procurement Department:

( ) The proposed change is consistent with MWRA procurement policy. ( ) The proposed change is NOT consistent with MWRA procurement policy.

Remarks:

By: Date:

EXECUTION OF THIS FORM DOES NOT AUTHORIZE CONTRACTOR TO PROCEED WITH WORK.

EXHIBIT 4-Q.2a

4-78

EXAMPLE Page 2 Contract #OP-115 PCO #3 Description of Change: Item 1: Increase the estimated quantity of Bid Item 2 to reflect the actual quantity used as follows: BID ORIGINAL PREVIOUS INCREASE/ ITEM QTY/UNIT QUANTITY DECREASE UNIT NO. PRICE ADJUSTMENTS THIS C.O. PRICE TOTAL 2 300 hours/$85 10 hours 16.25 hours $85/hour $1,381.25

For a lump sum amount of $1,381.25 Item 2: Decrease the estimated quantities of unit price items and allowances to reflect actual quantities used as follows: BID ORIGINAL PREVIOUS ITEM QTY/UNIT QUANTITY DECREASE UNIT NO. PRICE ADJUSTMENTS THIS C.O. PRICE TOTAL 3 75 Hr/$127.50 None (30 hours) $127.50 ($3,825.00) 4 $25,000/ $2,000 ($896.09) Allowance ($896.09) Allowance 5 $5,000/ $400 ($640.21) Allowance ($640.21) 20% markup 6 $10,000/ $4,000 ($572.78) Allowance ($572.78) Allowance For a lump sum credit amount of ($5,934.08) Reason for Change: Item 1: (7) Overrun in quantities Bid Item 2 required the Contractor to perform 300 hours of unspecified maintenance and repairs at the John J. Carroll Water Treatment Plant (“JJCWTP”)as well as 44 other Authority locations, Monday through Friday between 7 a.m. and 3 p.m at a bid price of $85 per hour. Change Order 2 increased the quantity by 10 hours because approximately 80% of available funds were used at that time and Staff wanted to ensure that there were adequate funds to cover any maintenance issues that might arise before the end of the contract. An additional 16.25 hours were required for the continued maintenance of the emergency generator at JJCWTP. Therefore, the final quantity for Bid Item 2 must be increased by 16.25 hours which will result in an increase of $1,381.25.

EXHIBIT 4-Q.2b

4-79

EXAMPLE Page 3 Contract #OP-115 PCO 3 Item 2: (7) Underrun in quantities Bid Item 3 required the Contractor to perform 75 hours of unspecified maintenance and repairs at the John J. Carroll Water Treatment Plant as well as 44 other Authority locations, Monday through Friday between 3:00p.m. and 7:00 a.m. and on weekends and holidays, at a bid price of $127.50 per hour. However, only 45 hours were used because most of the repairs occurred during normal business hours and were completed within one day. Therefore, the final quantity for Bid Item 3 must be decreased by 30 hours which will result in a credit of $3,825. Bid Item 4 included an allowance in the amount of $25,000 for replacement parts and materials. Change Order 2 increased the allowance by $2,000. The final amount used equals 96.7% which is a minor variance. Therefore, the amount of the allowance must be decreased which will result in a credit of $896.09. Bid Item 5 included a markup on parts and materials on Bid Item 4 in the bid amount of 20% ($5,000). Change Order 2 increased the amount of Bid Item 5 by $400 to correspond to the increased allowance for replacement parts. The final amount used equals 89% which is a minor variance. Therefore, this bid item must be decreased which will result in a credit of $640.21. Bid Item 6 included an allowance in the amount of $14,000 for services of a Factory Authorized Service Representative. Change Order 2 increased the allowance by $4,000. The final amount used equals 96.8% which is a minor variance. Therefore, the amount of the allowance must be decreased which will result in a credit of $572.78.

EXHIBIT 4-Q.2c

4-80

EXAMPLE Page 4 Contract #OP-115 PCO #3 4. REFERENCE DOCUMENTS: Appendix A 5. ORIGINATOR/ORGANIZATION: MWRA PHONE # 508-424-3609 DATE: 1/19/12 6. CHANGE PROPOSED BY: MWRA ( X ); DE ( );WW ( ); CECD ( ); CONTRACTOR ( ) 8. ROUGH ORDER OF MAG. EST: $1,381.25. IS REWORK REQUIRED? YES ( ), NO (X) 9. EST. OF EFFECT ON CONTRACT COMPLETION DATE:NONE (X), or, APPROX. _____DAYS 10. IS REDESIGN REQUIRED? YES( ), NO( X ) 11. REQUESTED DELIVERY DATE FOR REDESIGN: 12. CPs AFFECTED: N/A 13. COULD THE WORK BE PERFORMED UNDER ANOTHER CP? YES ( ), NO (X) 16. CECD ACTION: DATE RECEIVED: / / DECISION: APPROVED DISAPPROVED REFERRED ACTION: / / / / SENIOR CM DP MANAGER

EXHIBIT 4-Q.2d

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PARTIAL RELEASE OF RETAINAGE – CHAPTER 30

At the time substantial completion is established, if the contract is a Chapter 30 Construction

Project (horizontal work contracts), the contractor is entitled to a partial release of retainage.

Under existing Laws the retainage is reduced 5% to 1% of the contract value of work done, plus

the value of the punchlist and any claims the MWRA may have against the contractor. The

Executive Director (MWRA) must approve any release of retainage under his delegated authority

in a Staff Summary which is prepared by the construction coordinator. The Staff Summary states

Substantial Completion date and it will include the total amount of retainage withheld to date, the

amount to be released and the amount still to be retained. The Staff Summary should also certify

that all the contractual requirements, relating to partial release of retainage have been met and to

further authorize staff to pay additional invoices upon completion of the punchlist up to an amount

of the total value of punchlist items. The following documents are required from the contractor in

support of a partial release of retainage.

1) Letter from contractor requesting partial release of retainage.

2) An Invoice from the contractor similar to the invoice shown in Section 3, Exhibit 3-A.1.

This pay estimate does not get assigned a numeric number but is assigned a partial release

of retainage (PRR) number.

3) Consent of the contractor's surety to Partial Release of Retainage.

4) The Surety's Power of Attorney.

After a partial release of retainage to the contractor, the outstanding monies retained by the

Authority should be 1% of the value of work done plus the value of any remaining punch list items

and any claims the MWRA may have against the contractor. The one percent of retainage

outstanding will continue to be withheld for a period of one year or until all contractual obligations

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are met.

FINAL RELEASE OF RETAINAGE – CHAPTER 30

For Chapter 30 Contracts (horizontal work) in which the contractor certifies that all his contractual

obligations are complete, the contractor is entitled to final release of the 1% retainage (withheld)

and any remaining unpaid balance for completed punch list items. As mentioned above, the

Executive Director must approve any release of retainage. The Executive Director's approval is

obtained though the Staff Summary process. The Staff Summary must state that all work required

was completed in accordance with the contract documents. Also, the Staff Summary must include

a summary of the original bid amount, all change orders, including the executed balancing change

order and final contract amount as well as the amount of retainage being released. The following

documents are required from the contractor:

1) Contractor's letter stating that contract is complete and requesting final release of

retainage.

2) Contractor's invoice for final release of retainage.

3) Consent (of contractor's) Surety Company for Final Payment and Final Release of

Retainage.

4) Contractor's Affidavit of Payment of Debts and Claims.

5) Contractors Affidavit of Release of Liens.

6) Statement of One Year Warranty and Guarantee.

7) Certificate of Insurance beyond Final Payment for specified time period where the

minimum time to be equal to the warranty/guarantee period.

4-83

In addition, the staff summary must also be accompanied by a Certificate of Substantial

Completion and a DCAM Contractor Evaluation Form both of which are to be provided by the

Construction Department. It should be noted that a failing grade (less than 80 points) for a DCAM

Contractor Evaluation Form requires prior review and concurrence by MWRA Management.

Finally, all certificates of compliance and applicable permits that are to be issued by Conservation

Commission, MADEP, MADOT, Corp. of Engineers, etc., if required. These documents should be

placed in the construction files and copies attached to the staff summary.

PARTIAL RELEASE OF RETAINAGE – CHAPTER 149

At the time substantial completion is established, if the contract is a Chapter 149 Construction

Project (vertical construction work) the contractor is entitled to a partial release of retainage. As

required by statute, the 5% is reduced to 0% plus the value of incomplete and unsatisfactory work.

The retained amount shall provide a reasonable amount of money to assure that the contractor

provides the final documentation needed to declare the contract complete. The Executive Director

(MWRA) must approve any release of retainage under his delegated authority. His approval is

requested in a Staff Summary which is prepared by the construction department. The Staff

Summary states the contract is substantially complete, it will include the total amount of retainage

withheld to date, the amount to be released and the amount still to be retained. A description

should be given of any outstanding punch list items and their value. The Staff Summary can

request authorization for staff to process payments for punch list work as these items are

successfully completed prior to final completion, up to an amount no more than 10% of the total

retainage held at Substantial Completion. The following documents are required from the

contractor in support of a partial release of retainage.

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1) Letter from Contractor with a declaration of Substantial Completion requesting partial

release of retainage.

2) An Invoice from the contractor similar to the invoice shown in Section 3, Exhibit 3-A.1,

with the cover sheet changing the retainage amount and the SOV pages indicating no

work this pay period. This pay estimate does not get assigned a numeric number but uses

a Partial Release Retainage (PRR) number.

3) Consent of the contractor's surety to Partial Release of Retainage.

4) The Surety's Power of Attorney.

Since 1% retainage is not held in addition to punchlist in a Chapter 149 construction contract, the

resident engineer and construction coordinator may release partial payments for the completion of

punchlist items up to an amount no more than 10% of the total retainage held at Substantial

Completion.

The amount of retainage outstanding will continue to be withheld until contractual obligations

have been met.

FINAL RELEASE OF RETAINAGE – CHAPTER 149

For Chapter 149 Contracts (vertical construction work) in which the contractor certifies that all his

contractual obligations are complete including any remaining unpaid balance of the punch list. As

mentioned above, the Executive Director must approve any release of retainage. The Executive

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Director's approval is obtained though the Staff Summary process. The Staff Summary must state

that all punch list items are complete and that the contractor's contractual obligations have been

met including the receipt of all warranties, guarantees and as-built etc. Also, the Staff Summary

must include a summary of the original bid amount, all change orders, including the executed

balancing change order and final contract amount as well as the amount of retainage being

released. The following documents are required from the contractor:

1) Contractor's letter stating that all contract work is complete and requesting final release of

retainage.

2) Contractor's invoice for full release of retainage.

3) Consent (of contractor's) Surety Company for Final Payment and Final Release of

Retainage with Power of Attorney.

4) Contractor's Affidavit of Payment of Debts and Claims.

5) Contractors Affidavit of Release of Liens.

6) Statement of One Year Warranty and Guarantee.

7) Certificate of Insurance beyond Final Payment for specified time period where the

minimum time to be equal to the warranty/guarantee period.

In addition, the staff summary must also be accompanied by a Certificate of Substantial

Completion and a DCAM Contractor Evaluation Form both of which are to be provided by the

Construction Department. It should be noted that a failing grade (less than 80 points) for DCAM

Contractor Evaluation Form requires prior review and concurrence by MWRA Management.

Finally, all certificates of compliance and applicable permits that are to be issued by Conservation

Commission, MADEP, MADOT, Corp. of Engineers, etc., must be obtained at time of project

closeout. These documents should be placed in the construction files and copies attached to the

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staff summary.

PROJECT CLOSE-OUT DOCUMENTATION

The resident engineer is required to assist the construction coordinator and project manager in

closing-out the contract. The Construction Department is to ensure that the following contract

requirements are received from the Contractor. The preferred method to achieve this is to notify

the Contractor, in writing, that the following documentation is needed to close-out the contract.

• The DCAM Contractor Evaluation Form is complete, accurate and non-bias. A

blank copy of this form can be found in the Appendix of this manual.

• A notice from the contractor indicating that all required insurance coverage is in

force and will continue to be enforced through out the life of the contract.

• Certification of Labor Standards and Insurance Compliance.

• Equipment Operations and Maintenance Manuals are complete, approved and are

on site.

• Construction as-built red-line drawings are complete, accurate and delivered to

the Home Office.

• All operations and maintenance manuals have been furnished by the contractor

and turned over to Operations Division.

If the contract is grant funded, the Grants Unit within Budget Department is to be provided with

copies of any required/requested documentation.

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As part of the project closeout, the Construction Department shall confirm with the construction

coordinator that all requirements contained in the permits section of the contract specifications

such as Conservation Commission Order of Conditions, roadway/street opening permits, building

permit (local and/or state), MWRA 8M, MassHighway (MDOT), Department of Conservation

(DCR) and any other outside agency has been completed. Many permits have specific required

contract closeout deliverables either from the Contractor, the Consultant or the Authority. For

example, an Order of Conditions requires a Certificate of Compliance that must be applied for

from the local Conservation Commission at project completion. Stamped record drawings of work

areas covered in the Order must be prepared and the Certificate of Compliance once obtained must

be recorded at the Registry of Deeds. These tasks are all considered part of the Construction

Department contract closeout.

5-1

S E C T I O N 5

REVIEWS, REPORTING FORMS & PROCEDURES

PAGE

5.1 PROJECT (ADMINISTRATIVE) REVIEWS 5-2

5.2 MATERIALS CONTROL FORM 5-9

5.3 FIELD OFFICE VISITORS LOG 5-12

5.4 JOB MEETING REPORT 5-14

5.5 ACCIDENT REPORT 5-24

5.6 DAMAGE REPORT 5-30

5.7 COMPLAINT REPORT 5-34

5.8 POLICE DETAILS 5-37

5.9 FACILITY HANDBOOK 5-38

5.10 ONE YEAR PROJECT PERFORMANCE CERTIFICATE 5-41

5-2

5. REPORTING FORMS, PROCEDURES & REVIEWS

5.1 PROJECT (ADMINISTRATIVE) REVIEWS

From time to time, depending on the size of the construction contract, the resident engineer will be

visited by a representative of the Construction Department to review the resident engineer's

administrative procedures being maintained in the field. The purpose of this review is to assure the

appropriate records for the work in progress have been implemented and are being maintained in

accordance with current Authority policies and this manual.

The resident engineer is required to give his/her full cooperation during this review. The

representative, acting on behalf of the Assistant Director of Construction, will make a thorough

review of all field records, with the responsibility of pointing out to the resident engineer any areas

of conflict and to make positive suggestions to further improve the efficiency of record keeping in

the field. Upon completion of the review, the representative will prepare a report of his/her

findings and forward it to the Assistant Director of Construction for his/her information, and/or

action. The report shall consist of: 1) a cover letter (See Exhibit 5-A.1 for an example of a memo)

which outlines, in general, the findings of the report, 2) a summary sheet (See Exhibit 5-A.2)

which outlines project information of the contract and a brief description of the scope of work, 3) a

review checklist (See Exhibit 5-A.3) which list of a number of topics relating to the administrative

requirements of the resident engineer and 4) a list of reviewer's comments regarding the above

mentioned topics found to be in need of attention (See Exhibit 5-A.4a through Exhibit 5-A.4c).

5-3

EXAMPLE

MEMORANDUM

TO: Corinne Barrett – MWRA Assistant Director of Construction

FROM: Maureen Smith - MWRA Construction Coordinator

DATE: November 10, 2011

SUBJECT: Project Review, QA/QC Southern Point CSO Facility

Contract No. 6759

On November 8, 2011 a project review was performed on the above subject project. The purpose

of this review is to assure that appropriate records of the work in progress have been established

and are being maintained in accordance with current Authority policies and Construction

Department’s Resident Engineer's Manual.

Attached are my comments of the review conducted. An overall review of the contract indicates

the MWRA field staff is performing their duties in a satisfactory manner and that field records

have been established and are being maintained properly. Several recommendations were

suggested to improve the maintaining of the Project Log Book, Quantity Control Ledger, filing

system and shop drawing submittals. A review of the job's records indicates the work is currently

two weeks behind schedule, although, the Contractor's progress appears satisfactory.

If you have any questions regarding this review, please feel free to contact me at Ext 7777.

File: 6759-2i

EXHIBIT 5-A.1

5-4

EXAMPLE

P R O J E C T R E V I E W S U M M A R Y

DATE: 11/10/11 REVIEW UPDATE No. 7 PROJECT: Southern point CSO Facility FIELD 15 East Water Street OFFICE ADDRESS: Dorchester, MA PHONE: 671-123-1234 CONTRACT No. 6759 AWARD DATE: 12/18/10 START CONTRACT SCHEDULE DATE: 1/21/10 COMP. DATE: 9/10/12 COMP. DATE: 9/10/12 CONTRACT ADJUSTED BID PRICE: $5,636,000 CONTRACT PRICE: $5,750,636 PAY PERCENT CURRENT SCHD. ESTIMATE No. 15 DATED: 5/10/11 COMPLETE: 20 PERCENT COMP. 20 CONTRACTOR: Northern Continental Constructors SUPERINTENDENT: Tom Driscoll CONSULTANT ENGINEER: William Martini - ABCD Consultants CONSULTANT’S REPRESENTATIVE: None MWRA PROJECT PERSONNELNAME TITLE POSITION Wally Waterman Civil Engineer Resident Engineer Sally Sugarman Jr. Civil Engineer Inspector

SCOPE OF WORK: Construct Combined Sewer Overflow Storage Facility

REVIEWER (S): Maureen Smith Construction Coordinator NAME TITLE

EXHIBIT 5-A.2

5-5

EXAMPLE

PROJECT REVIEW CHECKLIST Southern point CSO Facility 6759 11/10/11 PROJECT CONTRACT # DATE

ITEM TOPIC SATISFACTORY SEE COMMENT

A. PROJECT FACILITIES AND EQUIPMENT See Attached

B. CONTRACT DOCUMENTS

1) PLANS & SPECIFICATIONS A 2) CONTRACT LOG BOOK A 3) FIELD ENGINEER'S DAILY REPORTS A 4) SCHEDULE OF OPERATIONS A 5) STANDARD FILING SYSTEM A

C. SUBCONTRACTORS A

D. TRAFFIC POLICE DETAILS A

E. FORCE ACCOUNT AGREEMENTS NA

F. LABOR COMPLIANCE REPORTS 1) PAYROLL SUBMITTALS A 2) LABOR CHECKS See Attached

G. CHANGE ORDERS 1) PROPOSED CHANGE ORDERS (PCO) A 2) COST PROPOSAL & REVIEW A 3) TIME &.MATERIALS DATA A 4) NOTIFICATION OF CLAIMS None to date

H . SU R VE Y S See Comments

I. AUDIT & DOCUMENTATION

1) MANIFOLD PAY QUANTITIES A 2) LIN. MEASUREMENT CHECK A 3) QUANTITY CONTROL LEDGER A 4) FINAL PAYMNT.DOCUMENTATION N/A

J. MATERIALS CONTROL 1) SHOP DRWG. DOCUMENTATION A 2) SAMPLES A 3) CEMENT/CONCRETE CONTROL See Comment 4) PLANT & MILL REPORTS N/A 5) COMPACTION PROCEDURES A 6) DELIVERY SLIPS A

K. FIELD WORK PERFORMANCE 1) CONTRACTOR A 2) PERSONNEL (CONSULTANT) None 3) PERSONNEL (AUTHORITY) A

L. FIELD SAFETY CONDITIONS A -- SEE ATTACHED COMMENTS – EXHIBIT 5-A.3

5-6

EXAMPLE

SOUTHERN POINT CSO FACILITY

November 8, 2011

REVIEWER'S COMMENTS UPDATE No. 15

The attached checklist was used as a guide to develop the review and this report.

A. PROJECT FACILITIES AND EQUIPMENT

Trailer, office equipment, vehicles, and facilities are generally adequate. Computer and cell phones have been assigned. With work underway at two and sometimes three separate and remote sites, it appears that one or two additional cell phones would be desirable.

B. CONTRACT DOCUMENTS

1. Adequate copies of conformed plans and specifications are located within the trailer and appropriate red lined as-built plans are being maintained.

2. The Contract Log Book is maintained current with clear and complete entries and properly identified references. The log book has been reviewed/signed periodically by the Construction Coordinator. Work Force Account forms are not used on this contract, but Contractor labor and equipment is recorded daily in the resident engineer’s daily reports. It appeared that the necessary information is being recorded daily. Generally, it was all recorded under format items 1 through 4, even when it would more appropriately have been located under some of items 5 through 16. This was discussed with the staff. Consideration should be given to using all format numbers both for ease of reference and as a check-off to ensure that all necessary information is being recorded.

3. Manifold Reports are submitted daily and are clear and appear complete. Books are not signed out to field inspectors and consecutive pages used on the same day are not always numbered 1 of 2, 3, etc. This was discussed with the staff.

4. The initial schedule was approved 1/27/11. A marked-up copy of the schedule was posted on the trailer wall. The Contractor is estimated to be about two weeks behind schedule. A revised schedule is at the Consultant for their review and comment.

5. The filing system was set up and maintained in accordance the R. E. Manual. Records were retrievable. The use of file sub-numbers for recurring records such as pay estimates, change orders, etc. was discussed with the staff who will institute this numbering.

EXHIBIT 5-A.4a

5-7

EXAMPLE

C. SUBCONTRACTORS Subcontractor Work Started Complete GeoSonics Inc Pre/Post Construction 1/06/11 Survey & Video Timber Clearing/Grubbing 1/18/11 Harvesters (WBE) Atlantic Blasting Blasting Holes 1/27/11 2/3/11 Cedar Line Fence Relocating Fence 2/16/11 R. J. Bradley(WBE) Formwork & Rebar 2/21/11 Bellanti Rock Concrete Demo. 2/20/11 Splitting Fiore Const. Concrete Placement 3/31/11

D. TRAFFIC POLICE Police detail documentation is up to date. Field staff has recorded, badge number, date, hours and location.

E. FORCE ACCOUNT AGREEMENT None this period. F. LABOR COMPLIANCE REPORTS

Certified payrolls for the weeks ending 2/05/11 through 3/19/11 were received very recently. No checks on labor rates have been conducted yet.

G. CHANGE ORDERS

Two Proposed Change Orders (PCO) have been approved to date. Change Order (CO) #1 had not yet been issued, although it was at the site for signature.

PCO # DESCRIPTION AMOUNT

1 Temporarily Relocate 450 LF Chain 3,786 Link Fence

2 Remove Contaminated Soil 106,000

EXHIBIT 5-A.4b

5-8

EXAMPLE

The site file contained a partially signed copy of PCO#1. As a result of a site meeting between Contractor, MWRA Staff, and Consultant, PCO#2 is being accomplished on a lump sum basis (for Subcontractor services) and a time and material basis for any additional labor, materials and equipment furnished by the Contractor. A copy of the PCO, Work Force Account forms documenting time and material expended, and a Contractor letter confirming the site meeting results are on file at the site. Change order authorization and file documentation requirements were discussed with the staff.

H. SURVEY

Survey Books documenting elevations taken are maintained by the field staff. It was suggested the survey books should be in the possession of the field staff while doing site inspections.

I. AUDIT AND DOCUMENTATION

Although some unnecessary entries have been made in the Q. C. L. in the past, current practices are in line with the procedures of the R. E. Manual.

J. MATERIALS CONTROL

The staff has a log of submittals and tracks them as received. It is apparent that the logging of submittals provided by the consultant had action codes which differ from the action codes * on the Authority’s shop drawing log form and shop drawing transmittal forms.

It was noted that submittals on trench support systems had not been approved (revise and resubmit) although trench work was underway. Discussion with staff indicated that this status was known and the Contractor was proceeding with the work at their risk.

Concrete test reports have not yet been received.

It is understood that the Contractor has submitted deviations to the design, these items have been forwarded to the design consultant for approval, but none have been approved to date.

K. FIELD PERFORMANCE Construction activity (form erection, concrete demolition, boulder removal, dewatering) was observed at a junction chamber off Canton Rd. and Factory Mutual Rd. The MWRA Field Inspectors were questioned as to the work in progress and were found to be knowledgeable as to the Contractor's work and the inspection procedures associated with the work being performed.

L. FIELD SAFETY CONDITIONS

Safety conditions being utilized by the Contractor for his employees were observed.

EXHIBIT 5-A.4c

5-9

5. REPORTING FORMS, PROCEDURES & REVIEW

5.2 MATERIALS CONTROL FORM

For the purpose of this section we will focus on documenting the events surrounding a typical

concrete placement at the job site.

The first step by the resident engineer is to review the contract specifications concerning concrete

inspection. If the specification refers to an ACI standard, it is the responsibility of the resident

engineer to request a copy of the standard from construction coordinator well in advance of placing

concrete. The resident engineer should verify that the source of materials and concrete mixture to

be used have been submitted and approved. The resident engineer shall ensure that the samples of

aggregate and cement are delivered to the Authority's designated testing laboratory.

During construction the resident engineer shall observe all concrete placements made by the

contractor. Prior to a concrete placement, the resident engineer shall inspect the reinforcing steel

for size, spacing and to ensure the bars are free of rust, oil, dirt etc. Also, the resident engineer shall

inspect the concrete forms for strength and soundness. Once the concrete trucks arrive on site, the

resident engineer should review the concrete slips issued at the batching plant to ascertain how

long it has been since the concrete was mixed. Concrete older than 1-1/2 hours is grounds for

rejection. The resident engineer shall time the revolutions of the transit mixer to determine if the

proper amounts of turns are achieved. As a rule of thumb not less than 70 but no more than 100

revolutions of the drum are permitted. The resident engineer shall not permit any concrete

5-10

placements to occur unless the Authority's designated materials field inspectors are present.

Exhibit 5-B.1 is a Materials Control Sheet to be used for concrete placements.

The resident engineer shall enter all pertinent information requested on this form regarding

concrete placements. The resident engineer shall retain this form in the field office files and

forward a copy to the construction coordinator.

5-11


CONSTRUCTION DEPARTMENT MATERIALS CONTROL SHEET

CONCRETE

Contract Number: 6759 Page 1 of 1

Testing Agency: PSI Testing Company

Required Strength 4000 psi

Date of Placement

Amount (cy)

Location of Test

Sample ID Test

Test Results Slump Air PSI

Remarks

3/23/11 10 Wall Column Line A

G106 8 73° F 3324 7 Day Break

3/30/11 9 Slab - Column Line 2

H342 5 63° F 3820 5 Day Break

4/4/11 73 Mezzanine Stairway

R031 4 55 3820 7 Day Break

4/4/11 73 Mezzanine Stairway

R038 5.5 51 4140 7 Day Break

EXHIBIT 5-B.1

5-12


5.3 FIELD OFFICE VISITORS LOG A field office visitors log shall be maintained on most construction projects, depending on the size

of the job. The resident engineer will be responsible for posting the log sheet in a conspicuous

place in the field office. The purpose of the visitors log is to have a register of who visits the job

site and for what purpose, with the exception of the Authority's assigned field staff and the

contractor's on site personnel. In the effort to justify billings from consultants or vendors, these

logs are often used to verify when someone arrived and left the job site and also the reason why the

site visit was necessary, such as; shop drawing review, change order review, to attend a progress

meeting, taking concrete cylinders, testing etc.

Exhibit 5-C.1 is a Visitors Log form to be used on the job site. The resident engineer is to ensure all

persons visiting the job site are registered and the log entries are as complete as possible. If a

visitor signs in at the trailer and does not sign out, an estimated leaving time shall be entered by the

resident engineer. A copy of the log shall be periodically forwarded to the construction coordinator

for informational purposes. An up to date copy of the visitors log shall be maintained in the

resident engineer’s log book.

5-13

VISITORS LOG

Sheet of ____ Project: MWRA Contract No.: Location: Contractor:

DATE VISITOR – REPRESENTING PURPOSE OF VISIT TIME - IN

TIME - OUT

EXHIBIT 5-C.1

5-14


5.4 JOB MEETING REPORT

Job meetings are a very important part of the construction process. Good communication between

the Authority, consultant engineer and the contractor is vital to a successful conclusion of the

project. Taking minutes of meetings is the key to good communication on a construction project.

Minutes of meeting must be taken for all meetings held in the field. The resident engineer is

responsible for recording the minutes of meeting relative to his /her assigned project, unless it is in

the scope of work for the consultant. In order to provide complete and accurate "Minutes of

Meeting", one must take good notes and be able to convert these notes into a fair representation of

what transpired at the meeting and by whom. The recorded minutes of the meeting offered by the

resident engineer may be an official record of a meeting or be combined with the construction

coordinator's thoughts to produce a joint understanding of a meeting held. The resident engineer

should always prepare a draft copy of the minutes of the meeting and review them with the project

manager or the construction coordinator. Meeting minutes shall be recorded in order of a

pre-meeting agenda. Agenda for each project meeting shall be established by the resident engineer

and coordinated with the contractor and construction coordinator. An attendance sheet shall be

circulated to document the attendees of the meeting.

Meeting minutes once completed and reviewed by the construction coordinator shall be distributed

to all parties in attendance within seven days or five work days of the date of the meeting. The

resident engineer is required to keep the minutes to the best of his/her ability to the discussion that

took place and not “ad-lib” after the fact information or insert personnel opinion about what was

5-15

said or took place and sentences should be short and direct. The resident engineer shall document

any handouts that were distributed at the meeting and make them attachments to the finalized

meeting minutes. The resident engineer shall file the meeting minutes according to the project file

system and also place a copy in a three ring binder similar to daily report book for future and

immediate reference.

The progress meeting agenda established by the resident engineer should contain a section for

project status and minimum two week look ahead to assist the resident engineer and his/her field

staff to prepare for the work ahead. The resident engineer shall be responsible for providing the

contractor with any updates on RFI’s, COR’s, PCO’s, CO’s, Shop Drawings, permits, scheduling

conflicts and outside agencies that he/his is aware of.

Basically, there are two types of meetings held on a construction contract; 1) Routine or Progress

Meetings and 2) Special Meetings. Progress meetings are held to record the daily routines of the

contractor and progress achieved and performed, while Special Meetings revolve around a certain

topic or specific issue. Progress meetings are generally held on a weekly, bi-weekly or monthly

basis depending on the type of construction contract. A Special Meeting is held as soon as possible

after a job specific issue has been raised.

Progress meetings minutes are to be sequentially numbered and dated, i.e. Progress Meeting No.

24, Dated December 5, 2005. Exhibit 5-D.1 (pg. 5-17) is a suggested form to be used by the

resident engineer or field staff to record minutes of meetings (Note: If more space than provided on

the form is necessary, additional pages are to be attached to the report). Special Meetings should

5-16

also be sequentially numbered and have a brief description of topic of concern, i.e. Special

Meeting No. 1 – Jacking Pit at Intersection of Baker Street and Cemetery Entrance. Exhibit 5-D.2

(5-22) is a suggested form to be used by the resident engineer or field staff to record minutes of

special meetings (Note: If more space than provided on the form is necessary, additional sheets are

to be attached to the report). EXHIBIT 5-D.1a through 5-D.1e is an example of progress meeting

minutes and the associated sign-in sheet and agenda and EXHIBIT 5-D.2a through 5-D.2b is an

example of special meeting minutes.

The final copy of either meeting report shall be kept in the job files with an electronic copy

forwarded to the Home Office.

5-17

EXAMPLE

REPORT OF MEETING

PROGRESS MEETING MEETING DATE: 11/08/07

PROJECT TITLE: Upper Neponset Valley Replacement Sewer

MWRA Sewer Sections 687 MWRA Contract No. 6629

SUBJECT: Bi-Weekly Meeting No. 24 LOCATION: Field Office

1208A VFW Parkway, Suite 205 West Roxbury, MA 02132

Prepared By: FST/MAS/11/19/07 Page: 1 of 3 NOTE: ATTACH ADDITIONAL SHEETS IF NECESSARY 1. List of persons in attendance: Name Organization Title PHONE

See Attached Sign-In sheet. Minutes of meeting – Review of Work Progress:

A detailed agenda of Meeting No. 23 is attached. Minutes from previous meeting of 10/25/07 were distributed. The following minutes highlight the items discussed:

2. Work Zone Safety.

a. No safety issues to report this period. 3. Coordination with Outside Agencies and Contacts.

a. City of Newton Conservation Commission (NCC): No outstanding issues with NCC.

FST Field Representative and MWRA Project Manager to coordinate planting warranty issues.

EXHIBIT 5-D.1a

5-18

EXAMPLE

b. City of Newton: ABI completed wheel chair ramps and installation of warning panels. No outstanding issues with City of Newton.

c. Saint Joseph Cemetery (SJC): Overlay paving for portions of cemetery roadways not

disturbed by sewer alignment is scheduled to be paved on 11/9/07. FST to coordinate installation of easement stone boundaries, sewer abandonment work and completion of overlay paving spring 2008.

d. Temple Beth Avodah: All planting completed within Temple easement. FST and

MWRA to coordinate replication areas with City of Newton Tree Warden.

4. Contractor Two-Week Look Ahead.

a. Complete demobilization and cleanup in cemetery construction storage area.

b. Continue material removal, project wide cleanup and work on punchlist items.

5. Review of Submittals, Outstanding Construction Issues and RFI’s.

a. Submittals.

1. FST developing work plan to address abandonment of sewer issues for review and approval by MWRA prior to forwarding to ABI. ABI to evaluate procedure for any additional cost and present schedule to complete work.

b. Construction issues.

1. Abandonments: ABI has filled several sections of abandoned sewer along

Wayne Road with limited success filling these smaller (15”-18”) pipes. FST developing work plan to address this issues prior to further pipe filling. ABI has been asked to postpone future abandonments until further direction from FST and the MWRA.

2. Odor: Several residents have complained of sewer odors from the new MWRA

sewer system. MWRA has plugged several manhole cover pick holes to mitigate odor problems raised by some residents. There have been no additional complaints at this time.

3. Restoration: The property owner at 248 Old Farm Road has completed

replacement of his existing water service and ABI has completed all restoration work. No outstanding issues at this property at this time.

EXHIBIT 5-D.1b

5-19

EXAMPLE

4. Punch List: FST Field Representative continues to coordinate completion of open work items on an ongoing basis. Several driveways require additional temporary pavement at the edge of the roadway to eliminate the “lip” that will remain until final overlay paving is placed next year. FST to compile monetary punch list for supplement to ABI substantial completion request.

5. Record Plans: FST has crew on-site recording as-built information for

incorporation into Record Plans.

6. Substantial Completion: MWRA has created milestone for final paving, which has been included in PCO No.13. FST to develop PCO No. 14 for balancing change order to supplement ABI’s substantial completion request for reduction in retainage from 5% to 1%.

6. Proposed Change Orders.

a. PCO No. 12: Adjustments to pipe unit items 2 and 6 quantities and PCO No. 13 for

60-day extension for final overlay paving to be completed in spring 2008 has been prepared and is moving forward in Change Order No. 3.

7. Other Business.

a. FST requested that ABI take monthly photos to document work completed to date and aerial photo of completed project per the contract requirements.

b. No outstanding complaints at this time. FST and ABI have delivered car wash coupons

to residents of Old Farm Road, Grace Road and Wayne Road along the sewer alignment affected by the construction.

c. No additional Progress Meetings required at this time. Site meeting to be scheduled for

sewer abandonment, close out and overlay paving in spring 2008 as needed.

Attachments: Agenda; Attendance Sheet;

S:\Jm-056-UNVRS\Final Design\Section 530 - Contract 2\Phase III Services\Constr. Monthly Meetings\6629_REPORT_OF_MEETING_BiWeekly_11_08_07.doc

EXHIBIT 5-D.1c

5-20

EXAMPLE

MEETING AGENDA – UPPER NEPONSET REPLACEMENT SEWER

PROGRESS MEETING NO. 24 CONTRACT No. 6629

MEETING DATE: November 8, 2007 1) APPROVAL MINUTES PREVIOUS MEETING

a. Progress Meeting No. 23

2) REVIEW OF WORK ZONE SAFETY 3) COORDINATION OUTSIDE AGENCIES AND CONTACTS 4) CONTRACTOR TWO-WEEK LOOK AHEAD 5) REVIEW OF SUBMITTALS AND OUTSTANDING CONSTRUCTION ISSUES AND RFIs

a. Construction Issues 1. Abandonments 2. Odor 3. Planting/Restoration 4. Punch List 5. Record Plans 6. Substantial Completion

6) PROPOSED CHANGE ORDERS / CHANGE ORDERS: STATUS OVERVIEW

a. PCO No. 12: Misc. Unit Quantity Adjustments b. PCO No. 13: Time extension for finish paving

7) OTHER BUSINESS

a. Open Discussion of ongoing construction. b. Complaints c. Next Meeting

S:\Jm-056-UNVRS\Final Design\Section 530 - Contract 2\Phase III Services\Constr. Monthly Meetings\6629_CONSTR_MEETING AGENDA_No24.doc

EXHIBIT 5-D.1d

5-21

EXAMPLE

EXHIBIT 5-D.1e

5-22

EXAMPLE

REPORT OF MEETING SPECIAL MEETING No. 1

MEETING DATE: 12/21/05

PROJECT TITLE: Upper Neponset Valley Replacement Sewer MWRA Sewer Sections 685 and 686 MWRA Contract No. 6191

SUBJECT: Baker Street Jacking Pit at Entrance to Cemetery LOCATION: Baker Street Entrance to St. Joseph’s Cemetery, West Roxbury, MA Prepared By: FST/JPD 12/23/05 Page: 1 of 2 NOTE: ATTACH ADDITIONAL SHEETS IF NECESSARY 1. List of persons in attendance: Name Organization Title

Isidoro Perez MWRA Construction Coordinator Milan Horbaczewski MWRA Design Manager Margie Johnson MWRA Design Engineer Sam Doolan P. Gioioso and Sons, Inc. Superintendent Richard Leary Holyhood Cemetery Association General Manager John Doherty Fay, Spofford and Thorndike Resident Engineer

2. Minutes of meeting:

At the request of P. Gioioso & Sons (PGS) a meeting was held to discuss the impacts of construction on the Baker Street entrance to St. Joseph’s Cemetery. The meeting was held on site, at the Baker Street entrance.

A. Isidoro Perez initiated the discussion by identifying the proposed layout of the

jacking pit, which was laid out on the ground. It was made clear that the jacking pit would take up most of the entrance to the cemetery, and access through this gate would not be possible during the period of time that the pit was in place. Mr. Perez also stated that it was the intention of the contractor to complete the work before Memorial Day, 2006. Mr. Sam Doolan concurred that this was the contractor’s intention.

EXHIBIT 5-D.2a

5-23

EXAMPLE

B. Mr. Richard Leary, speaking for the cemetery, stated that there would be no

problem with closing the Baker Street gate for the duration of the construction activity at the jacking pit.

C. Mr. Doolan then identified the proposed location of the temporary utility pole, explaining that the overhead wires would need to be relocated to accommodate the jacking pit. The proposed location is just outside the layout of Baker Street, on cemetery property. Mr. Leary stated that he would have no problem granting this access.

D. P. Gioioso and Sons is now waiting for “Right of Entry” paperwork to be provided from NSTAR Electric, and will meet with Mr. Leary for his review and signature when this documentation is received.

S:\JM-056-UNVRS\Final Design\VFW - Contract 1\Phase III Services\Special Meetings\REPORT OF MEETING-St. Joseph's Cemetery-Baker Street.doc

EXHIBIT 5-D.2b

5-24


5.5 ACCIDENT REPORTS

On the first working day following an incident, the resident engineer is to file an accident report.

The accident report shall be complete, accurate and contain only information pertinent to the

incident. Exhibit 5-E.1a and 5-E.1b are examples of how an accident report is properly filled out.

The resident engineer is expected to be as thorough as possible in preparing this form. The form is

in two parts. The first part (Page 1 of 2), contains the typical project information, summary of

events, a description of property damage involved, the location of the incident and any other

persons involved in the accident, either directly or indirectly. The second page (Page 2 of 2)

includes the section to describe personal injuries, if any. Note: Mention the person injured by

his/her proper name and title. When describing an injury, include both the type of injury and the

part of the body injured. Copies of this report are to be sent to the Director of Construction, the

construction coordinator, Assistant Manager of Worker’s Compensation and the MWRA

employee involved. If more than one employee sustains personal injuries as a result of an accident,

a separate accident report will be prepared for each person involved. In addition, if personal injury

is involved, both the resident engineer and the injured employee will be required to fill out a joint

“Industrial Accident Report” as soon as the injured employee returns to work. Exhibits 5-E.2a and

5-E.2b are typical accident report forms for the resident engineers use.

5-25

Emergency incidents that occur after working hours should follow the same guidelines as noted

above. Generally, the police and fire services will contact the contractor using the job’s emergency

telephone number. The contractor will, in turn, notify the MWRA resident engineer, who will

respond to the incident after notifying his/her construction coordinator.

Prior to the start of construction or at the time of the pre-construction meeting, the resident

engineer shall compile a list of persons who should be contacted in the event of an emergency. The

list shall contain the telephone numbers of the City/Town Engineer, Fire and Police Departments,

Ambulance, and the Contractor’s home office, field office and superintendent’s emergency phone

number. The list shall be posted in the field trailer close by each telephone. The list shall be

reviewed periodically and updated as necessary.

5-26

EXAMPLE

ACCIDENT REPORT

Project: Southern point CO Facility MWRA Contract No.: 6759 Location: East Water Street, Boston, MA EPA/DEP Project No.: 250-460-23 Date of Occurrence: Tues. Jan. 14, 2011 Date: January 15, 2011 Weather Conditions: Overcast, Light Rain Witness Time of Occurrence: Approx. 2:30 PM & Phone No.: Dewey Lewis Contractor: Northern Continental Constr. (NCC) (617) 555-6759 Jim Riley (508) 484-2895 Summary of Events: NCC was placing concrete for equipment pads when concrete splattered into Sally Sugarman’s left eye while she was inspecting the work. She rinsed the affected eye at the emergency eye wash and went to Mass. Eye and Ear Hospital Emergency Room to have the eye examined. Property Damage: None. Location of Accident: Pump Room (05) at elevation 100 of the CSO Facility Job Site. Police Officers Investigating: None Police File No.: N/A Consultant personnel on location at time of accident: Bill Martini of ABCD Engineering Operators of any equipment involved: Cliff Killjoy – NCC’s Operator of concrete pump ruck.

PAGE 1 OF 2

EXHIBIT 5-E.1a

5-27

EXAMPLE

ACCIDENT REPORT

Project: Southern Point CSO Facility MWRA Contract No.: 6759 Location: East Water Street, Boston, MA EPA/DEP Project No.: 250-460-23 Contractor: Northern Continental Constr. (NCC) Date: January 15, 2011 Personnel Injuries: On January 14, 2011 Sally Sugarman, (MWRA Jr. Civil Engineer) sustained a scratch to her left eye. The eye was red and swollen. Ms. Sugarman complained of blurred vision. cc Director of Construction Construction Coordinator Assistant Manager of Worker’s Compensation Employee �� Resident Engineer Date

PAGE 2 OF 2

EXHIBIT 5-E.1b

5-28

ACCIDENT REPORT

Project: MWRA Contract No.: Location: EPA/DEP Project No.: Date of Occurrence: Date: Weather Conditions: Witness Time of Occurrence: & Phone No.: Contractor: Summary of Events: Property Damage: Location of Accident: Police Officers Investigating: Police File No.: Consultant personnel on location at time of accident: Operators of any equipment involved:

PAGE 1 OF 2

EXHIBIT 5-E.2a

5-29

ACCIDENT REPORT

Project: MWRA Contract No.: Location: EPA/DEP Project No.: Contractor: Date: Personnel Injuries: cc Director of Construction Construction Coordinator Assistant Manager of Worker’s Compensation Employee Resident Engineer Date

PAGE 2 OF 2

EXHIBIT 5-E.2b

5-30


5.6 DAMAGE REPORT

The construction industry is no stranger to accidents. No matter how hard an organization prepares

itself to prevent them from happening, accidents happen. Sometimes accidents involve personal

injuries and other times accidents involve only property and/or equipment/materials. In most

cases, accidents involving equipment/material merely result in only damages to those items. It is

the responsibility of the resident engineer to document the occurrence of any damage incurred

during construction. Exhibit 5-F.1 is a copy of a damage report form to be used by the resident

engineer and/or field staff. A damage report is a report initiated by the resident engineer whenever

he/she discovers materials or equipment damaged. The property, materials and equipment refer to

items specific to the contract, Authority owned and/or items issued to the resident engineer to

support his/her assigned duties, i.e. vehicle, cell phones, office equipment etc. The damage report

is to be filed on the first day of the discovery of incurred damage. The damage report shall be

forwarded to the construction coordinator and a copy of the report kept in the project files.

The following are construction related routines where the possibility of damage to property,

materials or equipment is likely.

MOBILIZATION/DEMOBILIZATION: Prior to the contractor mobilizing to the job site, the

resident engineer shall photograph, video and/or visually survey the job site with the contractor.

This procedure is strongly suggested because it provides the resident engineer a basis to compare

5-31

the condition of the job site before and after the contractor mobilizes or demobilizes. At the time of

mobilization/demobilization, the resident shall observe the contractor's operations and if any

damage occurs, the resident engineer shall immediately bring it to the contractor's attention. At the

same time, the resident engineer shall record the event in his daily report and prepare a damage

report.

STORED MATERIALS: The resident engineer shall periodically inspect materials on site to

ensure they are being stored properly. The resident engineer shall record such inspections in

his/her daily report and indicate the conditions in which he/she found the materials. If the resident

engineer discovers any damage, he/she shall immediately notify the contractor and prepare a

damage report.

ON-SITE DELIVERIES: The resident engineer or designated field staff shall observe all

deliveries of materials and equipment to the job site. The resident engineer shall record such

deliveries in his/her daily report and indicate the condition in which they were delivered. If

damage occurs during the off-loading, the resident engineer shall not accept items in question and

prepare a damage report.

CONSTRUCTION OPERATIONS: The safety and protection of work is the responsibility of

the contractor and that includes the protection of property, materials and equipment. During the

course of construction if the resident engineer views a particular construction operation as being

unsafe, or endangers the public, he/she has an obligation to voice their concerns to the contractor.

If the contractor continues with the operations and damage to property, materials and/or equipment

5-32

occurs, the contractor will be responsible for the damage. The resident engineer shall record the

events in their daily report and prepare a damage report.

ACTS OF GOD: There are times when an accident happens and damage occurs on a construction

site and nobody is at fault. Sometimes nature has a way of interrupting progress in a devastating

way. If these events should occur, the resident engineer shall still record it in his/her daily report

and prepare a damage report.

5-33

DAMAGE REPORT

Project: MWRA Contract No.: Location: EPA/MDEP Project No.: Contractor: Owner of Damaged Property: Equipment Manufacturer: Date Received: Delivered by Specification Section: Describe Damage Proposed Repairs/Replacements By Whom Comments


EXHIBIT 5-F.1

5-34


5.7 COMPLAINT REPORT

It is hopeful, but unlikely that a resident engineer will go through a construction project without

receiving a complaint. Complaints are considered part of the process because the majority of

construction contracts interface with the Public. The Authority takes all complaints very

seriously. Often times it is the resident engineer or field staff who is the first person confronted

with a complaint. This is understandable because it is the resident engineer and/or field staff who

are most visible to the Public. It is the Authority's position to avoid or prohibit circumstances

which may cause complaints to occur. A mark of a good resident engineer is one who survey’s

situations in the field and tries to spot potential problem areas and resolve them before they evolve

into complaints. In dealing with complaints, the resident engineer is required to be courteous and

attentive to anyone making a complaint. The resident engineer is to handle complaints

expeditiously and in the most professional manner possible, no matter how small or insignificant

the complaint may appear.

Most complaints are construction related and can be resolved right on the spot with the cooperation

of the contractor. Exhibit 5-G.1 is a Complaint Report form which acts as a notice to the contractor

of a complaint and request by the Authority for an immediate response. The resident engineer is to

utilize this form whenever confronted with or has knowledge of a complaint. Moreover, the

resident engineer is to follow up on the complaint to ensure it is being handled properly by the

contractor. It is the obligation of the contractor to be responsive and cooperative when dealing with

5-35

complaints. However, if the contractor shows a lack of cooperation or responsiveness in a timely

manner, the resident engineer shall immediately bring the matter to his/her construction

coordinator’s attention.

The Authority's Public Affairs Department will deal with complaints of an environmental nature or

potential operational problems that are known to the Authority prior to awarding a contract, such

as: the use of noisy equipment necessary to complete work, work being performed during the early

morning hours and conservation or environmental restoration issues. The resident engineer may be

asked to assist the Public Affairs people with their efforts. If this is the case, the resident engineer

and/or the field staff shall willingly offer his/her support.

5-36

COMPLAINT REPORT

Project: MWAR Contract No.: Location: Date: Contractor:

Complaint No.:

TO: RE: We received a telephone, written complaint as follows, attached: We urge you to take necessary steps to satisfy this issue as soon as possible. (1) Approximate date to be resolved Date (2) Advised property owner Date DESCRIPTION OF COMPLAINT: CONTRACTOR’S Reply and Comments: Contractor’s Representative Date Resident Engineer’s Comments: Resident Engineer Date Date of Resolution: Please return Copy of this form with your reply and comments.

EXHIBIT 5-G.1

5-37


5.8 POLICE DETAILS

Often times, the nature of the contract requires work to be performed in a public way, and for

safety reasons, a police detail is necessary. If this becomes the case, the resident engineer shall

ensure the following: Although it is the responsibility of the contractor to arrange for a police

detail, it is the responsibility of the Authority's resident engineer to ensure that no work

commences in a public way, or in the immediate area where the contractor's operations do in fact

infringe on a public way unless an authorized uniformed police detail is present. In general, a

public way is any roadway, street, highway, tunnel, bridge or any facility where access by the

public is required. When a police detail is in place, the resident engineer shall record the following

information, as a minimum, in his/her daily report; 1) First & Last Name and Badge Number, 2).

Date and Hours Actually worked and 3) Exact location of Detail. This information shall be

referenced in the resident engineer’s daily reports.

5-38

5. REVIEWS, REPORTING FORMS & PROCEDURES

5.9 FACILITY HANDBOOK

The consultant shall prepare and submit to the construction coordinator and Authority’s operations

representative within the first year of operations a project specific facility handbook. The

handbook shall contain as a minimum the following information:

• Description of the construction contract, including all major items of equipment.

• Design and operating criteria for operating procedures for the systems.

• Schematic flow and control diagrams on the operations of the systems.

• Description of standard operating procedures of the process functions, instrumentations

and controls including operating procedures, start-up, normal operation, abnormal

operation, troubleshooting and shutdown in a step by step format.

• Maintenance requirements from shop drawings and vendor operation and maintenance

manuals. Suggestions for preventative maintenance programs.

• Description and preliminary schedule of maintenance needs and requirements in a matrix

format.

• Description of safety considerations and requirements for all equipment.

• Cross reference of pertinent equipment vendor information and sales representative.

• Listing of recommended spare parts or any specialty equipment for operations.

EXHIBIT 5-J.1a and 5-J.1b are an example Table of Contents for a Facility Handbook.

5-39

EXAMPLE ��

� ��

��

REVISION No.: FINAL SUBMISSION REVISION DATE: 3-MARCH-04 PAGE 1 OF 2

1. Overview

1.1 Introduction

1.2 Purpose of Manual

1.3 Facility Description

1.4 Major Systems and Equipment

2. Operating Policies

3. Staff Roles and Responsibilities

4. Standard Operating Procedures (SOPs)

4.1 SOP QPS1 – Site and Station Access

4.2 SOP QPS2 – Facility Inspection

4.3 SOP QPS3 – Influent Channels, Screening and Wetwells

4.4 SOP QPS4 – Pumping Systems

4.5 SOP QPS5 – Primary and Standby Power

4.6 SOP QPS6 – HVAC Equipment

4.7 SOP QPS7 – Plumbing

4.8 SOP QPS8 – Odor Control

4.9 SOP QPS9 – Yard Piping/Structures, Duct banks and Force Mains

4.10 SOP QPS10 – Fire Alarm/Protection Systems

4.11 SOP QPS11 – Miscellaneous Systems and Equipment

5. Instrumentation and Controls

5.1 Computer/SCADA Systems

5.2 Telog

5.3 Process Control Modes

5.4 Unstaffed/Staffed Facility Operations

5.5 Alarm Descriptions

EXHIBIT 5-J.1a

5-40

EXAMPLE

��

� ��

��

REVISION No.: FINAL SUBMISSION REVISION DATE: 3-MARCH-04 PAGE 2 OF 2

6. Maintenance Requirements

7. Reporting Requirements

8. Local Safety Plan Appendix

A. Abbreviations, Acronyms and Definitions

B. List of Manufacturer’s O & M Manuals and Contacts

C. Phone Lists

D. Notes

EXHIBIT 5-J.1b

5-41

5. REVIEWS, REPORTING FORMS & PROCEDURES

5.10 ONE-YEAR PROJECT PERFORMANCE CERTIFICATE

One year from the date of substantial completion or final acceptance, which ever one comes first,

the resident engineer along with the consultant engineer, if any, the construction

coordinator/project manager and the Authority's Operations personnel are to perform a detailed

inspection of the facility or system and prepare a report on its performance after one year. The

report shall address the following topics:

• Is the Facility operating satisfactorily?

• Is the construction complete and in accordance with the contract documents?

• Is the O&M manual complete, accurate and up to date?

• Has all Operator training been completed?

• Review and comment on the performance of various components of the facility or

system.

• Has the Authority received a Facility Handbook from the consultant, if applicable.

During this period the consultant shall advise and assist the MWRA and its operations staff on the

operations of the project as necessary to ensure that operation is in accordance with the design

criteria, design concepts and warranty provisions. The consultant shall make recommendations to

adjust operations to optimize performance and minimize operating cost.

5-42

EXHIBIT 5-K.1a through 5-K.1m is an example of pump station one year project performance

certificate and EXHIBIT 5-L.1a through 5-L.1b is an example of sewer project one year project

performance certificate.

5-43

EXAMPLE

July 2, 2004

Mr. Robert Kovacs Senior Project Manager Massachusetts Water Resource Authority 2 Griffin Way Chelsea, MA 02150 Subject: MWRA Contract 5404 Quincy Pump Facilities Replacement Quincy Pump Station

MWRA Construction Contract 5407 One Year Project Performance Certificate Dear Mr. Kovacs: In accordance with our contract, Fay, Spofford and Thorndike, (FST), has completed the one-year warranty inspection for the subject project. The following is an outline of the project and its current status. Project Summary and Relevant Dates MWRA Construction Contract 5407 consisted of replacing the existing Quincy Pump Station and providing upgrade of Access Road and service utilities. The construction contract was awarded to P. Gioioso and Sons, Inc. (PGS) in 2000 with a Notice to Proceed of November 29, 2000 and a Substantial Completion date of December 19, 2002. A Certificate of Occupancy was issued by the Department of Public Safety on March 24, 2003. A field site walk with the Quincy Conservation Commission was performed on June 16, 2003 and Certificate of Compliance was forwarded to you on November 20, 2003. FST provided full-time, on-site, construction field inspection. FST also provided office support for review of Contractor submittals such as Shop Drawings, RFI’s, Change Orders, Schedules, etc. to ensure compliance with Contract Documents. FST’s Resident Engineer forwarded all field documents on February 13, 2004. Standard Contractor evaluation form was forwarded on February 17, 2004. Copies of the Facility Manual inclusive of electronic files were forwarded on April 27, 2004.

EXHIBIT 5-K.1a

5-44

EXAMPLE

FST provided you with all closeout files and the requisite Record Drawings on May 13, 2004.

FST is not aware of any outstanding claims, liens or complaints against the Contractor. However there is one open Contractor claim for compensation of additional electrical conduit and wiring of HVAC controls which is pending a ruling by the Authority. Facility Overview The replacement Quincy Pump Station has an operating capacity of 26.0 MGD with two of the three automatic, electric motor-driven pumps operating. It is the understanding of FST that through this operating period flow has not approached this level. Due to the nature of the new facility’s automation, the pump station is not staffed on a permanent basis with its daily operation monitored from the Authority’s Operations Control Center, OCC, in Chelsea, MA. System Operation Review A. Site and Station Access

General Overview: As part of the QPS replacement contract the pump station access road was replaced with a bituminous concrete paved roadway. Roadway width was kept to a minimum and care was taken to allow natural growth to remain. Existing walking paths to the surrounding Merrymount Park were maintained and expanded. In an agreement with the Quincy Parks Department, the Authority constructed a locked vehicle entrance gate to the access road just off Fenno Street beyond the tennis courts. This gate was installed to restrict unauthorized vehicles from the pump station site and surrounding areas. An additional Knox Box, (containing pump station access key), to allow access for emergency fire apparatus was also located at this gate. Pump station superstructure and parking area is surrounded by PVC coated chain link fence and a double access gate. After several months of operation as a non- staffed 24 hour/day facility there were several reported incidents of vandalism to the station, specifically, broken windows to east and south side of the building. The Authority through their Facility Management Division replaced the broken glass panels with Lexan, a high strength plastic panel. To the best of FST’s knowledge there has been no further indications of vandalism at the Quincy Pump Station.

The main entrance to the station is through the door on the North side of the building. This entrance is handicap-accessible via a ramp. There are four alarm indicating lights over this entrance door. To the best of FST’s knowledge there has been no complaints from residents observing these alarm indicating lights in operation.

EXHIBIT 5-K.1b

5-45

EXAMPLE

Recommendations:

FST recommends the building egress plan forwarded previously contained in a glass frame be mounted in a central location of the pump station. No Smoking signs should be installed throughout the pump station. Some type of signing, “Beware People Crossing” be added along the pump station access road. It should be Authority policy to inform/remind all workers and visitors to the pump station to be aware of pedestrian traffic along the access road.

B. Influent Channels, Screening and Wetwells

General Overview: Wastewater enters the new pump station by way of the new 48” gravity sewer and flows through the channel mounted mechanical grinder. Through manipulation of the sluice and slide gate system the wastewater can be directed to differing flow patterns into the two wetwells. There is a bypass channel and manual bar rack located adjacent to the channel mounted mechanical grinder. An aluminum rake fitted to the manual bar rack has been provided and is located in the Grinder Room at the west wall. A spare grinder was provided under this contract and is also located in the grinding room. The Authority has taken measures to protect this equipment by wrapping the mechanism in plastic. Spare motor drive and cutters are stored in the Odor Control Room. The influent sluice gate has been internally programmed to remain open when there is a computer system operation failure, malfunction of the Program Logic controller, PLC. Operation of this feature has been verified by FST and Authority personnel. Wetwell levels are monitored by level sensors. Oxygen and gas detection monitors have been provided. Supplemental system for air monitoring and circulation and odor control has been provided. FST is not aware of any operational problems with the sluice gates, slide gates, bar rack, channel grinder, gas monitoring equipment, level sensors or air monitoring and circulation systems. A two inch hose and rack with associated backflow prevention unit has been located on the south wall of the grinder room. This has been provided for equipment and channel wash down. It has been reported by the Authority’s Operations personnel that the backflow preventer has frozen during winter periods when the air exchange system was in operation. This has resulted in the Authority installing an additional shut off valve in the Pump Room after main water feed to isolate water service to the grinder room and permit the draining of the backflow system in the grinder room. FST has provided information to install heat tracing to the backflow prevention system to prevent this from happening in the future. Additionally FST has stated that the air exchange system should not operate at all times but only when there is excessive H2S gas in the grinder room, exceeding 10ppm and low oxygen, less than 14 ppm, excessive odor levels mandating the operation of the Odor Control Unit or when there is personnel present in the grinder room performing maintenance.

EXHIBIT 5-K.1c

5-46

EXAMPLE Recommendations:

FST recommends the Authority follow up on installation of heat race system to the backflow preventer unit. FST also recommends the Authority establish a routine procedure for washing down the wetwells and channels to prevent grease build up and the creation of odors from stagnant waters in the non operating channels. This can be accomplished by rotation of the flow stream into the wetwells by opening and closing the slide gates and draining down of a wetwell yearly. (Reference the flow diagrams located in Section 4.3 of the Facility manual.)

C. Pumping System

General: The pumping system includes three (3) non-clog dry pit centrifugal wastewater pumps, each with a split mechanical shaft seal. Both sides of the wetwell have been on line to support alternating and/or parallel operation of the three pump units. Any two of the three pump units operating in parallel are capable of handling the peak hourly design year (2020) flow rate of 26.0 MGD (18,000 gpm). The pumps were designed to meet their maximum flow requirements using a total dynamic head (TDH) of 66 feet. Design flows utilized in the selection of the wastewater pumps were:

Minimum 5.0 MGD Average 10.1 MGD Maximum 26.0 MGD

The pump station is currently operating at an average daily flow rate of 6 MGD. Single pump operation has been observed to exceed the design criteria of 12,000 GPM without any detrimental effects. A quick review of historical flow data did not reveal any sustainable duration of two pumps were operating. There have been no reports of three pumps being in operation at one time. The pumps are driven by extended shafting connected to 200 HP induction motors with speed controlled by variable frequency drives (VFDs). The pumps are controlled by ultrasonic type level sensors located over the wetwells in the grinder room. Pump discharges are measured continuously via a magnetic flow meter installed in the discharge piping that is common to all pumps. Associated piping and valves are arranged to permit any of the pumps to be taken out of service. Operation of the pumps can be rotated manually or automatically to rotate their operation, “lead-lag-standby” cycle. The pumps are currently set on manual rotation; the auto rotation which was programmed to rotate the lead pump operation on a 24 hour cycle has been disarmed. The pumps are currently set to be manually rotated on a weekly basis. The Authority has set up a rotation of operators to inspect and grease pumps and associated fittings according to the operation and maintenance manuals.

EXHIBIT 5-K.1d

5-47

EXAMPLE FST is not aware of any physical or operational problems with the pumps, impellers, bearings, shafting, mechanical seals, motors, piping and valving or of any reports of excessive temperatures or pump vibration. There has been a continued buildup of air within the stand-by pump volute. FST and the Authority have performed several investigations into the cause of this excessive air buildup. FST believes it is the result of air being introduced to the flow stream by the channel grinder. This air dissipates from the sewage flow and builds up in the non-operational pump volute, the standby pump, requiring “bleeding” of the air from the pump prior to putting it into operation. This is done weekly to coincide with the current manual rotation of the pumps. There is a connection by ½” clear plastic hose from the discharge gage to a one-inch PVC vent piping to relieve this air buildup when the pump is put into operation. This pipe discharges back to the wetwell. FST has recommended that this connection be hard piped and be increased to 1” to allow for higher rate of air displacement. Recommendations:

FST recommends the Authority replace the ½-inch hose connection with the one-inch hard pipe as detailed on sketch previously provided to Pump No. 1. After connection has been completed a sequence of operation be established and the amount of retained air be quantified. Once the Authority is satisfied with the startup operation of the stand-by pump the replacement of the hose connection at the remaining two pumps should be replaced. FST also recommends that verification of each pump startup from the stand-by position be performed from the different influent flow patterns to the wetwell. (Reference Facility Manual SOP 4.3 and 4.4). Verification of the stand-by pump without requiring manual bleeding of air from the pump volute will allow the Authority to enable the automatic pump rotation and set it to the duration it chooses, 24hours, one week etc. FST will work with the Authority to document these operations.

D. Primary and Standby Power General:

Electric power at the Quincy Pumping Station is supplied by Massachusetts Electric Company from a service pole located at the access road at Fenno Street. In the agreement between the City of Quincy and the Authority the service to the pumping station was installed underground within new ductbank beneath the access road to a pad-mounted transformer located adjacent to the south side of the station. The secondary service is rated for 1200 amperes, 277/480 volts, 3-phase, 4-wire.All major equipment in the pumping station is powered by 460 volt, 3-phase power. Building interior lighting, site lighting, receptacle and miscellaneous loads are powered by 120 volt, 1-phase power.

EXHIBIT 5-K.1e

5-48

EXAMPLE The motor control center contains the variable frequency drive, motor starters and circuit breakers supplying power to the station’s equipment. The lighting on the Motor Room, Office/Operation Room, Lunch Room and Locker Room side of the pump station is lighted using fluorescent lighting fixtures. The wetwell and grinder room, and odor control room, being a hazardous area, are lighted using explosion-proof incandescent lighting fixtures. The pump room is lighted using high-pressure sodium lamps. Exterior lighting fixtures utilize high pressure sodium lamps. In the event there is a loss of normal power to the station, the 500 KW standby diesel engine driven generator supplies power for the critical loads of the station. The emergency generator is exercised weekly (utilizing the test switch on the transfer switch panel) for several hours. The Authority has been advised to monitor the generator pre-test checklist prior to each startup. FST and the Authority have witnessed the operation of the emergency generator during a simulated power failure. The following items have been observed to be powered by the emergency generator as designed:

• Pump Nos. 1, 2 and 3; • Influent gate; • Grinder control panel; • Duplex sump pump control panel; • Panelboard “L” 480 to 120/208 volt transformer; • Wetwell supply fan SF-1; • Wetwell exhaust fan EF-1; • Pump Room exhaust fan EF-2; • Air handling units AHU-1 and AHU-2; and • Hot water pumps P-1 and P-2.

FST is not aware of any operational problems, operator’s dissatisfaction or resident complaints with the electrical power system and standby emergency generator as installed and operated.

Recommendations:

FST recommends that the Authority’s Operators log the condition of the lighting with each pump station service visit to insure proper lighting conditions at times of an emergency. FST also recommends that the Authority strictly enforce the requirements of the emergency generator pre-startup checklist contained in the generator operations and maintenance manual, listed on page specifically page 15 of the Kohler Power Systems Operations Manual TP-6200 12/02a. It is also recommended by FST and the generator manufacturer that a certified generator specialist check the generator yearly and operate it with a load bank.

EXHIBIT 5-K.1f

5-49

EXAMPLE E. HVAC Equipment General:

The HVAC equipment at the Quincy Pump Station is to provided low humidity and controlled temperature environment for administrative and operating personnel. A time clock has been programmed to index the temperature control unit located in the Operator’s Control Room between “Unoccupied” and “Occupied” mode. The time clock had been programmed at a station commissioning. At that time the pump station was “Occupied” 24 hours per day. The Authority has since “Unoccupied” the station operation. The system is currently “Unoccupied” mode. The Authority personnel upon arrival at the station need to place the HVAC control in “Occupied Mode” via the override timer on the front HVAC control panel located in the Operator’s control room. The operator shall ensure that the system remains in “Occupied Mode” while the station is occupied and return the system to “Unoccupied Mode” when leaving the station. Heating/cooling mode changeover is automatic. FST has advised the Authority that the EF-1/SF-1 ventilation system for the wetwell is designed for intermittent operation only, not for continuous operation . (Continuous operation has resulted in freezing temperatures in the wetwell). EF-1/SF-1 is intended to operate for a maximum of 10 minutes prior to entering the wetwell and while the wetwell is occupied. EF-1 is located in the Odor Control Room and SF-1 is located in the Wetwell/Grinder Room. EF-1/SF-1 will start automatically when H2S levels exceed 10ppm. FST has advised the Authority that if EF-1/SF-1 is out of service, shutoff at the MCC, the odor control system will not be automatically started, it needs to be initialized. (Reference Facility Manual SOP 4.6).

Hot water pumps, control panel, unit heaters, finned tube radiators, dehumidifiers, louvers, dampers, air handling units have been operating according to the intended design. The Authority has instituted maintenance program to replace filters, lubricate and maintain equipment service operation. Equipment checkout and schematic diagrams have been included in the Facility Manual SOP 4.6.

The heating system, specifically the Burnham boiler has on several occasions malfunctioned by exceeding its operating pressure. This resulted in the pressure relief valve releasing and discharging onto the floor of the motor room. Excessive steam from the heating system set off the fire alarm deploying the Quincy Fire Department to the Pump Station. (This is proper operation of the boiler safety functions). After investigation of the boiler system by the Installer, FST HVAC Engineer and boiler manufacturer’s representative it was recommended that the boiler operating pressure name plate be increased and the pressure relief valve be replaced for the higher operating pressure. This work has been completed and the boiler has operated through a winter heating season without further incident.

EXHIBIT 5-K.1g

5-50

EXAMPLE

To the best of FST’s knowledge the HVAC systems at the Quincy Pump Station are currently operating as the design intended.

Recommendations:

FST recommends that heat tracing be place on the backflow preventer system located in the grinder/wetwell room to prevent freezing during cold weather operation of the EF-1/SF-1. (The Authority is proceeding with this recommendation). FST also recommends that the boiler system be monitored for proper heating operation. If in the future the boiler has problems with its operating pressure it may be necessary to increase the size of the expansion tank.

F. Plumbing

General: Water meter and pressure reducing backflow preventers are located inside the pump station at the mezzanine level of the pump room. The gas meter is located on the east side of the pump station. A valve is located at each fixture on both cold and hot water distribution systems which individually isolates each plumbing fixture. Unions are provided where required for disconnection. The natural gas supply line to each appliance is fitted with a shut-off valve to enable isolation of the unit for repairs or maintenance without interfering with the operation of other equipment. Identification tags are provided on all plain and insulated piping at intervals of not more than 25 feet and at either side of points where pipes pass through walls and floors. All pipes are tagged and color coded. Authority personnel have monitored equipment for proper operation and maintenance. FST is not aware of any operational problems with the plumbing systems as installed and operated.

Recommendations: FST recommends that repair kits for the backflow preventers be kept on site for emergency installation repair.

G. Odor Control

General: To ensure that wetwell air is ventilated to the outside of the station contains no annoying odorous compounds, an activated carbon air scrubber has been installed.

EXHIBIT 5-K.1h

5-51

EXAMPLE This system is designed to provide a minimum removal efficiency of 90% of hydrogen sulfide at all times, even when the odor control system is in a regeneration cycle. The system can run EF-6 continuously or only when necessary. To avoid unnecessary usage of regeneration water, (non potable city water) and to conserve electrical power FST has advised the Authority to only operate the odor control unit when it is necessary to treat odorous air at the QPS, during warm weather periods of June to September. FST has also advised the Authority that when the unit is not in operation it is important to isolate the carbon cylinders from being contaminated from H2S gases emanating from the wet well or outside air by isolating the unit. (Reference Facility manual SOP 4.8). The odor control unit has automatic regeneration, washing of the cylinders approximately every 100 hours. To prevent the carbon cylinders from being water logged while the unit is not in operation the selector switch located on the control panel, located on the north wall in the Motor Room, should be in the to the OFF position. FST is not aware of any odor complaints emanating from the Quincy Pump Station. To the best of FST’s knowledge there as been no operational problems, operator’s dissatisfaction or resident complaints with the odor control system as installed and operated. Recommendations: FST recommends that operation of the odor control unit adhere to the procedures outlined in the Facility Manual, SOP 4.8.

H. Yard Piping/Structures, Ductbanks and Force Mains

General:

The electrical power and communications to the pump station is via underground wiring that is routed through duct banks installed beneath the access road. Paralleling the duct banks along the same route are the potable water supply piping and the natural gas piping that fuels the heating system for the building. The potable water supply is also looped through Merrymount Park, from a second connection to the City of Quincy’s water distribution system. Wastewater is transported to the pump station through the City of Quincy owned gravity sewers. These sewers are connected to the on-site piping system connected through influent concrete junction chambers. Effluent wastewater is pumped from the station to the Southern High Level Sewer via the 30" force main through the force main valve chamber located to the west of the pumping station. Junction chambers contain stop log slots for diversion/stoppage of flow if required. Fiberglass stop logs are stored within the odor control room.

EXHIBIT 5-K.1i

5-52

EXAMPLE FST is not aware of any operational problems with the pump station utilities as installed and operated. Recommendations: FST recommends that the following items be exercised and inspected on an annual basis: The valve stem in the force main valve chamber. In order to exercise this valve and lubricate the valve stem, the pumping station needs to be shut down for approximately one hour. The valve requires 282 turns to open or close fully, which takes approximately 30 minutes to complete. The gravity sewers and manholes should be visually inspected for grease build-up, debris deposition, infiltration, joint conditions, structural defects and overall conditions, via a camera launched into the sewers on pontoons. If excessive build-up of debris and/or grease is observed, then the gravity sewers should be cleaned. Each of the two junction chambers should be inspected for grease build-up, debris deposition, infiltration, hydrogen sulfide (H2S) gas build-up, surface corrosion and overall conditions. These chambers should be inspected twice per year during periods of high and low ground water. These underground structures, duct banks, water and gas piping systems are illustrated on Plans included in the Facility manual under SOP 4.9.

I. Fire Alarm/Protection Systems

General: This pumping station is provided with audible and visual fire alarms, manual pull stations and various detection devices located in accordance with NFPA13. The exact locations of these devices are shown on the Fire Alarm Device Location plan which has been provided with glass frame for mounting in a central location of the pump station. The Quincy Fire Department is automatically notified upon any activation of a fire alarm detection device and will respond to all alarms. In the event that an alarm device is activated and there is no station attendant present, the fire department will gain access to the station by using the station key located at the lock-box by the outer gates. If pump station operators are present when an alarm device is activated they are to report to the front gate to meet the fire department. FST and Authority personnel have witnessed the operation of this equipment. FST is not aware of any operational problems with the fire alarm/protection system as installed and operated.

EXHIBIT 5-K.1j

5-53

EXAMPLE Recommendations: FST recommends that the Fire Alarm device plan be mounted at a central location within the pump station. Fire extinguishers should be checked for certification requirements on an annual basis.

J. Miscellaneous Systems and Equipment General:

This pumping station is provided with equipment available to all facility operators to assist in day to day operations. Access hatches for equipment removal and to access each wetwell for sampling and cleaning have been provided. An entrance hatch to the attic space has been provided in the Air Lock Room to provide access to the mechanical equipment located in the attic space. The facility is serviced by 3-ton bridge crane with two trolleys for lateral movement which is located in the Pump Room. A 3-ton monorail with a spark and corrosion resistant manually operated chain hoist located in the Motor Room and a 2-ton monorail with spark and corrosion resistant manually operated chain hoist located in the Wetwell/Grinder Room. The conference/break room has been provided with a small kitchenette which includes a microwave, electric stove top burner and a refrigerator. The laundry room, located adjacent to the conference/break room, has been provided with an industrial capacity clothes washer and dryer for cleaning work clothes used at the facility. FST is not aware of any operational problems with the miscellaneous equipment identified as installed and operated.

Recommendations: FST recommends that safety check of identified miscellaneous equipment be performed before each use.

K. Instrumentation and Controls General:

The ability to operate and monitor the equipment at the pumping station is achieved through level transmitters, gas detection equipment and programmable logic controllers (PLCs). The control system includes a station control panel containing the PLCs, power supplies and the Telog data logger, a Supervisory Control and Data Acquisition (SCADA) computer, communication equipment and backup power. Two programmable logic controllers are set up in a redundant configuration. The operators' workstation consists of a Dell 330 computer, 1.5 GHZ, Pentium 4 processor with integrated network interface card, a 19-inch monitors and a Hewlett Packard inkjet printer.

EXHIBIT 5-K.1k

5-54

EXAMPLE (Similar station has been set up at the Chelsea OCC.) The computer communicates with the PLC using through an Ethernet communications network. Station processes are displayed at the operations' workstation. The central operators' workstation provides the operator with a graphical type interface to processes taking place. The personal computer (PC) collects and stores process data on a hard drive. Real time and collected data is then displayed on the monitors. The computer provides the operator the means to select and automatically or manually control station equipment. Currently all operations at coordinated at the OCC in Chelsea. FST believes that the instrumentation and controls system is operating as designed and intended. In the event of a normal power failure uninterruptible power supplies (UPSs) will maintain control and monitor functions until the station’s standby power generator comes on line. The Authority has verified the operation of this backup system. However it has been determined by the Authority that a means of determining the duration of this power backup be monitored or alarmed.

Telog dial up monitoring system has been provided to communicate certain process variable, status and alarm information to the Authority’s existing Telog monitoring system. The Telog unit has 14 channels: eight analog and six digital. Certain analog inputs have been converted to digital inputs powered from a 24-volt dc power supply. FST and the Authority’s personnel have verified the operation of this monitoring system and believe it is operating as designed and intended.

The Quincy Pumping Station has three pumps that have been operating in three control modes, automatic, manual and maintenance. FST and the Authority’s personnel have witnessed the operation of the pumps in all three mode conditions. It is FST’s belief that the pump operation is being performed as design and intended.

The water level in each of the two wet wells is measured by Milltronic Hydro Ranger ultrasonic level transmitters. In the event of a PLC failure the level sensor located at Wetwell No. 1 has been programmed to operate Pump No. 1 based on level. This is intended to give the pump station uninterrupted pump operation until the PLC is restored or an operator is present at the facility. It is FST’s understanding that this backup system to pump operation during PLC failure works as designed and intended. The pump operating levels have been set to relate to the pump station design flow rates. The Quincy Pump Station is operating as an unstaffed station. No personnel have been assigned permanently work at the station. Operating personnel have been periodically visiting the station to observe its operation and perform routine maintenance. The SCADA system has been connected to the Authority’s Operations Control Center, OCC.

EXHIBIT 5-K.1l

5-55

EXAMPLE The stations PLC/Computer system constantly monitors the station for abnormal operating conditions and displays the alarm condition on the “Alarm Summary” page on the Operator’s Work Station monitor. Refer to Facility manual for alarm conditions monitored, Section 5. It is FST’s understanding that the alarm displays have been operating as designed and intended.

Pump station flow is measured by the 20 inch electromagnetic induction type flow meter located in the discharge piping in the pump room. A digital readout of this meter has been located in the motor room for ease of calibration. The magnetic flow meter has been grounded to avoid personnel shock hazard. The flowmeter signal is controlled through the PLC for monitoring. The meter is also connected to an Authority telemetry cabinet located on the South wall of the Motor Room which forwards flow data to the OCC. The flow meter has been hydraulically calibrated at the manufacturer’s factory against master meter that has been traceable to the National Bureau of Standards. It is FST’s understanding that continual flow metering has been operational without incident.

Recommendations:

FST recommends that the flow meter be included with the Authority’s ongoing service contract for electronically calibration once per year. In the event that Pump No.1 be out of service there is no backup pump to operate if there is a PLC failure. FST recommends that a selector switch connecting Pumps 1 and 2 be installed to allow for an operational pump in the event of a PLC failure and Pump No. 1 not operational.

Conclusion In closing, Fay, Spofford & Thorndike, Inc. considers that the project improvements are performing to the standards intended in the design and are considered complete. Should you have any questions, please call me at 781-221-1172 or Mike Sorrentino at 781-221-1089. Very truly yours, FAY, SPOFFORD & THORNDIKE, LLC By, Thomas D. Jenkins, P. E. Senior Vice President cc: S:\JQ-002\5407qps\QPS\construction\Ltr_OneYearOpers_qps_7_2_04.doc

EXHIBIT 5-K.1m

5-56

EXAMPLE April 7, 2009 Ms. Margery Johnson, Project Manager Massachusetts Water Resources Authority (MWRA) Chelsea Facility 2 Griffin Way Chelsea, MA 02150

Subject: Upper Neponset Valley Replacement Sewer (UNVRS)

MWRA Contract No. 6031 MWRA Sewer Sections 685 and 687 One-Year Project Performance Certificate

Dear Ms. Johnson, In accordance with Subtask 14.5 of the subject contract, the following outline is provided as the one-year operational period report: The Upper Neponset Valley Sewer was constructed between 1896 and 1902, and extended approximately four miles through West Roxbury and Newton. Sections of the system varied in size and type from 15-inch vitrified clay to 45-inch by 48.5-inch brick and mortar pipe, and received wastewater from the communities of West Roxbury, Newton, Brookline and a small portion of Dedham. During wet weather, the capacities of these lines were often exceeded, resulting in surcharging and overflows. The purpose of this project was to replace MWRA Sewer Sections 526 through 530 with a new, larger diameter pipe to achieve the level of service provided to all MWRA member communities. Construction of the Upper Neponset Valley Replacement Sewer (UNVRS) was divided into two contracts. This project, Construction Contract 6191 (UNVRS, MWRA Sewer Sections 685 and 687) replaced MWRA Sewer Sections 526 through 528 and a portion of Section 529 of the Upper Neponset Valley Sewer. Construction Contract 6629 (UNVRS, MWRA Sewer Sections 686 and 688) replaced Section 530 and a portion of Section 529. Contract bids were opened on February 24, 2005 and with the low bidder, P. Gioioso and Sons, Inc. of Hyde Park, Massachusetts, being awarded the contract with a notice to proceed of March 30, 2005. The contract documents included construction duration of 1095 days with a completion date of March 30, 2008. The Contractor achieved substantial completion March 17, 2008 with the MWRA taking ownership responsibilities for security and maintenance of associated sewage flows from that date forward.

EXHIBIT 5-L.1a

5-57

EXAMPLE

Under Contract 6191, approximately 10,063 linear feet of 30, 36 and 42-inch diameter fiberglass reinforced sewer pipe and 4,780 linear feet of 12, 15 and 24-inch PVC sewer pipe were installed. Additionally, approximately 10,400 linear feet of sewer pipe were abandoned. The alignment of Section 685 begins in the easement off Providence Highway at the Wellesley Extension Sewer and continues onto Providence Highway, heading northwest through the intersection of Spring Street and Bridge Street (Route 109). Section 685 then continues on the VFW Parkway to Baker Street where it heads west on Baker Street, terminating at the Saint Joseph Cemetery maintenance building’s entrance at Section 686. Section 687 begins at the end of Section 686 on LaGrange Street, continuing southeast on LaGrange Street to the VFW Parkway where it heads northeast, terminating at the flow distribution chamber at the intersection with Corey Street. The contract also included construction of local 12 and 15-inch PVC, and 16-inch ductile iron sewers for the Boston Water and Sewer Commission in Baker Street, Charles Park Road, and Gardner Street. On March 24, 2009, FST performed a visual inspection of key manholes along the sewer route at the following record plan locations: Sta. 0+14 Section 685, easement off Providence Highway; Sta. 26+62.05 Section 685, Providence Highway at Spring St. (Rte. 109); Sta. 89+39 Section 685, VFW at Baker Street; Sta. 102+12.5 Section 685, Baker Street; Sta. 31+35.80 Section 687, VFW Parkway at Corey Street; and Sta. 0+22.3 Section 687, LaGrange Street. To the best of FST’s knowledge, no incidents of excessive surcharging, backups or sewer flow stoppage have been identified or recorded from the issuance of substantial completion. It is FST’s opinion that the UNVRS is operating in conformance with the design parameters as intended. Should you have any questions or comments on this submission please call me at 781-221-1089.

Very truly yours,

FAY, SPOFFORD & THORNDIKE, INC. By

Michael A. Sorrentino, P.E. Associate

JM-056 14.5 S:\Jm-056-UNVRS\Final Design\VFW - Contract 1\Phase III Services\Letter FinalOneYearOperation.doc

EXHIBIT 5-L.1b

APPENDIX REPORTING FORMS

1. BIDDABILITY/CONSTRUCTABILITY REVIEW FORMS 9 pages

2. INCOMING CORRESPONDENCE LOGS 1 page

3. OUTGOING CORRESPONDENCE LOGS 1 page

4. CONTRACTOR’S DAILY WORKFORCE ACCOUNT 2 pages

5. QUALITY CONTROL LEDGER 3 pages

6. PARTIAL PAYMENT REQUEST SUMMARY/CERTIFICATION 1 page

7. PERIODIC ESTIMATE FORM 1 page

8. PROJECTED OVERRUN NOTIFICATION FORM 1 page

9. MWRA NOTICE OF LABOR COMPLIANCE FORM 1 page

10. SHOP DRAWING LOG 1 page

11. MWRA SHOP DRAWING TRANSMITTAL 1 page

12. MANUFACTURER’S O&M MANUAL SUBMITTAL CHECKLIST 4 pages

13. CHECKOUT, TESTING & STARTUP INSPECTION FORMS 10 pages

14. CERTIFICATE OF SUBSTANTIAL COMPLETION 1 page

15. PUNCH LIST FORM 1 page

16. NOTIFICATION OF EQUIPMENT WARRANTY ISSUE 1 page

17. NOTIFICATION EQUIPMENT WARRANTY RESOLUTION 1 page

18. REQUEST FOR INFORMATION FORM (RFI) 1 page

19. FORCE ACCOUNT DAILY STATUS REPORT 2 pages

20. CHANGE ORDER TRACKING FORM 1 page

21. CHANGE ORDER RECORD LOG 1 page

22. MATERIALS CONTROL SHEET - CONCRETE 1 page

23. VISITORS LOG 1 page

24. ACCIDENT REPORT 2 pages

25. DAMAGE REPORT 1 page

26. COMPLAINT REPORT 1 page

27. CERTIFICATE OF CURRENT COST OR PRICING DATA 1 page

STANDARD FORMS

1. NOTICE LABOR COMPLIANCE (DEPARTMENT OF LABOR FORM wh347) 2 pages

2. LABOR STANDARD INTERVIEW

(DEPARTMENT OF LABOR FORM 1445) 1 page 3. DCAM “STANDARD CONTRACTOR EVALUATION FORM” 8 pages 4. SUBSTANTIAL COMPLETION DOCUMENTS

A. CONSENT OF SURETY TO REDUCTION IN OR PARTIAL RELEASE OF RETAINAGE 1 page

5. CLOSEOUT FORMS

A. ACKNOWLEDGEMENT AND RELEASE OF CLAIMS 1 page B. CONSENTS OF SURETY TO FINAL PAYMENT

(AIA DOCUMENT G707) 1 page C. CONTRACTOR’S AFFIDAVIT OF RELEASE OF LIENS

(AIA DOCUMENT G706A) 1 page D. CONTRACTOR’S AFFIDAVIT OF PAYMENT OF

DEBTS AND CLAIMS (AIA DOCUMENT G706) 2 pages

MWRA STANDARDS AND POLICYS

1. MWRA RECORD DRAWING CHECKLIST 2 pages 4. MWRA CHANGE ORDER PROCESS (POLICY # ADM.03) 29 pages


BIDDABILITY/CONSTRUCTABILITY REVIEWCHECKLIST GENERAL

PAGE 1 of 1

CONTRACT NO. NAME:

CONSULTING ENGINEER:

M W R A DESIGN PROJECT ENGINEER: ______________________________________

R E V I E W E R : _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

N O A T T R I B U T E S A T D E F N / A

1 C O N T R A C T N O . O N PL A N S & S PE C . A GR E E

2 C O N T R A C T N A M E O N P L A N S & S PE C . A G R E E

3 PL A N S & S PE C . R E L A T E T O S A M E S C O PE

4 A L L S H E E T S O N PL A N I N D E X A R E I N C L U D E D

5 A R E A L L S P E C . S E C T I O N S I N T A B L E O F

C O N T E N T S I N C L U D E D W I T H N U M B E R O F

P A GE S S H O W N ?


SPECIFICATION

BIDDABILITY/CONSTRUCTABILITY REVIEW CHECKLIST

DETAILED PAGE 1 of 5

CONTRACT No./NAME

NO ATTRIBUTE SAT DEF N/A

1 DOES TITLE PAGE INCLUDE CONTRACT No. & PROFFESSIONAL ENGINEER’S STAMP?

2 ARE REQUIREMENTS CLEAR AND UNDERSTANDABLE AS STATED?

3 ARE SPEC. CROSS-REFERENCES ACCURATE AS TO CONTENT AND SECTION NUMBERS?

4 IS PROPER M. G. L. (CHAPTER 30 OR 149) REFERENCED IN ADVERTISEMENT?

5 ARE BID UNITS/METHODS OF PAYMENT APPROPRIATE AND CONSISTENT?

6 IS ALL WORK NECESSARY TO COMPLETE CONTRACT INCLUDED IN BID FORM?

7 ARE APPROPRIATE SECTIONS OF CHAPTER 149 CONTRACTS IDENTIFIED FOR FILED SUB-BID WORK & DO THEY AGREE WITH THE WORK TO BE DONE?

8 IS ABOVE WORK ADEQUATELY CROSS-REFERENCED TO OTHER SECTIONS TO MINIMIZE CHANGE ORDERS?

9 IS THE TIME FOR COMPLETION OF CONTRACT REASONABLE?

10 ARE GOVERNMENT AGENCIES CORRECTLY IDENTIFIED IN ACCORDANCE WITH CURRENT ORGANIZATIONS?

11 ARE ALL NECESSARY AGENCIES/GOVERNMENTAL UNITS INCLUDED IN PERMITTING, LICENSING AND ACCESS REQUIREMENTS?

12 IS NOTIFICATION OF UTILITIES REQUIRED PRIOR TO EXCAVATION?

13 ARE CONTRACTOR SUBMITTAL REQUIREMENTS (SCHEDULES, VALUES, DRAWINGS, ETC.) ADEQUATE?



SPECIFICATION BIDDABILITY/CONSTRUCTABILITY REVIEW CHECKLIST

PAGE 2 OF 5 CONTRACT No./NAME


14 DOES CONTRACT PROVIDE FOR REPAIR OF EXISTING OR ADJACENT RELATED EQUIPMENT FOUND TO BE DEFECTIVE?

15 IS CONTRACTOR REQUIRED TO MAINTAIN A PROFFESSIONAL SURVEY CAPABILITY?

16 ARE SAFETY REQUIREMENTS REFERENCED?

17 ARE LOCAL AND STATE BLASTING PERMITS REQUIRED WHEN NECESSARY?

18 ARE CHANGE ORDER PROCEDURES AND MARKUPS CONSISTENT THROUGHOUT SPEC?

19 ARE EEO PROVISIONS & MBE & WBE PERCENTAGES PROVIDED ?

20 ARE MINIMUM WAGE RATES INCLUDED?

21 EACH WORK TASK DESCRIPTION SHOULD INDICATE THE METHOD OF PAYMENT?

22 THE DESCRIPTION OF EACH WORK TASK WHICH INVOLVES THE REMOVAL OF UNNEEDED MATERIAL OR THE GENERATION OR ACCUMULATION OF DEBRIS OR WASTE SHOULD REQUIRE THE REMOVAL OF THAT MATERIAL FROM SITE?

23 ARE REQUIREMENTS FOR CLEANING MUNICIPAL STREETS AFTER CONTRACTOR USE ADEQUATE?

24 ARE MWRA COMMITMENTS (PROCEDURE APPROVALS, ETC.) PRACTICLE?

25 ARE MANUFACTURER’S CERTIFICATES OF COMPLIANCE REQUIRED FOR MATERIAL AND EQUIPMENT DELIVERED TO SITE?

26 ARE PERMITTING REQUIREMENTS & TIME SCHEDULES IMPOSED ON MWRA AND CONTRACTOR REASONABLE?


SPECIFICATION


PAGE 3 OF 5

CONTRACT No./NAME


27 ARE REQUIREMENTS FOR STORAGE/SAFEGUARDING OF MATERIALS AND EQUIPMENT SATISFACTORY?

28 IS THE SUMMARY OF WORK SUFFICIENT AND CLEAR?

29 IS THE BASE ELEVATION DATUM PLANS CLEARLY IDENTIFIED?

30 ARE PROJECT/PROGRESS MEETING REQUIREMENTS ACCEPTABLE?

31 ARE CONSTRUCTION PROGRESS PHOTOGRAPHS REQUIRED?

32 IS QUALITY CONTROL ADEQUATE? LABORATORY TESTING? FIELD TESTING/INSPECTION? MANUFACTURERS’ REPRESENTATIVES? ETC.

33 ARE PROVISIONS FOR TEMPORARY UTILITIES O. K.? ELECTRICITY, LIGHTING, HVAC, PHONE, WATER, SANITARY, FIRE?

34 ARE ENVIRONMENTAL CONTROLS SUFFICIENT? DUST, EROSION, SEDIMENT, NOISE, ETC.

35 ARE FIELD OFFICE REQUIREMENTS SATISFACTORY? OFFICE EQUIPMENT, CLEANING?

36 ARE CONTRACTOR’S OPTIONS IN SELECTING PRODUCTS AND REQUESTING SUBSTITUTIONS CLEAR?

37 ARE PROJECT CLEANING REQUIREMENTS ACCEPTABLE?

38 ARE RECORDS REQUIREMENTS OK? FOR MAINTANANCE ON SITE ? FOR SUBMISSION TO MWRA?

39 ARE REQUIREMENTS CONCERNING SUBSTANTIAL & FINAL COMPLETION, PUNCHLISTS, ETC. CLEAR AND ADEQUATE?

40 ARE THE NECESSARY TECHNICAL SPECIFICATIONS INCLUDED FOR THE WORK TO BE DONE?


SPECIFICATION


PAGE 4 OF 5

CONTRACT No./NAME


41 DO ALL SPEC. SECTIONS APPLY TO THIS CONTRACT?

42 ARE SITE PREPARATIONS/CLEARING AND GRUBBING REQUIREMENTS SUITABLE? PROTECTION OF EXISTING STRUCTURES, PLANTINGS, UTILITIES? REMOVAL OF SOD, TREES, PAVEMENT?

43 DO DEWATERING PROVISIONS PROVIDE CONTRACTOR SUFFICIENT LATITUDE? SUMP PUMPING, DRAINS, WELL POINT SYSTEMS, ETC.?

44 ARE SUFFICIENT DEWATERING SAFEGUARDS INCLUDED FOR DISPOSAL OF SILT, WATER, ETC.?

45 ARE INSTRUCTIONS ON THE INSTALLATION, USE, REMOVAL/LEAVING-IN-PLACE OF EXCAVATION SUPPORT SYSTEMS SATISFACTORY?

46 ARE EARTHWORK REQUIREMENTS ADEQUATE AND CLEAR? TRENCH LIMITATIONS? BLASTING? TUNNELING? BACKFILL MATERIAL? UNSUITABLE MATERIAL? BACKFILL PLACEMENT? COMPACTION? TESTING? SUBMITTALS?

47 ARE SEWER MATERIALS ADEQUATELY DESCRIBED? PIPE-CONCRETE, DUCTILE IRON, PVC, VITRIFIED CLAY? MANHOLS? COVERS? VALVES? CORRECT STANDARDS REFERENCED?

48 ARE PIPE LAYING REQUIREMENTS ACCEPTABLE? ALIGNEMENT? GRADE? JOINING? CONNECTIONS WITH DIFFERENT MATERIAL AND EXISTING SEWERS? LIMITATIONS RE: WATER MAINS? ACCEPTANCE TESTING?

49 ARE SURFACE RESTORATION REQUIREMENTS SUFFICIENT? LANDSCAPING? PAVING? MARKING?


SPECIFICATION


PAGE 5 OF 5

CONTRACT No./NAME


50 ARE REQUIREMENTS FOR CONCRETE ADEQUATE? FORMS? REINFORCEMENT? MATERIALS? CORRECT SPECS REFERENCED? PLACEMENT? TESTING? FINISHING? CURING? SUBMITTALS?

51 ARE REQUIREMENTS FOR MASONRY PRACTICES AND MATERIALS SATISFACTORY?

52 ARE THE REQUIREMENTS FOR ROUGH AND FINISHED CARPENTRY APPROPRIATE?

53 ARE THE REQUIREMENTS FOR ROOFING, INSULATION, FLASHING, PAINTING SATISFACTORY?

54 ARE REQUIREMENTS FOR SIDING, FLOORING, DOORS AND WINDOWS SATISFACTORY?

55 IS NECESSARY EQUIPMENT ADEQUATELY SPECIFIED? PUMPS? MOTORS? CONVEYORS? HOISTS? TANKS? ETC.

56 ARE REQUIREMENTS FOR HEATING, VENTILATION, AND AIR CONDITIONING APPROPRIATE?

57 ARE REQUIREMENTS FOR FIRE PROTECTION, PLUMBING AND SANITARY FACILITIES SATISFACTORY? ARE STATE AND LOCAL CODES INVOKED?

58 ARE ELECTRICAL REQUIREMENTS SUITABLE? SERVICE AND DISTRIBUTION? LIGHTING? COMMUNICATIONS? CONTROLS?

59 IS THE RESPONSIBILTY TO BUY, WIRE, AND INSTALL ALL EQUIPMENT CLEARLY DELEGATED?

60 ARE BORING LOGS INCLUDED AND ARE THEY CONSISTENT WITH PLANS?


PLAN


PAGE 1 OF 3

CONTRACT No./NAME


1 DO PLANS BEAR SUITABLE TITLE INCLUDING MWRA & PLAN NAME, CONTRACT NO., SCALE IN FEET, NORTH ARROW, DATE, NAME & REGISTRATION STAMP OF ENGINEER?

2 ARE PLANS CLEAR & LEGIBLE & IS SCALE ADEQUATE TO SHOW NECESSARY DETAIL?

3 ARE ALL SYMBOLS USED EXPLAINED IN THE PLAN LEGEND?

4 ARE PLAN NOTES NUMBERED, DO THEY REFER TO SPECS AND ARE PROPER SECTIONS OF SPECS REFERENCED?

5 ARE PAY ITEMS IDENTIFIED FOR WORK INSRUCTIONS ON PLANS?

6 ARE REFERENCES TO OTHER SHEETS AND PLAN DETAILS ACCURATE?

7 IS THE ELEVATION DATUM PLANE DEFINED ON THE PLANS?

8 DOES LOCUS PLAN SHOW LOCATION OF ALL WORK AND ITS RELATIONSHIP TO COMMUNITY INCLUDING STREETS, STREAMS WITH DIRECTION OF FLOW, PONDS, CONTOUR LINES, MUNICIPAL AND SEWER DISTRICT BOUNDARIES ?

9 ARE EASEMENTS SUFFICIENT IN SIZE AND CLEARLY IDENTIFIED?

10 ARE RELEVANT PROPERTY LINES INDICATED?

11 ARE WETLAND BOUNDARIES CLEARLY IDENTIFIED?

12 ARE LOCATIONS OF SOIL BORINGS SHOWN OR REFERENCED?


PLAN


PAGE 2 OF 3

CONTRACT No./NAME


13 DO PLANS SHOW SIZE & FLOW DIRECTION OF SEWERS?

14 ARE SIZE, MATERIAL & TYPE OF SEWER PIPE SHOWN?

15 IS STATIONING IDENTIFIED AND CONTINUOUS?

16 IS UNNECCESSARY/IRRELEVANT INFORMATION SHOWN?

17 IS GRADE OF SEWER BETWEEN MANHOLES SHOWN?

18 IS INVERT & DURFACE ELEVATION AT MANHOLES SHOWN?

19 DO ELEVATIONS AGREE MATHEMATICALLY WITH PROPOSED SLOPES?

20 IS LOCATION AND PERTINENT ELEVATIONS OF ALL STRUCTURES, SIPHONS, FORCE MAINA, ETC. SHOWN?

21 DOES IT APPEAR THAT ALL UTILITIES – SEWER, GAS, WATER, STORM DRAINS, ETC. – ARE SHOWN?

22 DOES IT APPEAR THAT THERE WILL BE A CONFLICT WITH THESE UTILITIES DUE TO LOCATION OR GRADE?

23 ARE DETAILS OF STREAM CROSSINGS AND SEWER OUTLETS SHOWN WITH ELEVATIONS OF STREAM BED AND NORMAL AND EXTREME HIGH AND LOW WATER LEVELS?

24 ARE DETAILS OF SPECIAL SEWER JOINTS AND CROSS-SECTIONS SHOWN?

25 ARE NECESSARY CROSS SECTIONS AND DETAILS OF STRUCTURES/SEWER APPURTENANCES-PLANT FACILITIES, MANHOLES, CHAMBERS, SIPHONS, REGULATORS, ETC. – SHOWN?


PLAN BIDDABILITY/CONSTRUCTABILITY REVIEW CHECKLIST

PAGE 3 OF 3

CONTRACT No./NAME


26 IS ALL MATERIAL SHOWN ADEQUATELY SPECIFIED?

27 IS LOCATION AND SIZE OF REINFORCING STEEL SHOWN?

28 ARE MEASUREMENTS, DEMENSIONS, ELEVATIONS & SIZES LOGICAL, CONSISTENT & DO THEY ADD UP?

29 ARE DETAILS OF REMOVAL & RESTORATION OF FENCES, PAVING, PLANTINGS, SIGNS, UTILITIES, ETC. CLEAR?

30 IS LOCATION OF EQUIPMENT-PUMPS, MOTORS, BLOWERS, ETC. – AND INSTALLATION DETAILS – WIRING, PIPING, DUCTING, ETC. – SHOWN?

31 ARE WELD DETAILS SHOWN?

32 ARE SCHEMATIC DIAGRAMS OF PLANT FACILITIES INCLUDED WHERE APPROPRIATE?

INCOMING CORRESPONDENCE LOG Project: MWRA Contract No.: Location: EPA/MDEP Project No.: Contractor: Sheet of

FORM 4-1 EFFECTIVE DATE 11/87

OUTGOING CORRESPONDENCE LOG Project: MWRA Contract No.: Location: EPA/MDEP Project No.: Contractor: Sheet of

FORM 4-1 EFFECTIVE DATE 11/87

W F #


Date: / / PAGE 1 OF 2

LABOR

SUPERINTENDENT CAR ASSIST. SUPER PICKUP ENGINEER POWER SAW LABOR FOREMAN FINISHING MACHINE CARP. FOREMAN MOTAR MIXER CARPENTER PIPE CUTTER BRICKLAYER LIGHT PLANT PLUMBER MOTOR BUGGIES ELECTRICIANS BACKHOE ( ) LABORER BACKHOE ( ) WELDER BULLDOZER LOADER OPR. FRONT END LOADER

( )

OILER BULLDOZER OPR. CONCRETE PUMP TRUCK DRIVER COMPRESSOR TECHNICIAN PUMP ( ) CRANE OPERATOR TRUCK ( ) GENERATOR OPR. SCRAPER BACKHOE OPR. GRADER COMPRESSOR OPR. ROLLER PUMP OPERATOR GENERATOR DOCKWORKER CRANE (MECHANICAL) SANDHOG WORKER CRANE (HYDRAULIC) IRONWORKER WELDING MACHINE CEM. FIN. FOREMAN BOBCAT CEM. FINISHER JACK HAMMER PAINTER CONC/BIT. PAVER SHT. METAL WORKER COMPACTOR ROOFER VIBRATOR PIPEFITTER FORKLIFT PILE DRIVER PILE HAMMER MILLWRIGHT ROAD SWEEPER MINER TRAILER (EQUIP) HELPER TRAILER (UTILITY) JOURNEYMEN MECH. PIPE BENDER

Contract Daily Report No. By: � Date:

W F #

CONTRACTOR’S DAILY WORKFORCE ACCOUNT PAGE 2 OF 2

= = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = = =

COMMENTS:

MASSACHUSETTS WATER RESOURCE AUTHORITY


QUANTITY CONTROL LEDGER TITLE SHEET

MWRA Contract No. EPA/DEP Project No. Contract: Location: Contractor: Resident: Company:

Contract Price: Award Date: Approved Change Orders: Notice to Proceed: Adjusted Contract Price: Time of Performance: Date of Completion: Revised Completion Date: Substantial Completion Date: Final Completion Date:

MASSACGUSETTS WATER RESOURCES AUTHORITY CONSTRUCTION DEPARTMENT QUANTITY CONTROL LEDGER

CONTROL SHEET

Control No. Page of Item No. Item: Est. Quantity: Price: per

Refer. Date Book Page Insp. Location: Quantity To Date No. Quantity Remarks ��

��

��

��

��

��

��

MASSACHUSETTS WATER RESOURCES AUTHORITY CONSTRUCTION DEPARTMENT QUANTITY CONTROL LEDGER

WORKSHEET No.

Contract No. Page of Description: Reference: From to

Date : �� Signature:

PARTIAL PAYMENT REQUEST – SUMMARY/CERTIFICATION

Project: ___________________________________________________ MWRA Contract No.: ___________________________________________ Location:__________________________________________________ EPA/MDEP Project No.: ____________________________________________ Contractor:________________________________________________ Contract Price:____________________________________________________ Consultant:________________________________________________ Contract Date: _______________ Completion Date:_____________

Duration:___________________ Days Estimate For Partial Payment No.: ______ from ________________________ through ______________________ (Date) (Date) Percent Completed: Percent Time Used:

Total Thru Last Estimate: $

This Estimate: $

Total to Date: $

_____ % Retained on $ Equals: $ Other Deductions: $

Brought Forward: $ Total Value of Work to Date: $

Total Value of Work to Date Total Deductions: Amount payable to Date: Less Previous Payments: Amount Payable This Estimate:

COMBINED TOTAL $(_____________)

$(_____________)

$(_____________)

CERTIFICATION

All items, units, quantities and prices of work and/or material shown on this periodic estimate are correct; all work has been performed and materials supplied in full accordance with the terms of the contract documents and all authorized changes thereto; the above is a true and correct statement of the contract account up to and including the last day of the period covered by this estimate and that no part of the “amount payable this estimate” has been received. Certified By:_____________________________ Date:________________________ Contractor

MWRA

___________________________________________DATE: _________________ Resident Engineer ____________________________________________DATE: ________________ Construction Coordinator ___________________________________________DATE: _________________ Director of Construction

Massachusetts Water Resources Authority Periodic Estimate

Contract Name: Estimate No.: MWRA Contract No. Date Prepared: Contractor: Period Covered: Original Completion Date: Time Extensions: days Revised Completion Date: Original Contract Price: Change Orders: Revised Contract Price: Item No. Description Est.

Qty. Units Contract

Price Qty. this Period

Prev. Qty.

Qty. to Date

Amount due This period

Prev. Amount Invoiced

Total Invoiced To date

% Complete

Contract Totals

Original Completion Date: Total for Period: Amount Retained: ________________ Amount Previously Paid: Due this Estimate: Amount due this Estimate:______________________ Total paid to Date:

Amount Previously Retained:

Amount Retained this Estimate: ______________________ Total Retained to Date: Total Invoiced to Date:

PROJECTED OVERRUN NOTIFICATION CONTRACT NAME: CONTRACTOR: CONTRACT No.: DATE: NOTE: This form shall be completed by the Resident Engineer whenever a unit price

quantity completed to date is 85% and a projected overrun is apparent. COMPUTED BY: CHECKED BY: ITEM No: ITEM DESCRIPTION: PARTIAL PAY ESTIMATE: QUANTITY THIS ESIMATE: QUANTITY TO DATE: CONTRACT QUANTITY: ANTICIPATED QUANTITY TO COMPLETE (ESTIMATED) PROJECTED OVERRUN: REASON FOR OVERRUN: CC: Construction Coordinator Design Consultant Field Office File Copy With Partial Pay Estimate


NOTICE OF LABOR COMPLIANCE To: ______________________________________ Construction Coordinator From: ______________________________________ Resident Engineer Project: ______________________________________ ______________________________________ Contract No.: __________________________ Partial Payment No.: ____________ Date: _________________ ===================================================================== All certified payrolls, current within two weeks from above partial payment request date, which are required to be submitted for work under this partial payment, have been submitted by the Contractor and are on file. ____________________________________ ________________ Resident Engineer Date ____________________________________ Title

MASSACHUSETTS WATER RESOURCES

AUTHORITY

CONSTRUCTION DEPTARTMENT

SHOP DRAWING LOG

____________________________ ________________________ Contract Job No. ____________________________ _______________________ Contractor Tel. No.

Sheet of No.

Description

Spec. Sect.

Date Rec’d.

Review By

Date Return

Status

Date Rec’d.

Review By

Date Return

Status

Days

Reviewed By: C = Consultant Engr. Status: 1 = No exceptions Taken F = Field Staff 2 = Reviewed, Conditions Noted M = MWRA Home Staff 3 = Revised and Resubmit O = Other 4= Rejected – See Remarks 5 = Reviewed for Information Purposes Only

TRANSMITTAL TO: MASSACHUSETTS WATER RESOURCES AUTHORITY CONTRACTOR’S JOB NO: SECTION CONSULTANT JOB # (IF APPLICABLE) DATE

PROJECT NAME & CONTRACT NO.

LOCATION

TRANSMITTAL #

SPEC SECTION #

T MWRA REPRESENTATIVE O

F R O M

ITEM NO.


OR DESIGNER

DRAW NO CATAL NO

BROCHURE NO ETC.

NO OF

COPIES CONTRACT

DRAW REF.


CODE REVEWED

BY

THIS CERTIFIES THAT ALL ITEMS SUBMITTED HEREWITH HAVE BEEN CHECKED BY THE CONTRACTOR, ARE IN CORNFORMANCE WITH THE REQUIREMENTS OF THE CONTRACT DOCUMENTS, EXCEPT AS NOTED, AND ARE APPROVED BY THE CONTRACTOR FOR THIS PROJECT. SPECIAL INSTRUCTIONS

SIGNATURE & TITLE


a. INSTALLATION SHALL PROCEED ONLY WHEN ACTION CODE IS 1 0R 2 b. ACTION CODED 3 SHALL BE RESUBMITTED WITHIN TIME LIMIT SET IN CONTRACT. c. REVIEW DOES NOT RELIEVE CONTRACTOR FROM RESPONSI- BILITY OF COMPLIANCE WITH ALL REQUIREMENTS OF THE CON- TRACT DOCUMENTS.

ACTION BY MWRA CONSUL

BY

(SIGNATURE)


MASSACHUSETTS WATER RESOURCES AUTHORITY MANUFACTURER’S OPERATIONS & MAINTENANCE MANUAL

SUBMITTAL CHECK LIST

Page 1 of 4 PROJECT:

CONTRACT No.

CONTRACTOR:

SPEC. SECTION:

EQUIPMENT DESCRIPTION:

MANUFACTURER: SYSTEM:

DATE: REVIEWED BY:

KEY TO REVIEW: A = ACCEPTED P = PROVIDE NA = NOT APPLICABLE 1. Binder:

Commercial quality

8-1/2" x 11", 3-ring

Hardback, cleanable plastic cover

Tabbed fly leaves with typed description

2. Cover

O&M Instructions printed/typed

Title of project & name of pumping station

Name of Contractor

Subject matter of contents

Area for Consultant’s name, signature and date

3. Table of Contents:

Title of project

Consultant’s name, address, phone number and contact

Contractor’s name, address, phone number and contact

Schedule of products and systems with index

of 4 Complete data sheet showing all components included in manual:

Model numbers

Serial numbers

Quantities

Features

4. Product Information (for each component):

Manufacturer’s name, address and phone number

Manufacturer’s order number

Names, addresses and phone numbers of local source(s) of supplies

and replacement parts

Edit product information professionally and accurately;

delete/cross-out information not specifically related

to this project

Description of unit or system, including all component parts

Function

Normal operating characteristics

Limiting conditions

Performance curves

Engineering data and tests (factory and field)

Complete parts list with parts number, cut-away illustrations

and recommended quantities to have on-hand

Installation and storage procedures

5. Operating Instructions:

Set-up in logical sequence

Training guide

Operating instructions

Start-up

Break-in

Routine normal instructions and sequences

Emergency instructions

Special instructions

Controls sequence of operation

of 4

6. Maintenance Requirements:

Routine procedures Troubleshooting guide

Preventative maintenance and repair frequency

Disassembly, repair and reassembly instructions

Alignment, adjusting, balancing and checking instructions

Servicing and lubrication schedule

List of lubricants

All required diagrams for the above maintenance tasks

7. Drawings:

Reinforced punched binder tab and inserted into text and/or

folded and inserted into drawing pocket

One (1) complete copy of shop drawings approved by Consultant

Component parts schematic

Control and flow diagrams

All drawings mentioned in manual text

Valve tag number charts and diagrams

Location of valve

Function of valve

As-installed color-coded wiring diagrams

As-installed color-coded piping diagrams

Contractor’s coordination drawings

8. Manufacturer’s Written Reports:

Factory and field test reports

Inspection report (after trial operating tests)

Final test report

9. Warranties and Bonds:

Copy included where applicable.

10. Proposed startup demonstrations and training schedule for each system

and/or equipment component

of 4

11. Other items required by other Sections of the Specifications

12. Corrections to O&M manuals after all testing and instructions to Plant

Personnel have been completed

13. Product data for "Materials & Finishes":

Catalog number

Size

Color designation

Texture designation

14. Instruction for Care & Maintenance for "Materials & Finishes":

Recommendations for cleaning agents and methods

Precautions against detrimental agents and methods

Recommended schedule of cleaning and maintenance

Inspection, maintenance and repair recommendations



PIPE TEST - HYDROSTATIC/PNEUMATIC

PROJECT: _______________________________________ MWRA CONTRACT No.:

LOCATION: _________________________________ EPA/DWPC No.: ____________________

============================================================================

PIPING SYSTEM:

1. SERVICE: ______________________________________________________________

2. PIPE MATERIAL: ________________________________________________________

3. PIPE JOINT (TYPE): ______________________________________________________

4. START & STOP STATIONS: _______________________________________________

PIPING TEST:

1. DATE OF TEST: TIME: _______________________________

2. TEST MEDIUM: _________________________________________________________

3. TEST PRESSURE: ________________________________________________________

4. LENGTH OF TEST: __________________

5. PRESSURE AT START OF TEST: ___________________ PSI

PRESSURE AT END OF TEST: ______________________ PSI

6. TEST SUCCESSFUL (YES/NO): _____________

7. COMMENTS: ____________________________________________________________

________________________________________________________________________

_________________________________________________________________________

_________________________________________________________________________

_____________________________________________ RESIDENT ENGINEER DATE

IF TEST IS UNACCEPTABLE, TEST SHALL BE REPEATED AND SECOND FORM COMPLETED.


EQUIPMENT SYSTEM PRE-OPERATIONAL CHECKLIST

PROJECT:_____________________________________ MWRA CONTRACT No. _________

LOCATION: ___________________________________ MDEP CWSRF No. _____________ SYSTEM: _____________________________________

EXCEPTIONS AND/OR EXCLUSIONS (IF ANY): __________________________________

STATION/LOCATION: __________________________________________________________

SPECIFICATION REFERENCE: __________________________________________________

DATE CHECK BY CHECKLIST COMPLETED RES.ENGINEER

1. STRUCTURAL SUPPORTS

2. GROUTING COMPLETE

3. MECHANICAL EQUIPMENT

4. PIPING AND VALVES

5. PIPE HANGERS & RESTRAINTS

6. PIPE TEST (HYDROSTATIC/PNEUMATIC)

7. VALVE LUBRICATION

8. ELECTRICAL WIRING & LIGHTING

9. ELECTRICAL EQUIPMENT

10. INSTRUMENTATION EQUIPMENT

11. CONTROL/SENSING ELEMENTS ACTIVE

12. SAFETY EQUIPMENT AVAILABLE

NOTE: ALL APPLICABLE ITEMS MUST BE COMPLETE AND INITIALED BY RESIDENT ENGINEER BEFORE ADVANCING TO NEXT PHASE OF ACCEPTANCE.

M A S S A C H U S E T T S W A T E R R E S O U R C E S A U T H O R I T Y


PERFORMANCE TESTING (FIELD)

PROJECT: MWRA CONTRACT No.:

MDEP CWSRF No.:

LOCATION:

===========================================================================

EQUIPMENT SYSTEM: _______________________________________________________________

DATE: _________________________________ SPECIFICATION REFERENCE:

DESCRIPTION OF ACTUAL FIELD PERFORMANCE TEST:

______________________________________

______________________________________

______________________________________

______________________________________

______________________________________

___________________________________________________________________________________

DATE EQUIPMENT PRE-OPERATIONAL SYSTEM CHECK WAS PERFORMED ______________

TEST SUCCESSFUL (YES/NO, COMMENTS): ____________________________________________

___________________________________________________________________________________

___________________________________________________________________________________

Resident Engineer

TO THE BEST OF MY KNOWLEDGE ALL SHOP DRAWING & O&M INSTRUCTIONS REGARDING THE ABOVE EQUIPMENT ARE APPROVED AND COMPLETED AND A MONETIZED PUNCH LIST, IF APPLICABLE, HAS BEEN PRESENTED TO THE CONTRACTOR.


MASSACHUSETTS WATER RESOURCES AUTHORITY C O N S T R U C T I O N D E P A R T M E N T MANUFACTURER'S SERVICES/TRAINING



=========================================================================

EQUIPMENT SYSTEM: ____________________________________________________________

SPECIFICATION REFERENCE: ___________________________

MANUFACTURER'S ADDITIONAL SERVICE:

1. SERVICES PROVIDED AS SPECIFIED TO SECURE PROPER INSTALLATION, ADJUSTMENT AND TESTING

DATES SERVICES PROVIDED: __________________________________________ 2. SERVICES PROVIDED AS SPECIFIED FOR TRAINING PLANT PERSONNEL IN

OPERATION & MAINTENANCE OF EQUIPMENT (ATTACH ATTENDANCE LIST) DATES TRAINING PROVIDED: _________________________________________ 3. MANUFACTURERS O&M MANUAL SUBMITTED & APPROVED DATES APPROVED: ____________________________________

DATES COPIES FORWARDED TO MWRA: ________________ COMMENTS: _____________________________________________________ ______________________________________________________ ______________________________________________________ ______________________________________________________ The above conditions having been completed, the undersigned agree additional services/training by Manufacturer’s Representative have been completed as specified. 1. _____________________________________________ Contractor Date MWRA Construction Unit Date 2. _____________________________________________ Resident Engineer Date MWRA Operations Unit Date



MANUFACTURER'S O & M TRAINING ATTENDANCE



======================================================================

SYSTEM: DATE OF TRAINING: SPECIFICATION SECTION: ____________________ MANUFACTURER’S O&M TRAINING - ATTENDANCE: NAME ORGANIZATION

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

Attach this form to Manufacturer’s Additional Services/Training Checklist


SPARE PARTS & SPECIAL TOOLS CHECKLIST

PR OJ EC T:_______________________________________ MW RA CONTRACT N o . ______

LOCATION: _______________________________________ MDEP CWSRF No. _______________

=========================================================================

DATE: TIE UNDERSIGNED HEREBY WITNESS THAT ON THE ABOVE DATE THE FOLLOWING SPARE PARTS/SPECIAL TOOLS, SUITABLY BOXED, PROTECTED AND IDENTIFIED AS PER SPECIFICATIONS WERE TURNED OVER TO THE MWRA OPERATION DIVISION.

LIST OF SPARE PARTS

SPEC.

SECTION

SPARE PART/

SPECIAL TOOL

QUANTITY

SERIAL

NUMBER

Contractor MWRA Operations Division Resident Engineer


EQUIPMENT SYSTEM TRIAL OPERATIONS BY AUTHORITY PERSONNEL



========================================================================= EQUIPMENT SYSTEM: EXCEPTION AND/OR EXCLUSIONS (IF ANY): ____________________________________ BUILDING LOCATION: SPECIFICATION SECTION: DATE CHECK-OUT COMPLETED & OPERATING CHECKED BY CHECKLIST PROPERLY (Resident Eng.) 1. STRUCTURAL WORK & SUPPORTS 2. MECHANICAL WORK 3. PIPING & VALVES 4. UNIT ASSEMBLIES 5. ELECTRICAL WORK 6. INSTRUMENTATION WORK COMMENTS:


NOTIFICATION OF OPERATIONAL CHECK-OUT ISSUE



CONTRACTOR: ___________________________________________________ EQUIPMENT NAME & No.: ________________________________________________ DATE: SPECIFICATION REFERENCE:

DESCRIPTION OF OPERATIONAL ISSUE:



NOTE: Contractor’s failure to immediately correct/repair above issue may require Engineer to terminate

equipment check-out.


Distribution:

Contractor MWRA – Director of Operations MWRA – Construction Coordinator Attach this form to appropriate System Operational Check-out form.


EQUIPMENT SYSTEM TURNOVER ACKNOWLEDGEMENT



========================================================================= SYSTEM: EXCEPTION AND/OR EXCLUSIONS (IF ANY): __________________________________________ STATION/ LOCATION: SPECIFICATION SECTION: DATE CHECKED BY CHECKLIST COMPLETED (Resident Engineer) 1. Equipment System Pre-operational checklist Complete (attached) 2. Field Performance Testing completed as per Specification (Forms attached) 3. Spare Parts furnished as specified (Forms attached) 4. Manufacturer’s additional services, O&M Manual and training provided as specified (Forms attached) 5. Equipment system operational check-out Completed with system on-line performing Intended service (Form attached)

The above conditions having been completed, the undersigned agree the above equipment system was put into normal operation and beneficial use on , and that equipment warranties included under the above system begin effective this date. This checklist shall in no way constitute final or partial acceptance by the Authority of the above system and/or contract.

1. 4. Contractor Date MWRA Construction Dept. Date

2. 5. Resident Engineer Date MWRA Operations Division Date

3. Consultant Engineer Date


NOTIFICATION OF WARRANTY ISSUE



========================================================================= CONTRACTOR: __________________________________________________ EQUIPMENT NAME & No.: _______________________________________________ DATE: SPECIFICATION REFERENCE:

DESCRIPTION OF OPERATIONAL CHECKOUT ISSUE:



NOTE: Contractor’s failure to immediately correct/repair above issue in a timely manner may require Engineer (AUTHORITY) to perform the work, as per the general conditions of the Contract. Resident Engineer Date

Distribution: Contractor: Consultant Engineer MWRA – Operations MWRA – Construction Coordinator MWRA – Project Manager

CERTIFICATE OF SUBSTANTIAL COMPLETION PROJECT: CONTRACT NUMBER: TO: (Owner): Massachusetts Water Resources CONTRACTOR:

Authority 100 First Avenue Boston, MA 02129

The Work of this Contract has been reviewed and found to be substantially complete. The Date of Substantial Completion is hereby established as of ______________ which, unless otherwise provided in the Contract Documents, is also the date of commencement of all warranties and guarantees required by the Contract Documents.

Project Manager DATE

Jae Kim, ENGINEER DATE

A list of items to be completed or corrected, prepared by the Massachusetts Water Resources Authority is appended hereto. The failure to include any items on such list does not alter the responsibility of the Contractor to complete all Work in accordance with the Contract Documents. The Contractor will complete or correct the Work on the list of items appended hereto by

________________.

CONTRACTOR DATE


Page ______ of _______ DATE

PUNCH LIST FOR INCOMPLETE OR UNSATISFACTORY WORK ITEMS

PROJECT: ___________________________________ MWRA CONTRACT No. _____________ CONTRACTOR: ______________________________ TELEPHONE No. ___________________

DIVISION

PUNCH LIST ITEM SECTION VALUE

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

_________

_____________________________________________ __________ _________

MASSACHUSETTS WATER RESOURCES AUTHORITHY


NOTIFICATION OF EQUIPMENT WARRANTY ISSUE TO:

Director of Operations FROM:

(Title) DATE: FAILURE No. ===================================================================== CONTRACT NAME: MWRA CONTRACT No.: LOCATION: CONTRACTOR: EQUIPMENT NAME & No.: SPECIFICATION REFERENCE: DATE COMPLETED: DATE OF FAILURE: DESCRIPTION OF WARRANTY ISSUE:

MASSACHUSETTS WATER RESOURCES AUTHORITHY O P E R A T I O N S D I V I S I O N

EQUIPMENT WARRANTY RESOLUTION

TO:

(Title) FROM:

Operations Manager DATE: SUBJECT: WARRANTY RESOLUTION No.: ===================================================================== CONTRACT NAME: MWRA CONTRACT No.: LOCATION: CONTRACTOR: EQUIPMENT NAME & No.: SPECIFICATION REFERENCE: DATE COMPLETED: DATE OF RESOLUTION/REPAIR: DESCRIPTION OF RESOLUTION:


PROJECT:

Date:

MWRA CONTRACT NO.

RFI NO.

Originator:



Subject:



Signed:

Assigned To: Signed: Date: Resident Engineer


Signed: ____________________________________________________ Date: _________________________ Title: ( ) This determination results in no change to the Contract Price or Contract Time. In the event the Contractor disagrees with this determination the Contractor’s attention is directed to the Provisions of Section 00700 Article 19.2.1 which requires the submission of a written Notice of Claim within 21 days, and the subsequent requirement to provide a complete claim submittal within sixty (60) days after delivery of the notice of claim (unless the Engineer allows an additional period of time to ascertain more accurate data in support of the claim as requested by the Contractor). ( ) This determination results in a Change to the Contract. The Contractor is requested to submit a cost proposal within ten (10) days in conformance with Section 00700 Article 13.1.2.

1. Additional Info. Attached? __ y__ n 2. Are site or Plant wide issues involved? ___ y ___ n

Distribution:

Sheet 1 of 2

FA#

F O R C E A C C O U N T

D A I L Y S T A T U S R E P O R T Contract: MWRA Job No.

Location: DEP CWSRF No.

Contractor: Resident Engineer:

& Book No. Page Weather Date Time Started: Time Finished:

Area of Work:

Subcontractors:

=====================================================================

Materials:

Description of Work:

Sheet 2 of 2 FA#

C O N T R A C T O R ’S W O R K F O R C E

LABOR EQUIPMENT SUPERINTENDENT CAR ASSIST. SUPER PICKUP ENGINEER POWER LABOR FOREMAN SAW CARP. FOREMAN FINISHING MACHINE CARPENTER MORTAR MIXER BRICKLAYER PIPE CUTTER PLUMBER LIGHT PLANT ELECTRICIANS MOTOR BUGGIES LABORER BACKHOE (580E) WELDER BACKHOE ( ) LOADER OPER. BULLDOZER OILER FRONT END LOADER

( )

BULLDOZER OPR. CONCRETE PUMP TRUCK DRIVER VOMPRESSOR TECHNICIAN PUMP ( ) CRANE OPERATOR TRUCK ( ) GENERATOR OPR. SCRAPER BACKHOE OPER. GRADER COMPRESSOR OPR. ROLLER PUMP OPERATOR GENERATOR DOCKWORKER CRANE (MECHANICAL) SANDHOG WORKER CRANE (HYDRAULIC) IRONWORKER WELDING MACHINE CEM.FIN.FOREMAN BOBCAT CEM.FINISHER JACK HAMMER PAINTER CONC./BIT PAVER SHEET METAL WORKER COMPACTOR ROOFER VIBRATOR PIPEFITTER FORKLIFT PILE DRIVER PILE HAMMER MILLWRIGHT ROAD SWEEPER MINER TRAILER ( )

CONSTRUCTION DEPARTMENT CHANGE ORDER TRACKING

PROJECT: CHANGE ORDER No. PCO #

(Description)

STEPS POLICY/PROCEDURES DATE/COMPLETION INT

1 Determine additional work is needed.

2 Prepare PCO (Proposed Change Order)

3 Review/approval of PCO by Const. Dept.

4 Review/approval of PCO by Procurement

5 Prepare detailed scope of work

6 Request Written cost proposal from Cont.

7 Prepare written cost proposal review

a. if <100K, perform in house review

b. if >100K, obtain independent estimate

8 Negotiate and prepare

Memorandum of Negotiation (MON)

9 Prepare CO and Staff Summary

10 Depending on Delegated Authority,

Submit CO through review process

11 CO approved & Signed by all parties

12 Distribute CO with all Documentation

13 Contractor Authorized to Proceed

s/

Title

MASSACHUSETTS WATER RESOURCES AUTHORITY CONSTRUCTION DEPARTMENT CHANGE ORDER RECORD LOG

MWRA Contract No. ________ Location: ______________ Contract Name: ___________________________________________

Start Date: _______/_______/_______ Page: _____ of _____ Contractor: _____________________________________________ Consultant: _____________________________________________ Constr. Coord.: ____________________________________________

PCO No.

C.O. No.



AMOUNT REMARKS


CONSTRUCTION DEPARTMENT MATERIALS CONTROL SHEET

CONCRETE

Contract Number: ____________ Page of ________

Testing Agency:

Required Strength psi

Date of Placement

Amount (cy)

Location of Test

Sample ID Test

Test Slump

Results Air

PSI

Remarks

VISITORS LOG

Sheet of ____ Project: MWRA Contract No.: Location: Contractor:

DATE VISITOR – REPRESENTING PURPOSE OF VISIT TIME - IN

TIME - OUT

ACCIDENT REPORT

Project: MWRA Contract No.: Location: EPA/MDEP Project No.: Date of Occurrence: Date: Weather Conditions: Witness Time of Occurrence: & Phone No.: Contractor: Summary of Events: Property Damage: Location of Accident: Police Officers Investigating: Police File No.: Consultant personnel on location at time of accident: Operators of any equipment involved:

PAGE 1 OF 2

ACCIDENT REPORT

Project: MWRA Contract No.: Location: EPA/MDEP Project No.: Contractor: Date: Personnel Injuries: cc Director of Construction Construction Coordinator Assistant Manager of Worker’s Compensation Employee Resident Engineer Date

PAGE 2 OF 2

DAMAGE REPORT

Project: MWRA Contract No.: Location: EPA/MDEP Project No.: Contractor: Owner of Damaged Property: Equipment Manufacturer: Date Received: Delivered by Specification Section: Describe Damage Proposed Repairs/Replacements By Whom Comments


COMPLAINT REPORT

Project: MWRA Contract No.: Location: Date: Contractor: Complaint No.:

TO: RE: We received a telephone, written complaint as follows, attached: We urge you to take necessary steps to satisfy this issue as soon as possible. (1) Approximate date to be resolved Date (2) Advised property owner Date DESCRIPTION OF COMPLAINT: CONTRACTOR’S Reply and Comments: Contractor’s Representative Date Resident Engineer’s Comments: Resident Engineer Date Date of Resolution: Please return Copy of this form with your reply and comments.

CERTIFICATE OF CURRENT COST OR PRICING DATA



by Article 13 of the

General Conditions of the Contract and submitted to the Construction Manager in support of:

Change Order , PCO :

Description:

For an amount not to exceed $

CONTRACTOR:

MWRA CONTRACT #:

SIGNATURE:

TITLE:

NAME (print):


U.S. Department of Labor PAYROLL (For Contractor's Optional Use; See Instructions at www.dol.gov/whd/forms/wh347instr.htm)Wage and Hour Division

Persons are not required to respond to the collection of information unless it displays a currently valid OMB control number.

NAME OF CONTRACTOR OR SUBCONTRACTOR ADDRESS OMB No.: 1235-0008 Expires: 01/31/2015

PAYROLL NO. FOR WEEK ENDING PROJECT AND LOCATION PROJECT OR CONTRACT NO.

(1) (2) (3) (4) DAY AND DATE (5) (6) (7) (9) (8)

DEDUCTIONS

O

O

O

O

O

O

O

O

NAME AND INDIVIDUAL IDENTIFYING NUMBER (e.g., LAST FOUR DIGITS OF SOCIAL SECURITY

NUMBER) OF WORKER NO

. OF

WIT

HH

OLD

iNG

E

XEM

PTI

ON

S

WORK CLASSIFICATION

OT.

OR

ST.

HOURS WORKED EACH DAY TOTAL HOURS

RATE OF PAY

GROSS AMOUNT EARNED FICA

WITH-HOLDING

TAX OTHER TOTAL

DEDUCTIONS

NET WAGES

PAID FOR WEEK

S

S

S

S

S

S

S

S

Rev. Dec. 2008

Rev. Dec. 2008

While completion of Form WH-347 is optional, it is mandatory for covered contractors and subcontractors performing work on Federally financed or assisted construction contracts to respond to the information collection contained in 29 C.F.R. §§ 3.3, 5.5(a). The Copeland Act (40 U.S.C. § 3145) contractors and subcontractors performing work on Federally financed or assisted construction contracts to "furnish weekly a statement with respect to the wages paid each employee during the preceding week." U.S. Department of Labor (DOL) regulations at 29 C.F.R. § 5.5(a)(3)(ii) require contractors to submit weekly a copy of all payrolls to the Federal agency contracting for or financing the construction project, accompanied by a signed "Statement of Compliance" indicating that the payrolls are correct and complete and that each laborer or mechanic has been paid not less than the proper Davis-Bacon prevailing wage rate for the work performed. DOL and federal contracting agencies receiving this information review the information to determine that employees have received legally required wages and fringe benefits.

Public Burden Statement

We estimate that is will take an average of 55 minutes to complete this collection, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. If you have any comments regarding these estimates or any other aspect of this collection, including suggestions for reducing this burden, send them to the Administrator, Wage and Hour Division, U.S. Department of Labor, Room S3502, 200 Constitution Avenue, N.W. Washington, D.C. 20210

(over)

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Date

I,(Name of Signatory Party) (Title)

do hereby state:

(1) That I pay or supervise the payment of the persons employed by

on the (Contractor or Subcontractor)

; that during the payroll period commencing on the (Building or Work)

day of , , and ending the day of , , all persons employed on s aid project have been paid t he full weekly wages earned, that no rebates have been or will be made either directly or indirectly to or on behalf of said

from the full (Contractor or Subcontractor)

weekly wages earned by any pers on and t hat no deduc tions hav e been m ade eit her direc tly or indirec tly from the full wages earned by any person, other than permissible deductions as defined in Regulations, Part 3 (29 C.F.R. Subtitle A), issued by the Secretary of Labor under the Copeland Act, as amended (48 Stat. 948, 63 Start. 108, 72 Stat. 967; 76 Stat. 357; 40 U.S.C. § 3145), and described below:

(2) That any payrolls otherwise under this contract required t o be s ubmitted for the abov e period are correct and complete; that the wage rates for laborers or mechanics contained therein are not less than the applicable wage rates contained in any wage det ermination incorporated int o t he c ontract; t hat t he classifications set forth therein for each laborer or mechanic conform with the work he performed.

(3) T hat any apprent ices em ployed in t he abov e period are duly registered in a bona fide apprenticeship program regis tered w ith a St ate apprent iceship agency recognized by the Bureau of Apprenticeship and Training, United States Department of Labor, or if no such recognized agency exists in a State, are registered with the Bureau of Apprenticeship and Training, United States Department of Labor.

(4) That: (a) WHERE FRINGE BENEFITS ARE PAID TO APPROVED PLANS, FUNDS, OR PROGRAMS

− in addition to the basic hourly wage rates paid to each laborer or mechanic listed in the above referenced payroll, payments of fringe bene fits as listed in the contract have been or will be made to appropria te progra ms for the bene fit of such employees, except as noted in section 4(c) below.

(b) WHERE FRINGE BENEFITS ARE PAID IN CASH

− Each laborer or mechanic listed in the above referenced payroll has been paid, as indicated on the payroll, an amount not less than the sum of the applicable basic hourly wage rate plus the amount of the required fringe benefits as listed in the contract, except as noted in section 4(c) below.

(c) EXCEPTIONS

REMARKS:

EXCEPTION (CRAFT)

EXPLANATION

NAME AND TITLE SIGNATURE

THE WILLFUL FALSIFICATION O F ANY O F T HE ABO VE ST ATEMENTS M AY SUBJ ECT T HE CO NTRACTOR O R SUBCONTRACTOR TO CIVIL OR CRIMINAL PROSECUTION. SEE SECTION 1001 OF TITLE 18 AND SECTION 231 OF TITLE 31 OF THE UNITED STATES CODE.

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LABOR STANDARDS INTERVIEWCONTRACT NUMBER EMPLOYEE INFORMATION

LAST NAME FIRST NAME MI

STREET ADDRESS

CITY STATE ZIP CODE

WORK CLASSIFICATION WAGE RATE

NAME OF PRIME CONTRACTOR

NAME OF EMPLOYER

SUPERVISOR'S NAMELAST NAME FIRST NAME MI

ACTIONCHECK BELOWYES NO

Do you work over 8 hours per day?

Do you work over 40 hours per week?

Are you paid at least time and a half for overtime hours?

Are you receiving any cash payments for fringe benefits required by the posted wage determination decision?

WHAT DEDUCTIONS OTHER THAN TAXES AND SOCIAL SECURITY ARE MADE FROM YOUR PAY?

HOW MANY HOURS DID YOU WORK ON YOUR LAST WORK DAY BEFORETHIS INTERVIEW?

DATE OF LAST WORK DAY BEFORE INTERVIEW (YYMMDD)

DATE YOU BEGAN WORK ON THIS PROJECT (YYMMDD)

TOOLS YOU USE

THE ABOVE IS CORRECT TO THE BEST OF MY KNOWLEDGEEMPLOYEE'S SIGNATURE DATE (YYMMDD)

INTERVIEWERSIGNATURE TYPED OR PRINTED NAME DATE (YYMMDD)

INTERVIEWER'S COMMENTSACTION (If explanation is needed, use comments section) YES NOWORK EMPLOYEE WAS DOING WHEN INTERVIEWED

IS EMPLOYEE PROPERLY CLASSIFIED AND PAID?

ARE WAGE RATES AND POSTERS DISPLAYED?

FOR USE BY PAYROLL CHECKERIS ABOVE INFORMATION IN AGREEMENT WITH PAYROLL DATA?

YES NOCOMMENTS

CHECKERLAST NAME FIRST NAME MI JOB TITLE

DATE (YYMMDD)SIGNATURE

AUTHORIZED FOR LOCAL REPRODUCTIONPrevious edition not usable

STANDARD FORM 1445 (REV. 12-96)Prescribed by GSA - FAR (48 CFR) 53.222(g)

DCAM Standard Contractor Evaluation Form Instructions 1 Revised 7/09

Division of Capital Asset Management Standard Contractor Evaluation Form

(Revised July 2009)

****IMPORTANT NOTICE****

THIS FORM IS TO BE USED TO EVALUATE THE PERFORMANCE OF BOTH PRIME/GENERAL AND SUBCONTRACTORS1 ON MASSACHUSETTS PUBLIC BUILDING PROJECTS BID UNDER M.G.L. c. 149A and c. 149, § 44A AND § 44F. PLEASE DO NOT USE THIS FORM TO EVALUATE THE PERFORMANCE OF CONTRACTORS ON PRIVATE WORK. Instructions to Public Awarding Authorities 1. This evaluation form is to be used for Preliminary Evaluations and Final Evaluations on both

Prime/General Contractors and Subcontractors for all projects bid under M.G.L. c. 149A and c. 149, § 44A and § 44F. This form must be completed by every Massachusetts public agency and submitted to the Division of Capital Asset Management (“DCAM”) for inclusion in each contractors’ certification file promptly after completion (i.e. use and/or occupancy, or upon issuance of a certificate of use and/or occupancy, or termination, whichever is earlier).

2. This form must be completed and signed by one of the following:

a) For public projects estimated to be under $1.5 million dollars which do not require an Owner’s Project Manager (“OPM”), as mandated by M.G.L., c. 149, § 44A 1/2, the Awarding Authority must complete the evaluation and sign the last page of the Evaluation. At the Awarding Authority’s discretion, the Awarding Authority’s Representative (e.g. Architect/Designer) may sign the last page of the evaluation. The Awarding Authority’s Representative shall not submit a separate Evaluation to DCAM.

b) For public projects estimated to be $1.5 million dollars or greater which require an OPM, it is mandatory that the Awarding Authority and the OPM complete and sign the Evaluation.

Evaluations that do not meet these requirements will not meet the Awarding Authority’s statutory obligations regarding Contractor Evaluations and will not be accepted by DCAM. DCAM will return incorrectly completed Evaluations to the Awarding Authority for proper completion within the required time frames. The Awarding Authority’s evaluation of the contractor is critically important to DCAM and affects DCAM’s determination of whether a contractor should be, or remain certified. It is of the utmost importance that the individual from the Awarding Authority with the most knowledge of the project be the evaluator on this form.

1 For the purpose of this evaluation form, the term “Subcontractor” shall mean all filed sub-bidders as defined in M.G.L. c. 149, §44F. Subcontractors who are NOT filed sub-bidders need not be evaluated.


3. Any public agency that fails to complete and submit the contractor evaluation forms to DCAM within 70 days (for the Prime/General Contractor) and 90 days (for Subcontractors) of the completion of a project shall be ineligible for the receipt of any public funds disbursed by the Commonwealth for the purposes of any public buildings or public works projects. Individuals completing this form on behalf of a public Awarding Authority will be indemnified and represented by that Awarding Authority in connection with any suit commenced by a contractor as a result of the completion of an evaluation form in accordance with the terms of M.G.L., c. 149, § 44D.

4. Upon completion of all Contractor Evaluation forms on your project, submit them directly to the

DCAM Contractor Certification Office at the following address: One Ashburton Place, 15th Floor Boston, MA 02108

5. As an Awarding Authority, you are also required to send a copy of any completed Contractor

Evaluation form to the contractor being evaluated. 6. We strongly encourage you to provide DCAM with copies of the Preliminary Evaluations on the Prime

Contractors and Subcontrators.


Guidelines for Reviewers

The following definitions are being furnished as a guide for assisting evaluators in determining an appropriate rating for contractors: Finished Product Quality

The rating in this category covers general quality of workmanship.

(a) A building and/or system will be rated “very good” to “excellent” if the workmanship exceeds customary practices with no complaints.

(b) The Division will consider as “satisfactory” a building and/or system that has been installed and is operating in accordance with contract requirements with few and minor complaints.

(c) A building and/or system that has met contract requirements only after frequent adjustments or modifications and with many complaints will be rated “poor.”

(d) A building and/or system which functions with constant adjustments or modifications and serious complaints attributed to the contractor's work, and a building and/or system which fails to meet contract requirements, rates as “unacceptable,” and no points will be given to the contractor, with a written explanation attached.

Project Management

Five factors are evaluated: coordination and scheduling; ability to manage subcontractors; safety and housekeeping procedures; change orders; working relationships with others on the project; and paperwork.

(a) “Very good” to “excellent” performance is when the contractor routinely furnishes all

schedules, shop drawings, and submittals required by the contract in a timely fashion, performs according to the schedules, has the subcontractors in and out of the project as scheduled, maintains a businesslike relationship with the Awarding Authority, designer, subcontractors and the project manager, and runs an orderly and safe project with few complaints.

(b) “Satisfactory” performance is when the contractor occasionally fails to meet the above scheduling and management requirements.

(c) A “poor” rating is when the contractor fails to meet the above scheduling and management requirements on a regular and recurring basis.

(d) If the contractor's performance is so poor that the project is seriously affected, the rating should be “unacceptable,” thereby, no points should be given, and a written explanation attached.

Supervisory Personnel Rating

The contractor's on-site supervisory staff is rated on their knowledge, management skills and experience.

Standard Contractor Evaluation Form Page 1 of 5 Revised: 7/09

Division of Capital Asset Management Standard Contractor Evaluation Form

IMPORTANT – Please check (��) if this evaluation is for:

Prime/General Contractor Subcontractor Section I- General Project Information - Section I must be completed in its entirety.

Reference Name:

Reference Telephone #:

Reference Position/ Title:

Date: DCAM Interviewer (if any): Reference

Agency/ Firm: Name of Contractor Being Evaluated: Contract Cost for Contractor Being Evaluated

Including Change Orders: $ (if change order amount unknown for subcontractor then estimate as 5% of subcontract amount)

Project Title:

Contract Start/ End Dates: Actual Completion Date:

Scope of Work: Project Location (city and state):

*****************Important****************

• Please check (��) if this is a : Preliminary Evaluation (50% complete); or

Final Evaluation (once use and/or occupancy, or issuance of a certificate of use and/or occupancy, or contract termination have been achieved, whichever is earlier)

• Please check (�) if: The project was estimated to be greater than $1.5M dollars and required an Owner’s Project Manager.

• Did the contractor execute this project using their own employees? Yes No


Section II- Evaluation Questionnaire Please rate this contractor's performance in each of the following areas. If you need additional space, attach additional sheets. If you rate the contractor below “satisfactory” in any area, please provide detailed information to explain the rating assigned. You are not restricted to using the numerical values (points) shown and may score in between the points shown. A total of 80 points are required for a passing grade. 1. Quality of Workmanship (0-28 points) Carry over points

here � Rate the quality of this contractor's workmanship. Were there quality-related or workmanship problems on the contract? Was the contractor responsive to remedial work required? If so or if not, provide specific examples.

unacceptable poor satisfactory very good excellent 0 points 14 points 24 points 26 points 28 points

� points comments: _ 2. Project Management

a) Scheduling- (0-13 points) Rate this contractor's performance with regard to adhering to contract schedules. Did this contractor meet the contract schedule or the schedule as revised by approved change orders? If not, was the delay attributable to this contractor? If so, provide specific examples.

unacceptable poor satisfactory very good excellent

0 points 7 points 11 points 12 points 13 points � points

comments: _

b) Subcontractor Management- (0-13 points) Rate this contractor's ability, effort and success in managing and coordinating subcontractors (if no subcontractors, rate this contractor's overall project management). Was this contractor able to effectively resolve problems? If not, provide specific examples.



comments: _


c) Safety and Housekeeping Procedures- (0-9 points) Rate this contractor’s safety and

housekeeping procedures on this project. Were there any OSHA violations or serious safety accidents? If so, provide specific examples.

unacceptable poor satisfactory very good excellent 0 points 3 points 7 points 8 points 9 points

� points comments: _

d) Change Orders- (0-9 points) Did this contractor unreasonably claim change orders or extras? Were this contractor’s prices on change orders and extras reasonable? If not, provide specific examples.



comments: _

e) Working Relationships- (0-7 points) Rate this contractor's working relationships with other parties (i.e. Awarding Authority, designer, subcontractors, etc.). Did this contractor relate to other parties in a professional manner? If not, give specific examples.



comments: _

f) Paperwork Processing- (0-7 points) Rate this contractor's performance in completing and submitting required project paperwork (i.e. change orders, submittals, drawings, requisitions, payrolls, workforce reports, etc.). Did the contractor submit the required paperwork promptly and in proper form? If not, provide specific examples.



comments: _


3. On-Site Supervisory Personnel Rating (0-14 points)

a) General Performance- Rate the general performance of this contractor's on-site supervisory personnel. Did the superintendent(s) have the knowledge, management skills and experience to run a project of this size and scope? If not, provide specific examples.



comments: _ Please add up all points from this page and the preceding pages and enter total here: Section III- Legal and Administrative Proceedings Are you aware of any legal or administrative proceedings, invoked bonds, assessed damages, demands for direct payment, payment bond claims, contract failures, contract terminations, or penalties involving this contractor on this contract? What is the status of any pending litigation? What was the final outcome of any completed litigation? What are the dollar amounts of assessed damages or penalties? comments: _


Section IV- Evaluator Certification I hereby certify that the information contained in this evaluation form represents, to the best of my knowledge, a true analysis of this contractor's performance record on this contract and that this Project Evaluation and Project Rating was not the subject of any negotiation, close-out, or settlement of the subject project or related thereto and that no compensation or consideration (either financial or additional work on this project or otherwise) was given to the awarding authority or me in connection with its preparation or the opinions contained herein. I also certify that I have no ties with this contractor either through a business or family relationship. I have mailed a copy of this completed evaluation form to the contractor on _________________ (Public Awarding Authorities must mail a copy of this completed evaluation form to the contractor). For Public Projects below $1,500,000, this form must be completed and signed by the Awarding Authority and may also be signed by the Owner’s Representative (i.e. Architect/Designer) in conjunction with the Awarding Authority: _______________________________________ _________________ __________ Signature of Awarding Authority Print Name and Title Date ________________________________________ _________________ __________ Signature of Awarding Authority’s Representative Print Name and Title Date (optional) For Public Projects $1,500,000 or greater, this form must be signed by the Owner’s (Awarding Authority’s) Project Manager and the Awarding Authority pursuant to M.G.L., c. 149, § 44A 1/2: ______________________________________ _________________ ___________ Signature of Owner’s (Awarding Authority’s) Print Name and Title Date Project Manager ______________________________________ _________________ ___________ Signature of Awarding Authority Print Name and Title Date Section V- Additional Comments Comments:

CONSENT OF SURETY TO REDUCTION IN OR PARTIAL RELEASE OF RETAINAGE

THIS DOCUMENT HAS IMPORTANT LEGAL CONSEQUENCES; CONSULTATION WITH AN ATTORNEY IS ENCOURAGED WITH RESPECT TO ITS COMPLETION OR MODIFICATION. TO OWNER: (Name and address) ARCHITECTS PROJECT NO.: CONTRACT FOR: PROJECT: (Name and address) CONTRACT DATED: In accordance with the provisions of the Contract between the Owner and the Contractor as indicated above, the (Insert name and address of Surety) , SURETY, on bond of (Insert name and address of Contractor) , CONTRACTOR, hereby approves the reduction in or partial release of retainage to the Contractor as follows: The Surety agrees that such reduction in or partial release of retainage to the Contractor shall not relieve the Surety of any of its obligations to (Insert name and address of Owner) , OWNER, as set forth in said Surety's bond. IN WITNESS WHEREOF, the Surety has hereunto set its hand on this date: (Insert in writing the month by the numeric date and year.) Attest: (Seal): (Surety) (Signature of authorized representative) (Printed name and title)

CONTRACT CLOSEOUT DOCUMENT

ACKNOWLEDGEMENT AND RELEASE OF CLAIMS

TO: The Massachusetts Water Resources Authority MWRA Contract #______________ Charlestown Navy Yard 100 First Avenue Contract description: ____________ Charlestown, MA 02129 ______________________________ ______________________________

In consideration of final payment by the Authority to the Contractor upon which this release is conditioned, the Contractor: 1) acknowledges that the Authority has made full, final and complete payment of all compensation payable under the provisions of the Contract referenced above, including all amendments, modifications, and change orders thereto; and, 2) fully releases and forever discharges without condition beyond receipt of final payment the Authority and its directors, officers, employees, consultants, representatives, agents, successors and assigns from any and all liability, claims, demands, causes of action, debts and suits, of every kind of nature, arising directly or indirectly out of said Contract. The person signing below on behalf of the Contractor certifies that he or she is duly authorized to act for the Contractor in this capacity and that he or she is so acting when signing this Release. IN WITNESS WHEREOF, the Contractor has hereunto set its hand and seal this _______________day of____________________________20______.

______________________________ CONTRACTOR ______________________________ Authorized Company Signature ______________________________ (Print Name and Title)

COMMONWEALTH OF MASSACHUSETTS

____________________,SS _________________, 20 On this _____ day of ___________, 20___, before me, the undersigned notary public, personally appeared_____________________, proved to me through satisfactory evidence of identification, which was _______________________________, to be the person whose name is signed above, and acknowledged to me that he/she signed it voluntarily for its stated purpose as __________________of______________________, pursuant to due and proper authority. (Title) (Contractor) __________________________________________ Notary Public My Commission Expires:

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THIS DOCUMENT HAS IMPORTANT LEGAL CONSEQUENCES; CONSULTATION WITH AN ATTORNEY IS ENCOURAGED WITH RESPECT TO ITS COMPLETION OR MODIFICATION. AUTHENTICATION OF THIS ELECTRONICALLY DRAFTED AIA DOCUMENT MAY BE MADE BY USING AIA DOCUMENT D401.

TO OWNER: (Name and address) ARCHITECT’S PROJECT NO.: CONTRACT FOR: PROJECT: (Name and address) CONTRACT DATED:

In accordance with the provisions of the Contract between the Owner and the Contractor as indicated above, the

(Insert name and address of Surety)

,SURETY on bond of (Insert name and address of Contractor)

,CONTRACTOR hereby approves of the final payment to the contractor, and agrees that final payment to the Contractor shall not relieve the Surety and of its obligations to (Insert name and address of Owner)

,OWNER as set forth in said Surety’s bond. IN WITNESS WHEREOF, the Surety has hereunto set its hand on this date: (Insert in writing the month followed by the numeric date and year) __________________________________________________________ (Surety) Attest: (Seal): ______________________________________________ (Signature of authorized representative) (Printed name and title)

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STATE OF: COUNTY OF: The undersigned hereby certifies that, to the best of the undersigned’s knowledge, information and belief, except as listed below, the Releases or Waivers of Lien attached hereto include the Contractor, all Subcontractors, all suppliers of materials and equipment, and all performers of Work, labor or services who have or may have liens or encumbrances or the right to assert liens or encumbrances against any property of the Owner arising in any manner out of the performance of the Contract referenced above: EXCEPTIONS: SUPPORTING DOCUMENTS ATTACHED HERETO:

1. Contractor’s Release or Waiver of Liens, conditional upon receipt of final payment.

2. Separate Releases or Waivers of Liens from

Subcontractors and material and equipment suppliers, to the extent required by the Owner, accompanied by a list thereof.

CONTRACTOR:

(Name and address)

BY:_____________________________________________ (Signature of authorized representative) (Printed name and title) Subscribed and sworn to before me on this date: ______________ Notary Public:__________________________________________ My Commission Expires:_________________________________

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STATE OF: COUNTY OF: The undersigned hereby certifies that, except as listed below, payment has been made in full and all obligations have otherwise been satisfied for all materials and equipment furnished, for all work, labor, and services performed, and for all known indebtedness and claims against the Contractor for damages arising in any manner in connection with the performance of the Contract referenced above for which the Owner or Owner’s property might in any way be held responsible or encumbered, against any property of the Owner arising in any manner out of the performance of the Contract referenced above: EXCEPTIONS: SUPPORTING DOCUMENTS ATTACHED HERETO:

1. Consent of Surety to Final Payment. Whenever Surety is involved, Consent of Surety is required. AIA Document G707, Consent of Surety, may be used for this purpose.

Indicate attachment: [ ] yes [ ] no The following supporting documents should be attached hereto if required by the Owner: 1. Contractor’s Release or Waiver of Liens, conditional upon

receipt of final payment.

2. Separate Releases or Waivers of Liens from Subcontractors and material and equipment suppliers, to the extent required by the Owner, accompanied by a list thereof.

3. Contractor’s Affidavit of Release of Liens (AIA Document G706A).

CONTRACTOR: (Name and address) BY:__________________________________________ (Signature of authorized representative) (Printed name and title) Subscribed and sworn to before me on this date: ___________

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Notary Public:______________________________________ My Commission Expires:___________________________


MWRA Contract Number Contract title Resident Engineer Designer Construction coordinator Project manager Transmittal form with drawings Drawings All drawings furnished? Correct contract number and title on each drawing? All contract drawings have accession numbers? All redlined changes incorporated? Pipe section number, size and type, and street shown for existing and new pipe

Meter and valve numbers shown All drawings have dimensions where different from contract drawings or other appurtenances added?


Locations of horizontal and vertical survey controls points Revised horizontal pipeline stationing (manhole to manhole, and linear on ground), where necessary?

Permanent easements and right-of-way shown Dimensions showing equipment pad layout Relocation of utility plumbing and process piping Building column line locations Massachusetts grid coordinates of structures (northings and eastings)


Weir elevation settings Location and depth of cover of buried items with reference to above ground permanent marker

Electrical, control, and instrumentation diagrams updated? Changes in designed location of support piling under buildings, pipe joints and electrical conduit encasements

Obsolete notes, demolished or removed items crossed out? Uncovered utilities, ledge, and other obstructions noted? Station and elevation?





Sewer contract: Elevations of sewers and existing ground elevation on MWRA datum, 99.97 feet below Boston City Datum Water contract: Elevations of water mains and existing ground surface on Boston City Base Datum, 5.65 feet below USGS mean sea level

Enlarged plans and profiles, where necessary Actual installation of pipe, valves, manholes, appurtenances in detail

Elevations shown Enlarged plan in 10-scale Professional Engineer’s stamp on drawings? Stamped as record drawing Revision date entered Disclaimer stamped on drawing E&C format followed? Title block lower right? North arrow Detail drawings at 10-scale Horizontal scale at 1”=40’ Vertical scale at 1”= 4’ 24” x 36” sheet size Mylars of all drawings received? 3 paper copies of all drawings received? Water Pipeline Contracts Pressure zone, street location, city or town Year pipe laid and MWRA contract number Land taking number and plan number Meter and valve numbers indicated on drawings Survey elevations shown Construction field book number ? Aperture Cards All drawings filmed onto aperture cards? Two aperture cards received with each drawing: one master and one copy?

Electronic Files TIFF files for each full-size drawing? AutoCADD files for each drawing?

1

Change Order Process

Policy #: ADM.03

Effective Date: 10/6/89 Last Revised:

Contact: Support Services, Procurement Department Former Policy #: P-11.A.1

Reviewed by Division Director: Kate Murray Date: 10/2/97

Reviewed by Internal Audit: Philip Bond Date: 10/7/97

Approved by Executive Director: Douglas B. MacDonald Date: 10/17/97

Purpose The purpose of the Change Order Process Policy is to specify the processfor the initiation, negotiation and documentation of change orders.

Policy All changes to a construction contract resulting in a change in ContractPrice or Contract Time, require a Change Order executed in accordancewith applicable statutes and MWRA policy. A Proposed Change Order, aStaff Summary, if required by delegated authority policy, and a ChangeOrder must be circulated and approved by Procurement, the changes mustbe negotiated, and the Change Order executed by the Contractor and theDivision Director.

Eligibility This policy applies to Construction contracts over $10,000.

Continued on next page

2

Change Order Process (ADM.03), Continued

In this policy This policy contains the following parts:

Policy Name/Form Name Page #

Part A. Overview 3

Part B. Initiating a Change Order 5

Part C. Procurement Review of a Change Order 7

Part D. Negotiating and Documenting a Change 8 Order

Part E. Processing a Change Order 14

Part F. Forms and Exhibits for Change Order Process Policy (ADM.03)


3

Part A. Overview (ADM.03), Continued

Change OrderProcess

There are four phases involved in executing a Change Order, as presentedin the following table:

Phase Description

1 The Construction Department initiates a Change Order bypreparing a Proposed Change Order

2 The Procurement Department reviews the proposed change inthe work for consistency with MWRA policy

3 The Construction Department negotiates and documents theChange Order

4 The Construction Department and Procurement Departmentprocess the Change Order

PCO described The Proposed Change Order describes and defines a proposed change to aconstruction contract in sufficient detail to assist the ProcurementDepartment in determining that the change is consistent with MWRAprocurement policy.

PCOClassification

Proposed changes are classified as normal or urgent. Normal PCO's areprocessed in the regular course of business in accordance with the scheduleset forth in Procurement PCO Processing Schedule below. Urgentchanges generally require authorization/execution in 5 days or less due toone of the following conditions:

• Emergencies involving health and safety of persons or damage toproperty

• Project progress impeded resulting in:

- Time delays


4

Part A. Overview (ADM.03), Continued

PCOClassificationContinued

- Additional MWRA costs for idle personnel/equipment

- Disruption to MWRA or member community operations

Note: Urgent changes must be noted and the reason for urgencydiscussed.

ProcurementPCO ProcessingSchedule

The table below defines the schedule for Procurement processing of normaland urgent PCO's:

PCO Classification Schedule

Normal Return 3 days from receipt to enable ChangeOrder execution within 10-15 days (subject toBoard of Directors schedule)

Exception: Large, complex changes mayrequire additional review time

Urgent Return by hand immediately to 24 hoursdependent on nature of change (C.O. executionsubject to Board of Directors schedule)

Exception: Large, complex changes mayrequire subdivision to address urgent conditions

5

Part B. Initiating a Change Order (ADM.03)

Phase 1:InitiatingChange Order

The first phase of a Change Order involves Construction Departmentpreparation of a Proposed Change Order outlining the work to be doneand why it is necessary.

Change OrderInitiation

The table below lists the steps for initiating a Change Order by means of aPCO.

Step Who Does What

1 MWRA Field 1 Initiates the PCO when field representative or ContractorRepresentative identifies additional work necessary to complete the project.

2 Provides concise description of proposed work and reasonfor change (per Exhibit A) on the PCO.

3 Forwards PCO to appropriate ConstructionDepartment/Section for approval.


6

Part B. Initiating a Change Order (ADM.03), Continued

Change OrderInitiation,continued

The table below is continued from the previous page.

Step Who Does What

2 Construction Reviews PCODepartment

IF the Construction THEN the PCO is...Department...

Approves PCO 1 Signed

2 Sent to Procurement

Does not recommend PCO 1 Terminated

2 Returned to proposer

3 Filed with projectconstruction records

Comments: Construction Department may use comments sectionon PCO to:

- Place conditions on change

- Comment on reasons change is not recommended

7

Part C. Procurement Review of a Change Order (ADM.03)

Phase 2:ProcurementReview

Phase 2 consists of Procurement review of the proposed change in thework for consistency with MWRA procurement policy

The following table details the Procurement review process:

Step Action

1 Reviews PCO for consistency with MWRA procurement policy

2 Does one of the following:

IF THEN AND...Procurement... Procurement...

a Concurs with Signs the PCO as Forwards PCO to Constructionthe change approved Department

NOTE: Clarifications/comments conditioning Procurementconcurrence are included in the Remarks section

b Does not Contacts Construction does oneconcur with Department to resolvethe change problems IF problem is... AND...

Not resolved, Forwards deniedsigns PCO as PCO todenied, with Constructioncomments Department

Resolved Go to a

Denied PCO's The Construction Department either terminates the process by returningdenied PCO's to the proposer or requests review by the ExecutiveDirector.

8

Part D. Negotiating and Documenting a Change Order (ADM.03)

Phase 3:Negotiating andDocumentingChange Order

The following table details Construction Department negotiation anddocumentation of a Change Order:

Step Action

1 Details scope of work after Procurement approval of PCOunless deemed appropriate to initiate process sooner.

2 Determines if Change Order is:

• Lump Sum

• Unit Price

• Time and Materials

• Combination of above


9

Part D. Negotiating and Documenting a Change Order (ADM.03),Continued

Phase 3:Negotiating andDocumentingChange Order,continued


Step Action

3 Provides clear description of work to Contractor

4 Requests written cost proposal, based on description of work,from Contractor to include:

- Labor classifications and hours

- Labor rates

- Indirect labor rates, with breakdown

- Materials/services with written quotes, whereappropriate

- Equipment types and time

- Subcontract costs, with breakdown

- Credits for equipment, materials and/or labor

- Overhead and profit mark-up

- Time required to perform

Specialty Work: Construction Department to considerrequesting several subcontract quotes for specialty work.


10




Step Action

5 Reviews cost proposal for reasonableness by checking:

- Amounts, types, hours and cost of labor

- Amounts, types and cost of materials/services.

- Amounts, types, hours and cost of equipment

- Unallowable costs

- Credits

- Allocation of work between Contractor andSubcontractors

- Appropriate Contractor/Subcontractor mark-up

- Calculations

6 Documents and signs cost proposal review

7 Prepares separate cost estimate, with breakdown indicated inStep 4, for:

• All estimates over $100,000

• Estimates under $100,000, if appropriate


11




Step Action

8 Evaluates requests for time extensions and accepts or rejectsrequests with documentation of appropriate reasons

9 Construction Department Director, or designee, determinesacceptability of Contractor's proposal and directs action asfollows:

IF the proposal is ... THEN ConstructionDepartment ...

Acceptable Prepares and processes CO


12




Step Action

b Unacceptable • Offers MWRAdocuments foracceptance byContractor andprocesses CO ifaccepted

• Negotiates withContractor, documentsnegotiated cost, time,etc. and processes CO ifsuccessful.

• If negotiations fail,prepares and processestime and materials COwith agreed estimate ofcost

Claims: Unresolveddifferences are subject toclaim by the Contractor

10 Maintains permanent record of Steps 1-9 in project file


13


Urgent ChangeOrders

For some urgent Change Orders, Steps 1 through 5 in the above table maybe accomplished through direct field negotiations. If the urgent ChangeOrder is negotiated in this manner, documentation of the negotiatedagreement must be filed with the Change Order.

Time andMaterialsChange Orders

The following table lists all documentation to be obtained and prepared bythe Construction Department for Time and Materials Change Orders:

• Receive daily force account reports from Contractor

• Prepare MWRA force account reports

• Compare MWRA and Contractor reports

• Resolve discrepancies

• Prepare cost documentation, based on actual costs supported by:

- Payroll records

- Paid invoices

- Rental receipts

- etc.

Requirements: Documentation must be in accordance with therequirements for the Contractor cost proposal set forth in Step 4 of theabove table.

14

Part E. Processing a Change Order (ADM.03)

Phase 4: ChangeOrderProcessing

The Change Order is processed and executed after completion of thecost/schedule negotiations. One of three procedures is followed based on:

• Overall status of project change orders

• Department/Executive Director delegated authority

Steps The table below specifies the steps required to process a change order:

Step Who Does What

1 Construction • Prepares Change Order describing:Department

- Work to be performed

- Reason work needed

- Basis for payment

- Time required

Note: The Change Order, with noted attachments, if any,becomes the formal document to amend the contract.

• Forwards Change Order to Procurement with back-up asrequested.


15

Part E. Processing a Change Order (ADM.03), Continued

Phase 4: ChangeOrderProcessing,continued


Step Who Does What

2 Procurement • Reviews Change Order, with back-up documents and PCO, forDepartment consistency with MWRA Procurement Policy.

• Contacts Construction Department to clarify questions, if any.

• Returns reviewed CO to Construction Department, withconcurrence noted.

IF the change order is ... THEN ...

Within Construction Department Go to Step 8 authority

Within Executive Director or Go to Step 3 Board of Directors authority


16




Step Who Does What

3 Construction 1 Prepares a delegated authority Staff Summary including:Department

- Description of work and reason for change

- Summary review of all CO's including:

- Number

- Brief description

- Date

- Delegation limits

- Delegation status

- Amount of additional delegation requested

2 Director signs Staff Summary

3 Forwards Staff Summary, with routing sheet and associatedback-up material, to Procurement (and other divisions per StaffSummary Policy and Procedures (ADM.12)


17




Step Who Does What

4 Procurement 1 Reviews Staff SummaryDepartment

2 Contacts Construction Department to clarify questions

3 Signs routing sheet

4 Notifies Construction Department

5 Construction Routes Staff Summary to Executive OfficeDepartment

6 Executive Reviews Staff SummaryDirector

IF the Change Order is ... THEN the Executive Director

Within Executive Director After sign-off by all departments,authority signs Staff Summary authorizing

Construction Department to executethe Change Order in accordancewith Steps 1 and 2

Within Board of Directors Places Staff Summary on Board ofauthority Directors agenda


18




Step Who Does What

7 Board of Considers Staff SummaryDirectors

IF the Board of Directors ... THEN ...

Approves the Staff Summary Executive Office returns StaffSummary indicating approval

Disapproves the Staff Summary Executive Office returns StaffSummary to ConstructionDepartment for:

• Revisions/reprocessing or

• Termination

Filing: Terminated StaffSummary filed in project file


19




Step Who Does What

8 Construction • After notification of approval of the Change Order, and theDepartment Staff Summary, if applicable, obtains signatures of:

- Field representative

- Engineer

- MWRA Construction representative

• Accomplishes execution by the Contractor and the ConstructionDepartment Director

• Distributes original executed change orders to:

- Contractor

- Construction Department

- Procurement

Authorization: Contractor is authorized to proceed with thework of the CO upon receipt.


20




Step Who Does What

9 Construction Distributes Change Order information package to Executive Office,Department Procurement, and Budget containing copies of:

• Proposed Change Order

• Executed Change Order

• Project Change Order summary which summarizes the currentand all previous CO's including:

- CO numbers

- Date

- Amount/time

- Delegation limits

- Delegation status

- Remaining delegation of Construction Department andExecutive Office

21

Part F. Forms and Exhibits

Form names andpurpose

The table below lists all the forms and exhibits associated with this policyalong with their purposes.

Form Name/Exhibit Name Purpose

Proposed Change Order To obtain approval of a change in theWork prior to negotiation of a ChangeOrder

Change Order To document a change to the contract

Exhibit A - Reasons for Lists all valid reasons for changeChange Orders orders for use in preparing PCO's and

CO's

Exhibit B - Change Order Includes a checklist for use byCheck List Construction Department in processing

a Change Order

5/8/97

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Exhibit A ADM.03

REASONS FOR CHANGE ORDERS

The following may be valid reasons for the issuance of a Change Order:

1. Actual subsurface or latent physical conditions encountered at the site differsubstantially or materially from those shown on the plans or indicated in the ContractDocuments (M.G.L. c. 30, §39N).

The actual conditions encountered must differ substantially or materially from thoseindicated on the plans or Contract Documents, or they must differ from thoseconditions ordinarily encountered and generally recognized as inherent in work of thecharacter provided for in the Contract Documents.

2. Authority ordered suspension, delay or interruption for the Authority’s convenience,or failure by the Authority to act within the time specified in the contract (M.G.L. c.30, §39(0).

3. Changed Site Conditions

After commencement of the contract, physical site conditions and characteristics havechanged, requiring additional or different work as is necessary to complete the projectas originally specified.

4. Unforseen Conditions or Circumstances

A Change Order may be required because:

A. Reasonable assumptions may have been made at the design stage (e.g. based on surveys, tests, or perceived conditions), but actual conditions or circumstances were not as originally thought; or

B. After commencement of the contract, and in the course of performing the contract, certain conditions, not foreseeable, were found that require additional work, in order to complete the project as bid.

5. Design Changes

A. To comply with a change in any regulatory code (e.g. safety, fire, building)or law; or

- ii -

ADM.03

B. To correct an error or omission in the Contract Documents and such change isnecessary to complete the project; or

C. If, after commencement of the contract, the method of construction or materialsspecified have been found, after Authority investigation, to be in error, unsuitableto produce the desired result, unavailable or obsolete.

6. Reduction in Scope of Work

Work, due to changed circumstances, may no longer be required.

7. Overruns/Underruns in Quantities

If a difference develops between the quantity estimated on the bid schedule and thequantity actually required to complete that portion of the project. This is only forcontracts that are formulated as a series of bid unit prices based on estimates of theitem of work. This does not apply to lump sum fixed price contracts.

8. Schedule Changes*

Either extensions or reductions to the schedule may be made for: acts of theAuthority, labor disputes, fire, unusual delays in transportation, unusually severeweather, causes beyond the reasonable control of the Authority or the Contractor, orby changes ordered in the work.

* Schedule should not necessarily be changed on a “one-to-one” basis. It must bedetermined if the event is on the critical path, and what effect it has on completion. Pleasenote that schedule changes do not necessarily impact price.

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Exhibit B ADM.03

CHANGE ORDER CHECK LIST

1. Prepare “Proposed Change Order Form” and submit to Procurement for review andcomment.

2. Follow up submittal of “Proposed Change Order Form” with Procurement to:

a. address comments and obtain approval.

b. obtain refusal and end process here. File disapproved documents with projectconstruction records.

3. Obtain cost estimate from Contractor for Proposed Change Order work.

4. Obtain cost estimate from independent source if Contractor’s cost estimate exceeds$100,000.

5. Review cost estimates and negotiate with Contractor to determine price, method ofpayment and any time extension associated with the Proposed Change Order work.

6. Prepare negotiation file to include:

a. Contractor’s cost estimate.

b. independent cost estimate (if required) or in house review of estimate.

c. record of negotiation with justification for cost and method of payment.

7. Prepare Change Order for Procurement review.

8. Determine authority for execution of Change Order:

a. Construction Department.

b. Executive Director.

c. Board of Directors.

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ADM.03

9. a. If Construction Department delegated authority proceed as following:

1. Send change order to Procurement for review.

2. Address comments and obtain Procurement approval.

3. Have Change Order signed by Contractor, field representative andDepartment Director.

4. Complete change order summary form.

5. Send copy of executed Change Order, with change order summary form, toExecutive Director, Procurement, Budget and Administrative Support.

b. If Executive Director delegated authority, proceed as follows:

1. Prepare Staff Summary.

2. Submit Staff Summary with Change Order to Procurement for review andcomment.

3. Address comments and obtain Procurement and Executive Directorapproval.

4. Proceed as from 9.a.3, above.

c. If beyond Executive Director’s delegated authority, proceed as 9.b. However, theDepartment Director signature must await approval by Board of Directors.

0801wk

ADM.03

PROPOSED CHANGE ORDER NO.

Project: MWRA Contract No.: Location: EPA/DWPC Project No.: Contractor: MWRA Division:

Change Order proposed by (Check One): MWRA [ ] Contractor [ ]

Check if URGENT action requested: [ ]

Change Description/Reason: (Include reason for urgent action). Please type or print clearly. Additional pages may be attached if required.

By: Date: MWRA Representative

The Construction Department/Section Recommendation: Yes [ ] No [ ]

By: Date:

Procurement Department:

[ ] The proposed change is consistent with MWRA procurement policy.

[ ] The proposed change is NOT consistent with MWRA procurement policy.

Remarks:

By: Date: MWRA Procurement Representative

**EXECUTION OF THIS FORM DOES NOT AUTHORIZE CONTRACTOR TO PROCEED WITH WORK**

1

ADM.03

CHANGE ORDER

Project: MWRA Contract No.: Location: EPA/DWPC Project No.: Contractor: Consultant: MWRA Division: Change Order No.: Original Contract Price: $ Previously Approved Change Orders (No. ) $ Net Increase/Decrease in Contract Price (this Change Order) $ Total Adjusted Contract Price (including this Change Order) $ This Change Order extends the time to complete the work by Calendar Days.The revised completion date is .

Description of Change:

This Change Order checked by: Resident Engineer/Project Rep. Date This Change Order requested by: This Change Order recommended by: Engineer P.E. # Date MWRA Construction Representative Date

The adjustments in Contract Price and Contract Time stipulated in this Change Order constitute full,complete and final compensation for all costs and time associated with this Change Order. TheContractor agrees that this Change Order represents an all inclusive and equitable adjustment to theContract, and further agrees to waive all rights to make any further claim arising out of or as a result ofthis change.

The undersigned agree to the terms of the Change Order.

Contractor Date MWRA Date(Authorized Signature) (Authorized Signature)

The individual signing this Change Order on behalf of the Contractor hereby certifies, under the penaltiesof perjury, that to the best of his/her knowledge and belief, the Contractor has complied with any andall applicable state and local tax laws related to the taxes included in G.L. c. 59; G.L. c. 60B; and G.L.c. 62C, §2.

CHANGE ORDER

Project: MWRA Contract No.: Change Order No.: EPA/DWPC Project No.:

2

Reason for Change:

Additional pages may be attached if required.

COMPLETE BELOW FOR GRANT FUNDED PROJECTS ONLY

Approval as to appropriation:

Certification Officer Date

Do not write below:This space reserved for STATE and/orFEDERAL AGENCY APPROVAL

MDWPC EPA

3

PROJECT CHANGE ORDER SUMMARY

DIVISION: DATE: PROJECT: CONTRACT NO.:

BID AMOUNT: $ ORIG. TIME: DAYS ORIG. COMPL. DATE: ADJ. AMOUNT: $ ADJ. TIME: DAYS ADJ. COMPL. DATE:

EXECUTIVE DIRECTOR’S DELEGATED AUTHORITY - STATUS

TOTAL: $ , %; DAYS, %

USED TO DATE: $ , %; DAYS, %

CONSTRUCTION DEPARTMENT DELEGATED AUTHORITY-STATUS

AMOUNT USED: $ , DAYS(Current Delegation)

CHANGE AMOUNT DURATION DATEORDER NO. ($) (DAYS) EXECUTED

TOTAL: $ DAYS

0043wk