General Requirements - Metro Gold Line Foothill Extension

METRO GOLD LINE FOOTHILL EXTENSION
CONSTRUCTION AUTHORITY
Request for Proposals (RFP)
Intermodal Parking Facilities
and Enhancements
Design-Build Project
RFP C1150
VOLUME 3- TECHNICAL PROVISIONS
DOCUMENT 1- GENERAL REQUIREMENTS

METRO GOLD LINE FOOTHILL EXTENSION
CONSTRUCTION AUTHORITY
RFP C1150
TABLE OF CONTENTS
INTERMODAL PARKING FACILITIES AND ENHANCEMENTS
GENERAL REQUIREMENTS
1.0 PROJECT MANAGEMENT ..................................................................................................... 1
1.1 Management Program and Organization ....................................................................... 1
1.2 Project Management Plan ............................................................................................. 1
1.3 Project Management and Administration ....................................................................... 2
1.4 Coordination and Interface with Other Contractors ........................................................ 4
1.5 Community Impact and Communications Program ........................................................ 4
1.6 Environmental Sustainability .......................................................................................... 7
2.0 DESIGN MANAGEMENT ........................................................................................................ 8
2.1 Design Responsibility .................................................................................................... 8
2.2 Design Changes .......................................................................................................... 20
2.3 Design Support during Construction ............................................................................ 21
3.0 CONSTRUCTION CRITERIA ................................................................................................ 22
3.1 Access and Protection of Property ............................................................................... 22
3.2 Pre/Post Construction Surveys .................................................................................... 23
3.3 Dewatering .................................................................................................................. 24
3.4 Temporary Facilities and Utility Services ..................................................................... 24
3.5 Construction Sequence Factors ................................................................................... 26
3.6 Maintenance of Traffic during Performance of the Work .............................................. 26
3.7 Temporary Erosion and Sediment Control during Performance of the Work ................ 30
3.8 Water Pollution Controls during Performance of the Work ........................................... 30
3.9 Air Pollution Controls during Performance of the Work ................................................ 31
3.10 Construction Noise and Vibration Control .................................................................... 33
3.11 Fire Prevention ............................................................................................................ 33
3.12 Jobsite Cleanliness ...................................................................................................... 34
3.13 Seismic Safety ............................................................................................................. 35
3.14 Historical and Scientific Specimens Encountered During Construction ........................ 35
3.15 Salvage of Materials .................................................................................................... 35
3.16 Removal, Treatment and Disposal of Materials ........................................................... 35
3.17 Hazardous Substances Handling and Disposal ........................................................... 36
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3.18 Tree Removal .............................................................................................................. 36
3.19 Temporary Lighting ...................................................................................................... 36
3.20 Construction Start-up ................................................................................................... 36
3.21 Work Restrictions ........................................................................................................ 39
3.22 Site Preservation/Environmentally Restricted Sites ..................................................... 39
4.0 COST/SCHEDULE MANAGEMENT ..................................................................................... 40
4.1 Schedule Terminology ................................................................................................. 40
4.2 Personnel .................................................................................................................... 41
4.3 Scheduling Software .................................................................................................... 41
4.4 Tabular and Graphic Reports....................................................................................... 42
4.5 Schedule Format and Content ..................................................................................... 42
4.6 Baseline Schedule ....................................................................................................... 47
4.7 Project Schedule Updates ........................................................................................... 50
4.8 Written Narrative.......................................................................................................... 52
4.9 Review and Evaluation ................................................................................................ 54
4.10 Schedule Control Procedures ...................................................................................... 55
4.11 Effect of Schedule Reviews ......................................................................................... 55
4.12 Progress Photographs ................................................................................................. 55
4.13 Rain Days and Weather ............................................................................................... 56
5.0 QUALITY MANAGEMENT .................................................................................................... 57
5.1 Quality Control/Quality Assurance Plan ....................................................................... 57
5.2 Quality Control/Quality Assurance Plan – Part One ..................................................... 59
5.3 Quality Control/Quality Assurance Plan – Part Two ..................................................... 62
5.4 Quality Control/Quality Assurance Plan – Part Three .................................................. 67
5.5 Documentation Quality Control and Quality Assurance................................................ 74
6.0 CONTRACT MEETINGS ....................................................................................................... 76
6.1 Project Kick-Off Meeting .............................................................................................. 76
6.2 Weekly Project Coordination and Progress Meeting .................................................... 77
6.3 Baseline Schedule and Current Project Schedule Meetings ........................................ 78
6.4 Utility Owner Meetings ................................................................................................. 78
6.5 Third Party Coordination Meetings .............................................................................. 79
6.6 Additional Meetings ..................................................................................................... 79
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7.0 DOCUMENTATION ............................................................................................................... 80
7.1 Format of Documents .................................................................................................. 80
7.2 Submission of Documents ........................................................................................... 83
7.3 Management of Documents ......................................................................................... 84
7.4 Record Documents ...................................................................................................... 84
7.5 Record Drawings ......................................................................................................... 85
7.6 Record Specifications .................................................................................................. 87
8.0 SITE SAFETY REQUIREMENTS .......................................................................................... 89
8.1 General ....................................................................................................................... 89
8.2 Products ...................................................................................................................... 93
8.3 Execution .................................................................................................................... 95
8.4 Design-Builder Responsibility .................................................................................... 100
9.0 REVIEW, VERIFICATION AND ACCEPTANCE ................................................................. 101
9.1 Facilities Tests and Inspection ................................................................................... 102
9.2 Verification and Acceptance ...................................................................................... 104
9.3 Punch Lists ................................................................................................................ 109
9.4 Verification, Notifications, Briefings, and Documentation ........................................... 109
10.0 CONTRACT DATA REQUIREMENTS LIST (CDRL) .......................................................... 111
10.1 Definitions and Use ................................................................................................... 111
10.2 Master List of Submittals ........................................................................................... 111
10.3 Format Requirements for Submittals ......................................................................... 111
10.4 Identification Requirements ....................................................................................... 112
10.5 Submittals.................................................................................................................. 113
10.6 Supplemental Submittals ........................................................................................... 116
10.7 Design-Builder Responsibilities ................................................................................. 116
10.8 Authority’s Review ..................................................................................................... 117
11.0 ADDITIONAL DESIGN-BUILDER REQUIREMENTS .......................................................... 120
11.1 Mitigation Monitoring Program ................................................................................... 120
11.2 Coordination and Conformity with Agreements .......................................................... 120
11.3 Operations and Maintenance Manuals ...................................................................... 120
11.4 Spare Parts and Materials ......................................................................................... 125
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APPENDICES
Appendix A Environmental Sustainability Guidelines and Checklist
Appendix B Contract Data Requirement List
Appendix C Tree Removal Policy
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1.0 PROJECT MANAGEMENT
1.1 Management Program and Organization
For the duration of the Contract, Design-Builder shall be responsible for the total management of
the design and construction (including all permits), installation, inspection, testing, and acceptance
of the Work as described in the Contract Documents, pursuant to the terms and conditions thereof.
Design-Builder shall be responsible for establishing the required organization and procedures and
providing the personnel and supporting equipment/facilities to ensure that the Project is completed
within the applicable Completion Deadline.
Design production work shall be completed in Los Angeles County or immediately adjacent
Counties for the duration of the design.
Key Personnel of Design-Builder’s Project management team shall each be experienced in the
activities of their assigned role and shall have a record of past performance sufficient to ensure that
they have the experience, competence, and integrity to successfully complete a contract of this
magnitude.
All of Design-Builder’s activities shall be under the direction of the Project Manager who shall be the
principal contact between Design-Builder and the Authority.
1.2 Project Management Plan
Design-Builder shall submit to the Authority for review and approval, and comply with the Project
Management Plan. The Project Management Plan shall include, at a minimum, the following items:
A. An organizational chart of all management personnel from Project Manager down to
discipline leads and superintendent level, together with the qualifications,
responsibilities, and involvement of Key Personnel on the Project;
B. Complete work breakdown structure (WBS), indicating the source/responsibility for
completing each aspect of the Work. The WBS shall be the basis for organizing all Work
under the Contract, and shall be reflected in the organization of the Baseline Schedule
and Current Project Schedules;
C. A submittal schedule for all deliverables and design review data, as required by Section
4.0;
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D. The approach to manage and oversee the design and construction, including interface
management and integration with the Alignment Contractor’s work, including:
1. Permits;
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2. Establishment of horizontal and vertical control and design;
3. Structures;
4. Drainage;
5. Water quality/SUSMP;
6. Signing and graphics;
7. Utilities;
8. Stairs;
9. Elevators;
10. Mechanical, ventilation, and sprinkler systems;
11. Electrical;
12. Landscaping/irrigation;
13. Duct banks and conduits;
14. Roadway improvements;
15. Maintenance of pedestrian, bicycle, and vehicular;
16. Power and infrastructure for the communications systems that are provided
by others; and
17. Coordination with Alignment Contractor; and
E. A comprehensive description of how the community and stakeholder outreach will be
conducted, and how it will relate to the key design and construction milestones.
1.3 Project Management and Administration
Design-Builder’s responsibilities include the following:
A. Project management and administration, including scheduling, cost control, reporting,
material procurement, and inspection;
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B. Creation of the Schedule of Values in accordance with Contract Section 7.2;
C. Design, engineering, and analysis;
D. Obtaining all required permits;
E. Construction and installation, including management and supervision;
F. Quality control;
G. Quality assurance;
H. Interface management;
I. Equipment testing and commissioning;
J. Preparation, management, and execution of the plans and other elements required to
satisfy the safety and security provisions as specified in Section 8.0 of this document;
K. Quality testing and verification; performance of all required reviews, inspections, tests,
and demonstrations required for verification and acceptance of the Project;
L. Project documentation, including preparation, delivery and correction, as necessary, of
all deliverable data as specified in the Contract Documents;
M. Provision of all bonds, insurance, permits/licenses, guarantees, and warranties as
required by the Contract Documents;
N. All Work required under the guarantees and warranties as required by the Contract;
O. A communications program to proactively interface with stakeholders regarding the
design and construction of the Project;
P. Design, fabrication, installation, and maintenance of all Project identification signs;
Q. Maintenance, servicing, and repairs of all Design-Builder provided facilities and
equipment until Substantial Completion. Design-Builder shall maintain records of all
preventive and corrective maintenance performed and make this information available to
the Authority for review upon request;
R. Coordination with Authority, Cities, Utility Owners, County, and other applicable
Governmental Persons;
S. Coordination with Metro, which will be coordinated via Authority; and
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T. Other Project management activities/tasks required to satisfy all of the provisions of this
Contract.
1.4 Coordination and Interface with Other Contractors
Design-Builder shall provide all equipment, improvements, and other elements necessary to
complete the Project. Design-Builder shall check and be fully familiar with applicable Alignment
Project’s design and construction and other documents as provided by the Authority from time-to-
time. Specifically, Design-Builder is responsible for verifying the interfaces and compatibility of the
Alignment Project with the Project and alerting the Authority within three weeks of each transmittal
of any discrepancies, errors, or other problems affecting Design-Builder or where Alignment
Contractor’s design would affect the Project.
In addition, Design-Builder shall coordinate its operations with all non-Authority contractors along
and adjacent to the Project.
1.4.1 Alignment Contractor
Design-Builder shall fully coordinate and cooperate with the Authority and the Alignment Contractor
to achieve a fully coordinated, integrated, complete, and functional design in accordance with the
Contract Documents.
1.5 Community Impact and Communications Program
Under the direction of the Authority, Design-Builder shall have primary responsibility for developing
and implementing a communications program that keeps stakeholders (i.e., public, businesses,
Cities, local agencies, elected officials, community based organizations, etc.) informed regarding
activities on the Project and mitigates construction impacts as much as possible. The program shall
be outlined in a detailed Community Outreach and Communications Plan that explains the
communication activities planned, and how they relate to the different design and construction
phases of the Project.
The plan shall include a narrative explaining Design-Builder’s understanding and approach to
effectively and proactively communicate with affected stakeholders, and what actions will be taken
to mitigate potential impacts as a result of the Project and construction activities. At minimum, the
plan shall discuss specific issues relating to each of the following major impacted stakeholder and
how those issues will be proactively addressed:
A. Recognized community groups and affected residents;
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B. Recognized business groups and affected businesses;
C. Cities;
D. County;
E. Metro;
F. Utility Owners;
G. First responders; and
H. Schools and Unified School Districts within close proximity of the Project.
The following is a partial list of potential impacts that shall be addressed (this list is not
comprehensive and should be expanded as necessary to mitigate anticipated impacts):
A. Traffic control, dust control, and noise/vibration control during performance of the Work;
B. Maintenance of pedestrian, bicycle, and vehicular traffic and access during performance
of the Work (including safe routes to schools and emergency response);
C. Business access and other impacts during performance of the Work;
D. Property impacts during performance of the Work;
E. Emergency and Safety situations during performance of the Work;
F. Utility disruption, interruption, and Relocation impacts;
G. Facility design; and
H. Landscaping and fencing design.
The program shall make it easy for interested and affected stakeholders to stay abreast of the latest
updates, and include:
A. Development and maintenance of a Project database that includes affected and
interested stakeholders (residents, businesses, community-based organizations, first
responders, city officials, etc.). Design-Builder shall provide a copy of the database
upon request to the Authority for inclusion in the Authority’s master database, but
minimally shall provide monthly updates as part of the status updates to the Authority
and a final database at the completion of the Project;
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B. Use of traditional and new media tools to inform the community about upcoming impacts
and Project milestones (e.g., preparation of press releases and media advisories; blog
posts, e-notices, and Twitter and Facebook updates);
C. Coordination and participation at stakeholder meetings, presentations, and briefings at
appropriate milestones throughout the design and construction process (different
formats shall be used to reach different stakeholder audiences and can include online
and traditional formats);
D. Development of public information materials (fact sheets, web content, display boards,
slide show presentations, other relevant materials) for use at meetings, presentations,
and briefings throughout the design and construction process (all materials shall
recognize that the Project is funded by Measure R through Metro);
E. Creation of construction-related status signage and distribution of public notices to
provide affected stakeholders advanced notice of closures and impacts (see Section 3.0
for additional details). Notices and signage shall recognize that the Project, Construction
Authority, and Measure R funding and must be distributed and posted at least five days
before an impacting activity (city officials should receive the notice ahead of the public
and be given enough time to review and provide comments). Notices may need to be
developed in Chinese and Spanish, depending on the community;
F. Early and regular communication with affected neighbors through email, direct mail,
residential/business neighborhood walks (or other approaches) to identify, address,
and/or mitigate any design and construction concerns; and
G. Staff support for the Authority’s overall community relations program related to the
Project, including development of monthly e-newsletter updates, web content,
participation at stakeholder meetings and briefings, etc.
As with all aspects of Design-Builder program, the communications program shall meet the highest
standards of quality and excellence. A component of the communications plan shall outline
Design-Builder’s quality control process for the communications materials and activities, including
providing adequate time for Authority and city (when appropriate) review and approval of all public
materials and activities.
1.5.1 Contact with News Media/Media Protocol
As part of the communications program, Design-Builder shall develop a protocol for all media
activities (proactive media outreach, responding to media requests, and emergency/crisis
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communications). The protocol shall assume the following: (1) the Authority’s media spokesperson
and/or his/her designee shall be notified of all media-related issues and Design-Builder shall comply
with the direction of Authority for all media related activities, and (2) Design-Builder shall also
identify a spokesperson and/or his/her designee, so that a representative is available at all times to
assist with communicating with the media.
1.5.2 Specific Information
Should an event, incident, or other Project circumstance develop which is likely to generate
community or media interest, Design-Builder shall inform the Authority immediately and cooperate
with Authority direction with regard to content and distribution of information. Design-Builder shall
ensure that all field supervisors and other management personnel are aware of and follow the
Authority’s emergency communication action plan in the event of an emergency.
1.5.3 Authority Consent
Notwithstanding anything to the contrary set forth herein, Design-Builder shall not have any
communications with the public or the media or otherwise communicate or distribute any
information regarding the Project without obtaining Authority’s prior written consent.
1.6 Environmental Sustainability
Design-Builder shall incorporate environmentally sustainable options and “green building” measures
whenever they are technically feasible and cost-effective in accordance with the Authority’s
Environmental Sustainability Guidelines and Checklist located in Appendix A.
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2.0 DESIGN MANAGEMENT
This Section 2.0 specifies Design-Builder’s design management requirements relating to the
development of design products during the course of the Project.
The designer may perform production design work in Los Angeles County or immediately adjacent
Counties.
2.1 Design Responsibility
Design-Builder shall:
A. Produce the complete design of the Project as described in the Contract Documents;
B. Develop Design Documents that shall be in conformity with the requirements set forth in
the Contract Documents and signed and sealed by a State of California registered
architect or engineer in the appropriate discipline when the design is ready for
construction;
C. Manage all interfaces and shall develop an interface management plan that identifies all
interfaces associated with the Project and documents how each interface will be
accomplished during the Contract;
D. Conduct meetings and coordinate with all third parties and applicable Governmental
Persons whose approval is required. Refer to Section 6.0 of these General
Requirements for additional meeting requirements;
E. Comply with all design requirements pertaining to Persons having jurisdiction over the
Work and obtain all necessary approvals from said Persons and other third parties for all
design and construction;
F. Transmit a copy of all correspondence to and from Design-Builder or its representatives
and any Person or third party to the Authority;
G. Notify the Authority of any problems in the written narrative discussed in Section 4.8.
Design-Builder shall be liable for any delays caused by a Person responsible for issuing
permits or approvals except as set forth in Contract Section 12.3.1(c);
H. Use the Authority’s document upload interface system (DUI) to electronically submit
Design Documents (and any other contract-related documents) for review and obtain
comments from reviewers throughout the Project;
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I. Create and maintain a log of all submittals in a format agreed to by the Authority and
provide the log to the Authority on a weekly basis; and
J. Include submittal review times in the Baseline Schedule and Current Project Schedules
in accordance with the following: 30 days for Authority and Metro; and 30 days for all
other third parties unless otherwise stated in Volume 5- Agreements.
2.1.1 Design Organization
Design-Builder’s design organization may comprise consultant staff or an in-house design team, but
shall be qualified and experienced in the design of parking facilities and the requirements of this
Project. Design-Builder shall maintain a sufficient quality and quantity of professional staff
throughout the duration of the Contract to ensure Design-Builder meets the requirements set forth
in the Contract Documents.
2.1.2 Design-Builder’s Design Manager
Design-Builder shall designate and assign a Design Manager who reports to Design-Builder’s
Project Manager and who is responsible for managing all Work performed by Design-Builder’s
design organization, including the designers, engineers, schedule and production of each design
package. The Design Manager shall be a California-licensed professional engineer and have
sufficient experience and background necessary to lead the design effort for the Project. Design-
Builder must obtain Authority’s written approval of the final selection of the Design Manager prior to
such Design Manager beginning work. The Design Manager shall plan and manage the design
activities using a Critical Path method (CPM) of scheduling together with a work breakdown
structure detailing the actual Design Documents to be produced.
When the design packages are finalized for each submittal, the Design Manager shall conduct an
assessment and evaluation of the design and shall certify to Design-Builder’s Project Manager that
the design satisfies the requirements set forth in the Contract Documents, including those for:
A. Accuracy;
B. Adequacy;
C. Conformity to standards of practice;
D. Compliance with applicable Governmental Rules and third party requirements;
E. Reliability;
F. Maintainability;
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G. Constructability;
H. Cost effectiveness;
I. Interfaces and systems integration;
J. Quality; and
K. Suitability for purpose and/or function as specified in the Contract Documents.
To make such certification to Design-Builder’s Project Manager, the Design Manager shall assess
and evaluate all aspects of design, including:
A. Design and Construction Documents;
B. Analytical approach;
C. Project design package coordination, including third party designs;
D. Major temporary works’ effect on permanent works;
E. Field design changes;
F. Design approvals for materials and procedures; and
G. As-built records.
2.1.3 Responsible Land Surveyor
Design-Builder shall be responsible for providing a licensed land surveyor who shall be responsible
for the setting of permanent survey monuments for the Project. These monuments shall include
control monuments, property and Right of Way monuments, and monuments required by the State
Standard Specifications. They shall also include the replacement of property monuments, bench
marks, and control monuments damaged or destroyed during performance of the Work. The
responsible land surveyor will assure that survey monuments that might be destroyed during the
Work are protected with reference points that allow for their replacement in the same location. The
responsible land surveyor shall perform field surveys to support design and construction activities.
2.1.4 Design Packages
Within 30 days from Notice to Proceed, Design-Builder shall develop and submit to Authority for
review and approval, a plan and schedule for packaging the Design Documents for the Work into a
series of groupings or design packages. At a minimum, the Work shall be divided into separate
design packages for each Parking Facility and separate Enhancement packages for each City. The
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design packages shall consist of discrete elements of the Work that provide a logical and efficient
method for completing the Project within the approved Baseline Schedule or Current Project
Schedule, and in conformity with Contract Documents, providing the best coordination and interface
of design elements between the design disciplines involved. Each design drawing package shall
have a cover sheet, index sheet, and abbreviation/legend sheet(s), which shall be maintained and
updated for each design package submittal.
Design-Builder shall separately submit each design package at each design development stage
(refer to Sections 2.1.5.2 through 2.1.5.4 for requirements at each design development stage) to the
Authority and applicable third parties for review and approval of the design of all Work for which
their approval is required. Authority and third party design reviews shall not commence until all
required Design-Builder internal design reviews have been accomplished in accordance with
Section 2.1.7.
The design package plan and submittal schedule shall consist of a description and scope of design
Work for each design package, including limits and interface points; schedule of design review
stages and dates; and responsible engineer. The design package plan and submittal schedule
shall be incorporated into the Baseline Schedule and Current Project Schedule, as applicable, and
be reviewed monthly in accordance with Section 4.6 of these General Requirements until design is
complete. Based on an estimated total number of packages and the content of the packages, the
Authority (with applicable third party participation) and Design-Builder will agree to a maximum
number of design packages that shall be scheduled for review and approval by the Authority and
third parties, as applicable, at one time. Design-Builder shall obtain the Authority’s written
concurrence prior to deviating from the approved maximum number of design packages that can be
scheduled at one time for review and approval.
2.1.5 Design Development
Design-Builder shall develop the design of the Project utilizing the process outlined in Sections
2.1.5.1 through 2.1.5.4 of these General Requirements.
2.1.5.1 Design Workshop
Within 60 days of Notice to Proceed, Design-Builder shall conduct a design workshop to present its
design understanding/approach and provide detailed information regarding design concepts,
design quality requirements, issues, status, communication review procedures, and discuss the
following subjects:
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A. General:
B. Civil:
C. Utilities:
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1. Status report listing data or information from others that affect completion of
Project scope definition and Design-Builder’s approach to acquire the data
and/or information specifically excluded or missing from the documents;
2. Identify the means and methods intended to acquire all third party approvals;
3. Identification and reasons for any variations from Volume 3- Technical
Provisions;
4. Identification of any modifications to the design approach and documents
presented by Design-Builder as part of their Proposal;
5. Approach to constructability reviews; and
6. Approach to overall Project coordination and interface;
1. Preliminary grades at the Parking Facilities, Enhancements, and interface
locations;
2. Preliminary construction phasing for the preparation of maintenance of traffic
plans;
3. Preliminary traffic signal, traffic sign, and pavement marking design;
4. Preliminary drainage and water quality design identifying both on and off site
systems;
5. Preliminary geotechnical analysis/results;
6. Preliminary foundation and structural design;
7. Preliminary type, size, and location of all retaining walls and the preliminary
means and methods on construction/installation;
8. Other elements of the Project definition advanced to the degree that satisfies
the above stated purpose of the workshop; and
9. Provide a preliminary definition of permanent and temporary needs for the
facilities, Utilities, roadway rearrangements, and access; and temporary
needs for construction and for Design-Builder staging and storage;
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D. Architectural;
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1. Solutions, coordinated with Utility Owners, for Utility Work;
2. Identification of any early Relocations shall be as so deemed by Design-
Builder;
3. Preliminary design of New Utilities and extension of existing Utilities;
4. Preliminary conduit and sleeve provisions, as required by the Project and
Metro; and
5. Utility and structure conflicts shall be identified;
E. Mechanical, electrical, and plumbing (MEP):
1. Approach to the MEP requirements at Parking Facilities, including ventilation;
2. Preliminary conduit routing plan for parking structures, along with interface to
the Alignment Contractor’s duct bank and conduit system (DBCS);
3. Approach to equipment rooms; and
4. Preliminary facility equipment sizes and locations; and
F. Communications Systems infrastructure:
1. Approach to communications equipment housings at Parking Facilities; and
2. Identification of infrastructure and interfaces for the Communications systems
provided by others.
Design-Builder shall develop the agenda of the workshop and how it will be organized (i.e., by
design package, engineering discipline, sub-tier design organizations, internal and Authority design
reviews). At this meeting, Design-Builder will present its submittal schedule and describe how this
schedule will be updated once it is approved by the Authority. The intent of the workshop is to make
all design reviews effective and efficient for all parties.
2.1.5.2 Interim Design (60%) Over-The-Shoulder Review
During the design process, Design-Builder shall develop Project-specific specifications in
Construction Specification Institute (CSI) format, or Authority-approved alternative, and drawings
based on the specific materials, products, equipment, procedures, and methods that Design-Builder
intends to use, and shall comply with all applicable Authority and third party requirements.
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Following the completion of the design workshop described in Section 2.1.5.1, each Parking Facility
and Enhancement design package, as defined in Section 2.1.4, shall be presented to the Authority
and applicable third parties, for an over-the-shoulder review, and shall include general
configuration, grades, sections, plan and elevation views, preliminary equipment layouts,
preliminary structure layouts and foundation design, preliminary design reports, drainage and water
quality, utilities, MEP, roadway improvements, retaining walls, and similar level of design for the
features included in the design package. Progress design drawings (grading, structural,
architectural, MEP, cross sections, drainage, water quality, roadway, and pavement details)
structural calculations, geotechnical and hydrology reports, and specifications, and various product
data and samples shall be submitted to the Authority and applicable third parties for review, as part
of the interim design review. All documentation required to request deviations from the Authority or
third party design criteria or standards shall also be submitted at this stage.
In addition, construction sequencing, street closure requests, and the tree removal list shall be
complete at this stage. The interim design stage shall include all completed preliminary design
items.
Design-Builder shall submit progress drawings to the Authority and applicable third parties for
review. All interim design review items shall be at approximately 60% level of design completion.
The interim design submittals shall include all necessary design, plans, reports, and information in
sufficient detail for the reviewer to fully comprehend the intent of the proposed design.
2.1.5.3 Pre-Final Design (85%)
Design-Builder shall submit to the Authority and applicable third parties for review and approval all
pre-final design submittals at approximately the 85% level of design completion. The pre-final
design shall address all aspects of the design shown on Design-Builder’s drawings and
specifications, include all the details necessary for construction, and shall have been coordinated
among the various disciplines. All design review and lessons learned comments received from
prior reviews shall have been reviewed, resolved, and incorporated, as applicable. The following
items shall be checked during the pre-final design review:
A. Applicable Governmental Rules and third party requirements;
B. Interface requirements with other elements;
C. Comments and action items from earlier design reviews;
D. Comments and concerns from the external and constructability reviews;
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E. Cost effectiveness;
F. Schedule compliance;
G. Clarity of intent;
H. Standard and directive drawings; and
I. Adherence to direction provided by the Authority and commitments made to third parties.
The pre-final design shall demonstrate that the design detail satisfies design requirements and the
exact interface relationships between the system and other items of equipment and facilities.
Design-Builder’s pre-final design submittals shall include the following:
A. Complete Design Documents identifying all proposed construction;
B. Permit applications;
C. Identification that the numerous interfaces between disciplines has been addressed;
D. List of pre-construction activities to be done by others;
E. Construction schedule;
F. Geotechnical design summary report (GDSR);
G. Environmental design summary report (EDSR), containing a description, list of
regulatory requirements, list of necessary permits, and other regulations; description of
mitigation requirements; and bibliography of all relevant documents which describe the
environmental conditions on the project;
H. MEP documents required in the 60% interim design submittal shall be updated and
augmented as necessary to the 85% design level and included in the pre-final design
submittal; and
I. Civil and architecture:
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1. Advance the components developed in the previous stages of design to an
85% level of completion. Each aspect shall be of sufficient detail for the
reviewer to fully evaluate the completeness of the proposed design;
2. Updated paint chips and in-field samples on actual materials such as
canopies, handrails, etc., for each of the color selections specified in Volume
3, Document 2- Performance Specifications, Section 8.0, and additional color
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selections as requested by the Authority, if different than information
submitted at the 60% design level; and
3. Updated architectural components for each project component such as bus
shelters, seating elements, light poles and fixtures, trash receptacles, bike
lockers and racks, and finish surface materials, if different than information
submitted at the 60% design level. Design-Builder shall provide cut sheets
and supporting material along with an actual sample in Authority-approved
color. This includes a submission of materials and appropriate
documentation for all aesthetic features proposed for the Project.
2.1.5.4 Final Design Development (100%)
Following the review of the 85% submittals and receipt of comments, Design-Builder shall revise
the drawings and documents to reflect the necessary corrections to comply with applicable
Governmental Rules, third party requirements, and other requirements of the Contract Documents
and conduct joint comment resolution meeting(s) for each design package submittal in accordance
with Section 2.1.9. Design-Builder shall then revise, supplement if necessary, and resubmit 100%
or final design plans to the Authority and applicable third parties for review and approval.
The final design package shall include Design Documents necessary for final Authority and third
party approval and for construction of the Work that are detailed, 100% complete, and checked in
accordance with Design-Builder’s QCQAP. All documentation including written approval of design
deviations from Authority, Metro, or third party requirements shall have been provided to Authority
prior to the final design package submittal.
2.1.6 Design Review Documentation
Design-Builder shall maintain a written record of all formal internal design reviews. The written
record shall:
A. List the participants of each review;
B. Cover the items discussed;
C. Identify items being designed, developed, or reviewed;
D. Identify discrepancies noted and report on corrective action taken or planned;
E. Identify follow-up items, due dates, and party responsible for future action; and
F. Identify items needing resolution and time constraints for resolution.
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Reports of design reviews, including oversight visits, shall be submitted to the Authority within
seven days of completion of the review or visit.
Items found during reviews, surveillances, or audits by Design-Builder or his design organization
requiring correction shall be documented on comment sheets and tracked for resolution by the
design organization.
The Authority may require Design-Builder to re-submit additional Design Documents for review
where the information submitted is considered insufficient to conduct a proper review or actions
arising from the design review require significant revisions.
Design-Builder shall bear the time and cost of impacts for resubmissions or revisions arising from
the design reviews and caused by Design-Builder’s non-compliance with the requirements set forth
in the Contract Documents or inadequacy or incompleteness of the submittal.
Detailed requirements for the submission of Design Documents are included in Section 7.0 and
Section 10.0 of these General Requirements. Design-Builder shall copy the Authority on all
submittal correspondence between Design-Builder and applicable third parties and/or
Governmental Persons, and include copies of any and all review comments pertaining to submittals
within seven days of transmission or receipt.
2.1.7 Design-Builder’s Internal Design Checks and Certifications
Design-Builder shall perform an internal design review process at all design levels for all Design
Documents produced by the design organization including its Subcontractors. Design-Builder shall
certify that the documents have been reviewed and checked per the quality control/quality
assurance plan (QCQAP) and that previous review comments have been incorporated or resolved.
In addition to the internal design reviews, Design-Builder shall form a constructability team and such
team shall perform internal constructability reviews at 60% and 85% completion of each design
package to ensure that construction considerations have been taken into account during the design
process. Design-Builder’s constructability team shall be formed of members that are independent
of the design team. Reports of the constructability review shall be submitted to the Authority within
seven days of completion of the review indicating the parameters and interfaces verified during the
review and including comments and how they are being addressed. All internal review comments
shall be addressed by Design-Builder prior to submittal to the Authority.
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2.1.8 Submittal Review Comments
Authority comments will be provided to Design-Builder using a comment review matrix. Third party
comments will be provided to Design-Builder by the third party in their (third party’s) format.
Design-Builder may receive separate comment packages from each organization and group within
an organization that reviews a design submittal. Design-Builder shall input review comments
(internal and external) into an electronic database, track each comment to resolution, and address
and/or incorporate all comments. Design-Builder shall respond to all Authority and third party
comments within 15 days of receipt. Design-Builder shall show the exact timing of reviews and
resolution of comments through the weekly progress meetings and in the three-week rolling
schedule and shall provide the Authority a copy of all comments that are made and a copy of how
each comment has been addressed within seven days following the joint comment resolution
meetings discussed in Section 2.1.9.
Any comments received by Design-Builder beyond the timeline specified in the Contract Data
Requirements List (CDRL) in Appendix B, shall be responded to by Design-Builder and Design-
Builder’s responses shall be submitted to the Authority within seven days after receipt by Design-
Builder of the review comments.
2.1.9 Joint Comment Resolution Meetings
A joint comment resolution meeting shall be scheduled by Design-Builder to discuss responses to
the Authority and third party review comments and to determine the review comments to be
incorporated into the Design Documents. More than one joint comment resolution meeting per
design submittal may be necessary in order to discuss all design review submittal review
comments. Design-Builder shall prepare meeting minutes of the joint comment resolution meetings
in accordance with Section 6.0.
2.1.10 Third Party Coordination Plan
Design-Builder shall provide a third party coordination plan that includes the names of all applicable
Governmental Persons, Utility Owners, and any other relevant third parties as well as the contact
Persons at each agency or entity. The plan shall describe all interfaces, including the types of
permits, approvals, coordination, and/or inspections anticipated for the Project. The third party
coordination plan shall be submitted to the Authority for approval at least 10 days prior to the design
workshop required in Section 2.1.5.1.
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2.1.11 Final Design Certification
When the final 100% design for a design package has been completed, Design-Builder’s Design
Manager shall submit verification and certification to Authority that:
A. The design has been checked in accordance with Design-Builder’s Authority-approved
QCQAP;
B. Design-Builder has obtained all required third party approvals and permits;
C. The Design Documents meet the requirements set forth in Section 2.1.2;
D. The Design Documents comply with the requirements of the Contract Documents; and
E. The Work shown on the Design Documents is ready for construction.
2.1.12 Approval of Final Design Documents
When all comments to the final design submittal for each design package have been addressed by
Design-Builder to the Authority’s satisfaction and Design-Builder has obtained all applicable third
party approvals, Authority shall sign and indicate on the final Design Documents “Approved for
Construction”.
Once a document has been Approved for Construction and items need to be clarified, such
information shall be issued to Design-Builder’s field construction staff only after a copy has been
provided to the Authority. In order to ensure that the Authority has received such information, no
construction documentation shall be allowed to be used for construction unless it has an Authority
Approved for Construction stamp. Work constructed from a document that does not have an
Authority stamp shall be considered nonconforming. Any changes to Approved for Construction
drawings and Specifications shall be issued as controlled documents to all plan-holders on the
Project. Changes shall be marked as delta drawings with a unique delta number (starting with 1),
clouded changes, and date. Specifications shall show modified text as highlighted or sidebar. All
Approved for Construction Design Documents with changes shall be issued as superseding
replacements with a clear definition of the changes to be implemented on the transmittal. If the
changes are a result of a Change Order or Request for Information (RFI), the corresponding
Change Order or RFI number shall be noted on the plan deltas and on the transmittal.
2.1.13 Design Review of Major Temporary Works
Design-Builder shall conduct a design review with the Authority and applicable third parties of major
temporary works, including falsework and shoring, that represent complex structures and that
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potentially may affect the Safety, quality, and durability of the permanent construction. The design
of major temporary works shall be submitted to the Authority for information a minimum of 15 days
prior to commencement of the work.
Design-Builder shall produce the major temporary works designs after the design package
documents have been approved and distributed. Major temporary works designs must undergo a
separate formal review with the Authority and applicable Governmental Persons. All falsework and
shoring plans must be stamped by a registered professional engineer currently licensed in the State
of California, unless more stringent requirements are stated in Volume 5- Agreements.
All necessary permits, clearances, and closures from applicable Governmental Persons shall be
secured prior to construction.
2.1.14 Additional Reviews
The Authority (with Metro, Cities, Utility Owner, and other third party participation) may conduct
additional “over-the-shoulder” reviews as considered necessary to ensure a continuous and uniform
consistency in the quality, and effective incorporation of the requirements set forth in the Contract
Documents and revisions to designs.
2.2 Design Changes
Design changes may occur prior to construction or may occur after Final Design, and may be
initiated by Design-Builder or the Authority. Design-Builder shall address satisfactorily any changes
to approved design initiated by Design-Builder or Authority for portions of the design already
checked by the design organization and certified by Design-Builder’s Design Manager. Design-
Builder shall not be entitled to any increase in the Contract Price or extension of time for changes
initiated by the design organization or Design-Builder.
All design changes shall undergo the same design review process as the original design.
Design changes to final Design Documents shall be approved in writing by the responsible engineer
of the original design or by a California-licensed professional engineer of appropriate experience if
the original responsible engineer(s) is no longer available. All changes to designs, drawings,
Specifications, calculations, and reports shall be signed and dated by a California-licensed
professional engineer (signed and sealed for design changes to final Design Documents). Design-
Builder's Design Manager shall submit verification and certification to the Authority in accordance
with Section 2.1.11.
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2.3 Design Support during Construction
Design-Builder is responsible for ensuring the technical integrity of the design. This responsibility
includes the review and approval of construction submittals. Therefore, Design-Builder shall review
and approve construction submittals. The Design-Builder’s Design Manager and responsible
architect or engineer (Designer of Record) shall also review and approve all construction submittals
for technical adequacy before they are submitted to the Authority and prior to construction.
Design-Builder’s design organization and Design-Builder’s Design Manager shall verify during
performance of the Work that the conditions actually encountered are consistent with the Approved
for Construction Design Documents and Construction Documents. Design-Builder’s design
organization shall prepare as-builts of the Approved for Construction Design Documents as the
Work progresses in accordance with Section 6.0. Design-Builder shall conduct the necessary
inspections and reviews to assure the accuracy and correctness of as-built documents.
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3.0 CONSTRUCTION CRITERIA
This Section 3.0 provides minimum construction criteria that must be complied with for this
Contract. Design-Builder shall be solely responsible for, and have control over, construction
means, methods, techniques, sequences, procedures, quality, Safety, and for coordinating all
portions of the Work, subject to and in compliance with all requirements contained in the Contract
Documents. Design-Builder shall take all reasonable precautions and shall provide protection to
prevent damage, injury or loss due to its operations to property adjacent to the Site. Design-Builder
shall ensure that all of its activities, and the activities of its employees, agents, officers, and
Subcontractors, and all other Persons for whom Design-Builder may be legally or contractually
responsible are undertaken in a manner that will minimize the effect on surrounding property and
the public to the maximum extent practicable.
As a precondition to commencing construction and procurement activities, Design-Builder shall
furnish final Design Documents and Construction Documents for that portion of the Work, which
shall be advanced to the 100% level and have been stamped Approved for Construction by the
Authority. Any Work initiated by Design-Builder prior to approval by the Authority therefor will be at
Design-Builder’s sole risk.
During performance of the Work at the Site, Design-Builder shall clean and protect Work in
progress on the basis of continuous daily maintenance. Design-Builder shall protect installed Work
and materials from damage or deterioration.
Design-Builder shall clean and maintain installed Work in good condition at all times prior to
Substantial Completion. Design-Builder shall restore any infrastructure, street, road, facility,
landscaping, Utility, etc., disturbed during performance of the Work. The Work will include
removing all debris and cleaning the Site.
3.1 Access and Protection of Property
Design-Builder shall conduct construction operations in such a manner as to minimize
inconvenience to owners of adjacent or affected properties. Convenient access to all property from
streets along the Site shall be maintained.
Whenever and wherever Work is performed, free access must be given to each fire hydrant, fire
alarm box and standpipe. When required, fire hydrants shall be extended by suitable piping to an
accessible point approved by the local fire department.
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Design-Builder shall safeguard, maintain and protect all Utilities, wires, ducts, pipes, posts and
poles, signals and other public and private property.
Whenever necessary, Design-Builder shall erect and maintain signs, fences, barricades and
pedestrian walkways and provide watchman and/or police officers for the protection of the public,
the Site, adjoining property, and adjoining public places.
Design-Builder shall maintain, protect and be responsible for the Safety, stability, and integrity of all
buildings, Utilities, structures and property affected by the Work. Design-Builder shall provide for
the protection, and support of existing buildings, Utilities, structures and property as needed. Any
damage done to adjacent properties by Design-Builder or its Subcontractor’s shall be repaired to
their original state at the sole expense of Design-Builder.
Design-Builder shall restore all easement areas used for construction staging, storage or access to
the condition existing prior to entry upon the property except for any Alterations specifically required
by the Project. Restoration of the property shall include replacing in kind sidewalks, driveways,
plantings, lawns, signs, drainage systems, walls, ramps, and other features.
3.2 Pre/Post Construction Surveys
Design-Builder shall perform a pre and post construction survey of the adjacent properties, Utilities,
streets, and all other structures and facilities that may be impacted as part of the construction
process. Design-Builder shall produce a detailed continuous high-definition digital video of the Site
as well as use surveys, photographs, and other means necessary to accurately determine the
existing street and Site conditions. Design-Builder shall photograph the entire Site, including
adjacent structures, foliage, roadway surfaces, and any other features that will capture the
undisturbed Site. If existing damage to adjacent structures, facilities, etc., is identified, these areas
shall be carefully documented prior to the Work starting. Design-Builder shall submit to the
Authority for review and approval copies of all photos, video, other survey records, and documented
existing damaged conditions.
Pre-construction surveys (PCS) of properties shall record existing conditions at the time of the
examination prior to commencement of construction. Post-construction surveys shall be required to
document that construction activities has not damaged adjacent properties. PCS of storm drains
and sewer lines shall provide the existing conditions and document any existing cracks and breaks.
Post construction surveys shall be required to document that construction activities have not
damaged the system and shall document the same length of pipe that the PCS documented. The
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PCS shall record the physical condition of existing structures and other facilities, etc., in the relevant
area adjacent to the construction areas. This survey shall be performed in such a way as to form
the basis for evaluating actual or alleged damage to these structures that may be caused by the
construction. The post-construction survey shall be an identical examination performed in order to
record the post-construction condition of the structures and other facilities, etc., adjacent to rail
construction areas. The post-construction survey shall be performed in such a way as to document
any changes or damages which have occurred during construction.
In order to detect any movement of existing bridges and other structures that may be affected by
the Work, Design-Builder, prior to the start of excavation, shall establish a system of vertical and
horizontal control points on or about such structures. The points shall be tied to benchmarks and
indices sufficiently remote so as not to be disturbed by Design-Builder’s operations. Such points
shall be checked on a regular schedule, at least weekly, by a qualified person under the direction of
a professional engineer or registered land surveyor.
Design-Builder shall be responsible for handling all claims for damages and for repairing or
replacing damaged facilities, structures, etc., at no cost to the Authority. In addition, any damage
discovered after construction and not documented as part of the pre-construction survey shall be
Design-Builder’s responsibility to fix at Design-Builder’s cost.
3.3 Dewatering
If needed, Design-Builder shall provide a dewatering system that effectively reduces hydrostatic
pressures and lowers groundwater levels below excavation levels, as necessary for the safe and
proper execution of work.
Design-Builder shall take measures to ensure that soil particles are not removed by the system, that
no movement is caused in adjacent areas by dewatering operations, and that no damage is caused
to property, buildings, structures, facilities, sewers, other Utilities, pavements, etc.
3.4 Temporary Facilities and Utility Services
Design-Builder shall design, install, operate, maintain, remove and bear all costs for all temporary
facilities, including offices, field offices, electrical power, telephone, water, fire protection, sanitary
sewer and other Utilities needed for the construction and installation of the Project.
A. Temporary electrical service includes:
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1. Providing lighting, power, and costs thereof for field offices, storage facilities
and other construction facilities and areas;
2. Providing power centers for electrically operated and controlled construction
facilities including tools, equipment, interior construction lighting, and heating,
cooling and ventilation equipment;
3. Providing night security lighting at secured areas within the Site at offices,
storage facilities, and excavated areas. Providing battery-operated or
equivalent emergency lighting facilities at construction areas where normal
light failures would cause employees to be subjected to hazardous
conditions. Testing such facilities monthly; and
4. Bearing all costs of temporary electrical service, including permits, fees, and
deposits required by the governing authority or Utility Owner, connection
charges, and temporary easements, including installation, maintenance and
removal of equipment;
B. Temporary telephone services include furnishing, installing, maintaining and removing all
telephone service needed to effectively manage the construction, installation, and testing
operations;
C. Temporary water services include furnishing, installing, maintaining and removing a
temporary water system during performance of the Work for drinking, construction,
sanitation, first aid, fire protection and cleaning. Design-Builder shall be responsible for
obtaining permits and approvals from regulating authorities and paying fees, deposits,
and connection costs including installation, usage, maintenance, and removal
associated with temporary water systems;
D. Temporary fire protection includes furnishing, installing, maintaining and removing
temporary fire protection equipment during performance of the Work as required by the
local and National Fire Protection Association (NFPA) fire regulations;
E. Temporary sanitation service includes:
1. Furnishing, installing, maintaining and removing temporary sanitary facilities
during performance of the Work;
2. Providing separate or single-user toilets to ensure privacy between the sexes
during performance of the Work; and
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3. Submitting Shop Drawings with details and layout of temporary installations
to applicable third parties for approval prior to installing temporary facilities.
Temporary facilities shall meet all applicable Governmental Rules; and
F. Temporary heating, ventilation and air conditioning includes furnishing, installing,
maintaining and removing a temporary HVAC system to allow the Work to be performed
within the requirements of applicable Governmental Rules, and to prevent damage to
materials being stored by Design-Builder.
3.5 Construction Sequence Factors
Design-Builder shall provide a detailed schedule of all the Work to be performed in a logical
sequence in accordance with the design and construction requirements, maintenance of traffic, and
protection of Utility services.
Design-Builder must maintain both vehicular and pedestrian traffic within and adjacent to the Site,
including local businesses, at all times throughout the duration of the Project.
Design-Builder shall coordinate and schedule the construction activities to minimize impacts to
freeway and local roadway traffic, and Utility disruptions.
3.6 Maintenance of Traffic during Performance of the Work
These criteria set forth basic principles and prescribe standards for the design, application, and
maintenance of the various types of traffic control devices required for street construction and
maintenance operations Work with which Design-Builder shall adhere and comply. These
principles and standards are intended to ensure the safe and expeditious movement of traffic
through construction and maintenance zones and the Safety of the work force performing these
operations. Minimum standards of application are prescribed for typical situations and for
controlling traffic through Work areas, including traffic devices, markings, barricades, signing, and
channeling devices.
Design-Builder’s design and construction of traffic control for maintenance of traffic shall comply
with all applicable Governmental Rules and Governmental Approvals.
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3.6.1 Application of Standards
A. Principles and Procedures: Design-Builder shall have the primary responsibility for
maintaining the Safety of motorists, pedestrians, bicyclists, and workers in the vicinity of
the construction and maintenance areas including the following:
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1. Traffic Safety in construction zones shall be an integral and high-priority
element of the Project from Project initiation through final design and
construction. Similarly, maintenance work shall be planned and conducted
with the Safety of motorists, pedestrians, and workers kept in mind at all
times;
2. The basic Safety principles governing the design of permanent streets shall
also govern the design of construction and maintenance sites. The goal shall
be to route traffic through such areas with geometric and traffic control
devices comparable to those for normal situations;
3. Design-Builder shall submit a Maintenance of Traffic Plan (MTP) in detail
appropriate to the complexity of the situation for approval to both the
Authority and applicable third party;
4. Design-Builder shall protect the public from the hazards resulting from open
excavations, falling construction materials, impaired sight distances, and
reduced vertical or horizontal distances;
5. Design-Builder shall coordinate with Local Schools to ensure students are
walking at a safe distance from construction zones; and
6. Design-Builder shall coordinate with County Sheriff, City Police, and First
Responders, as necessary;
B. Inhibited traffic movement shall be minimized;
C. Construction time shall be minimized to reduce exposure to potential hazards;
D. Motorists shall be guided in a clear and positive manner while approaching and
traversing construction and maintenance areas.
1. Adequate warning, delineation and channeling by means of proper pavement
markings, signing, and use of other devices that are effective under varying
conditions of light and weather shall be provided to ensure the motorist of
positive guidance in advance of and through the Work area. Design-Builder
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shall maintain such temporary markings and signage to all applicable
Governmental Rules;
2. Inappropriate markings and signs shall be removed or covered to eliminate
any misleading cues to drivers under all conditions of light and weather; and
3. Use of flaggers and/or police officers shall be employed when required to
control traffic or when all other methods of traffic control are inadequate to
warn and direct drivers;
E. Design-Builder shall provide individuals trained in the principles of safe maintenance of
traffic at Work areas to ensure that all maintenance of traffic elements of the Project are
in conformity with the approved MTP and are effective in providing safe conditions for
motorists, pedestrians, and workers;
F. All traffic control devices shall be installed only when needed, covered when not needed,
and removed immediately when no longer required in accordance with the approved
MTP; and
G. Temporary traffic measures described in the CA-MUTCD shall be utilized.
3.6.2 Convenience of Public
Design-Builder shall conduct its Work with the least possible obstruction of traffic. The convenience
of the public and of the residents adjacent to the Project, and the protection of Persons and
property, are of primary importance and shall be provided for by Design-Builder in an adequate and
satisfactory manner. Adequate temporary crossings shall be constructed and maintained where
necessary to provide access to adjacent property, and fire hydrants shall be kept accessible.
3.6.3 Truck Loads
Trucks hauling wet or loose materials shall have tight tailgates and shall be loaded and secured
with adequate freeboard of not less than three inches, without precarious cones or piles of material.
Dry material shall be covered or wet to assist with dust control. Falling debris, roadway clean-ups
and any damage repair to vehicles, Persons or property on nearby roadways shall be the sole
responsibility of Design-Builder.
3.6.4 Spills
Design-Builder shall provide for prompt removal from existing roadways of all dirt and other
materials that have been spilled, washed, tracked or otherwise deposited thereon by its hauling or
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other operations. Hazardous or contaminant spills shall be treated and cleaned up immediately.
Spill kits shall be kept on-Site and available for use by trained personnel.
3.6.5 Dust
Design-Builder shall employ construction methods and means that will keep fugitive dust to the
minimum. Design-Builder shall provide and adhere to a “Dust Control Plan” which shall provide for
the containment of dust on the Project, and on roads, streets and other areas immediately adjacent
to the Project limits, wherever traffic or buildings that are occupied or in use are affected by such
dust, as indicated in the approved Storm Water Pollution Prevention Plan. The Dust Control Plan
including the materials and methods used for dust control shall be subject to the approval of
Authority.
Design-Builder shall design, plan and incorporate/implement in construction, dust control mitigation
measures, to ensure compliance with mitigation measures as specified in Volume 4- Environmental
Requirements.
3.6.6 Barricades
Design-Builder shall, as necessary, erect or place, and maintain in good condition, appropriate and
adequate barricades, warning signs, lights, flares, red or orange flashing electric flasher units,
rubber cones, and other warning and danger signals and devices at working sites, closed roads,
intersections, open excavations, locations of material storage, standing equipment and other
obstructions; at points where the usable traffic width of the road is reduced; at points where traffic is
deflected from its normal course of lanes; and at other places of danger to vehicular or pedestrian
traffic or to completed Work. The various traffic control and warning devices shall be in accordance
with all applicable Governmental Rules.
3.6.7 Protection from Falling Materials
Design-Builder shall not perform Work above vehicular or pedestrian traffic until it obtains explicit
written permission from all applicable Governmental Persons. Subject to such permission, Design-
Builder shall provide the necessary devices and means to protect such traffic from falling
construction materials and other objects and from painting operations, during the time that the Work
is carried on above traffic. When a detour will be established, Design-Builder shall make
arrangements for establishing, maintaining, and signing for it, providing Safety measures as are
necessary to provide traffic guidance and protection, and assume the cost thereof. All traffic control
shall adhere to all applicable Governmental Rules.
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3.6.8 Materials
Traffic controls and signs required for the duration of this Project shall conform to the California
Manual of Uniform Traffic Control Devices or applicable Governmental Rules.
3.7 Temporary Erosion and Sediment Control during Performance of the Work
Temporary erosion control includes grassing, mulching, applying netting, watering and reseeding
sloped surfaces, providing berms at top of slopes, and providing interceptor ditches at ends of
berms and at locations which will eliminate or minimize erosion during performance of the Work.
Temporary sediment control includes silt ponds, silt dams, traps, barriers and appurtenances at the
toe of excavation, embankment, spoil and borrow area slopes. Temporary erosion and sediment
control measures deployed shall meet the codes and requirements of the applicable Governmental
Persons and comply with the requirements of the environmental mitigation monitoring program.
Specific criteria for storm drain discharge are provided in the “National Pollutant Discharge
Elimination System” (NPDES) permit. The Authority has filed a Notice of Intent with the State
Water Resources Control Board under the Construction General NPDES Permit (Order 2009-0009-
DWQ). The Authority shall serve as the legally responsible party to file the Project related
documents. Design-Builder shall be responsible for compliance with all permit conditions as agents
for the Authority.
Design-Builder shall submit a “Storm Water Pollution Prevention Plan” (SWPPP) per the
Construction General NPDES Permit and applicable Governmental Rules. The SWPPP shall
include all best management practices (BMPs) details and requirements and shall be
adjusted/updated as the Work changes or progresses.
3.8 Water Pollution Controls during Performance of the Work
Design-Builder shall handle all wastewater from storm runoff, equipment washing, drilling, or any
other action of their operations to remove contaminants (e.g., suspended particles, hydrocarbons,
etc.) in accordance with the SWPPP. Design-Builder shall monitor all wastewater discharges to
ensure that it meets all criteria specified in the permit. Design-Builder shall retain records of
measurements for inspection by the permit issuer and Authority. Design-Builder shall perform
monitoring of all wastewater discharges in accordance with the permit and the BMPs indicated in
the SWPPP. Design-Builder shall submit monthly monitoring reports to the Authority no later than
10 days after the end of each monthly monitoring period.
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Design-Builder shall not discharge pollutants, such as chemicals, fuels, lubricants, bitumen’s, raw
sewage or other harmful wastes into sanitary or storm systems or the ground.
Design-Builder shall control the use of lubricating oils, hydraulic fluids, greases, and other such
products. Design-Builder shall promptly clean up and properly dispose of materials contaminated
by spillage or leaking of these products.
No waste or erosion materials shall be allowed to enter any sanitary/storm removal systems.
Erosion materials from excavation areas, or stockpiled fill shall be contained within the Site.
Design-Builder shall develop methods to control waste and erosion, including such means as
filtration, settlement, and manual removal.
Design-Builder shall sample and test groundwater, and provide results to the Authority, prior to
discharge off-site. Design-Builder shall obtain appropriate permits for groundwater discharge in
accordance with applicable Governmental Rules.
Design-Builder shall prepare and implement a program to control water pollution for all construction,
a water pollution control plan (WPCP). The WPCP must specify how Design-Builder will handle
stormwater, groundwater, and construction wastewater in accordance with permits, and pertinent
laws and regulations. The WPCP shall be submitted to the Authority for approval prior to the start of
construction.
Design-Builder shall design, plan and incorporate/implement in construction, water quality mitigation
measures, to ensure compliance with mitigation measures as specified in Volume 4- Environmental
Requirements.
3.9 Air Pollution Controls during Performance of the Work
Design-Builder shall comply with all applicable Governmental Rules and mitigation measures
summarized in the Authority’s Final Environmental Impact Report (FEIR) to limit adverse effects on
air quality as a result of any construction activity, vehicle or equipment.
Detailed descriptions and explanations of specific impact mitigation measures are contained in the
South Coast Air Quality Management Authority (SCAQMD) rules and regulations (Rule 403,
Limitation of Fugitive Dust Emissions) and the FEIR.
Examples of procedures and techniques Design-Builder may employ include:
A. Cover or adequately water loads of materials, debris, and soil transported to or from the
Site. Trim or remove loose material from all loads before leaving the loading Site;
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B. Daily water down and sweep streets and sidewalks, which have heavy volumes of
construction vehicles carrying debris and excavated materials; and
C. Vehicles leaving the Site and entering paved public streets shall be cleaned of mud and
dirt. Trucks arriving and leaving the Site with materials or debris shall be loaded and
covered so that they do not drop materials or debris on the streets. Design-Builder shall
maintain a suitable vehicle cleaning and inspection installation with a permanent crew for
this purpose. Spills of materials or debris in public areas shall be removed immediately.
Design-Builder shall remove scrap and waste material and dispose of it in accordance with
applicable Governmental Rules.
Design-Builder shall use construction equipment designed and equipped to prevent or control air
pollution in conformity with applicable Governmental Rules. Evidence of such design and
equipment shall be maintained and made available for inspection by the Authority.
Design-Builder shall establish and maintain records of the routine maintenance program for internal
combustion engine powered vehicles and equipment used on the Project. These records shall be
available for inspection by the Authority.
During excavation, gases may be released from the soil or from underground reservoirs. These
gases may contain methane, other more complex hydrocarbons or hydrogen sulfide and may
present hazards due to their flammability or toxicity. Design-Builder shall ensure Safety in
accordance with the regulations of OSHA and CAL/OSHA and all applicable Governmental Rules.
Although the composition, quantity and concentration of the gases that might be released are
unknown, the release of these gases into the atmosphere may be subject to control by the
SCAQMD and the California Air Resources Board (CARB). Design-Builder will immediately notify
the Authority of any such issues and coordinate with the SCAQMD and the CARB. Furthermore,
Design-Builder will inform the Authority of further required actions. Any and all excavations
involving soil containing Volatile Organic Compounds (VOCs) shall comply with SCAQMD Rule
1166. Design-Builder shall be responsible for SCAQMD Rule 1166 permitting, permit fees,
notification, and compliance. When a Rule 1166 permit is required, Design-Builder shall obtain the
permit prior to start of construction involving soil containing VOCs.
During the Work involving demolitions and some excavations, asbestos-containing materials (ACM)
may be present. Any and all Work involving more than 100 square feet of ACM shall comply with
SCAQMD Rule 1403. Design-Builder shall be responsible for SCAQMD Rule 1403 permitting,
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permit fees, notification, and compliance. When a Rule 1403 permit is required, Design-Builder
shall hold the permit prior to start of construction activities involving ACM.
Design-Builder shall design, plan and incorporate/implement in construction, air quality mitigation
measures, to ensure compliance with mitigation measures as specified in Volume 4- Environmental
Requirements.
3.10 Construction Noise and Vibration Control
Design-Builder shall perform construction operations in a manner to minimize noise and vibration,
and in accordance with codes and requirements of the applicable jurisdictional Governmental
Persons and as required in the environmental mitigation monitoring program. Design-Builder shall
provide working machinery and equipment with efficient noise suppression devices, and employ
other noise and vibration abatement measures necessary for protection of both employees and the
public. Design-Builder shall protect employees and the public against noise exposure in
accordance with the requirements of the Occupational Safety and Health Act of 1970 and the
current statutory noise limits set by the Occupational Safety and Health Administration.
Design-Builder shall comply with all applicable Governmental Rules relating to noise and vibration.
Monitoring: Design-Builder shall promptly inform the Authority of any complaints received from the
public regarding noise or vibration. In the event of complaints, Design-Builder shall monitor noise
and vibration levels of the Work operations to ensure compliance with the applicable Governmental
Rules and retain records of noise and vibration measurements for inspection by the Authority. If the
Work operations exceed the noise and vibration limitations, Design-Builder shall describe the action
proposed and the schedule for implementation, and subsequently inform the Authority of the results
of the action.
3.11 Fire Prevention
3.11.1 Code Compliance
Design-Builder shall perform the Work in a careful manner with full consideration to fire prevention
as required by the State Fire Marshal, and the more stringent of: the CA Uniform Construction
Code, Design-Builder’s underwriter’s requirements, National Fire Protection Association Building
Codes, National Board of Fire Underwriters, and applicable Governmental Persons having
jurisdiction. Fire resistant materials shall be used for temporary enclosures.
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3.11.2 Extinguishers
Chemical extinguishers shall be provided by Design-Builder during the progress of the Work where
and as required by the State Fire Marshal, the local fire department and the National Board of Fire
Underwriters. In storage sheds, warehouses, Design-Builder’s offices, and workmen’s temporary
buildings Design-Builder shall be responsible for furnishing and maintaining its own extinguisher
equipment.
3.11.3 Prevention Program
Design-Builder shall maintain an active program of fire prevention to keep workers fire conscious
during the entire Contract duration. It shall designate one member of its organization to execute
and coordinate the fire control measures of its own organization, those of all Subcontractors and
those of all other personnel at the Site. Design-Builder shall report to the Authority any lack of
cooperation or refusal to participate on the part of any worker or Subcontractor with regard to the
fire prevention program. Failure of any worker or Subcontractor to cooperate with Design-Builder in
carrying out the above program shall be grounds for barring that individual or firm from the Project.
3.11.4 Flammable Materials
Design-Builder shall ensure that any storage of flammable materials on the Site complies with all
requirements of applicable Governmental Rules as well as any applicable insurance requirements.
3.11.5 Burning
On-Site open burning of rubbish, garbage, trade waste, leaves or plant life is strictly prohibited by
California law. Design-Builder shall comply with all Governmental Rules regarding burning.
3.12 Jobsite Cleanliness
Design-Builder shall be responsible for daily cleaning up of the Site to eliminate fire hazards,
removal of all of its refuse from the Site, weed abatement, and graffiti removal. Design-Builder shall
be responsible for daily cleaning up of the site to comply with Storm Water Pollution Prevention
Plans (SWPPP), discharge permits and mitigation measure requirements, specified in Volume 4-
Environmental Requirements. If Design-Builder fails to clean up the Site accordingly within one day
after it has been given written notice to do so by Authority, Authority shall have the right to have the
Site cleaned up by others and the cost of such work shall be charged to Design-Builder. If an
applicable Governmental Person fines the Project for non-compliance with jobsite cleanliness
requirements as part of any permit, Design-Builder shall be liable for payment of the fine.
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3.13 Seismic Safety
Design-Builder shall comply with all applicable Governmental Rules regarding seismic safety.
Due to the proximity of a nearby earthquake fault, Design-Builder shall also maintain an active
program for earthquake safety awareness and procedures as part of Design-Builder’s injury and
illness prevention program submittal as required in Section 8.0.
3.14 Historical and Scientific Specimens Encountered During Construction
Articles of historic or scientific value such as coins, fossils, bones, or articles of antiquity that may
be uncovered during the progress of the Work shall become the property of the Authority. Such
finds shall be reported immediately to the Authority, who shall determine appropriate next steps,
which may include stoppage of Work or direction regarding the removal or disposition of the article.
Design-Builder’s operations or activities shall not adversely impact existing historical and
archeological resources, and particular care shall be taken with regard to historically significant
facilities as identified in Volume 4- Environmental Requirements.
3.15 Salvage of Materials
All materials such as signs, fencing, traffic control signals and equipment, street lights and
guardrails belonging to Governmental Persons or Utility Owners shall be salvaged by Design-
Builder and delivered to the applicable Governmental Persons or Utility Owners, respectively, as
directed by the Authority or disposed of by Design-Builder if directed by the Authority.
3.16 Removal, Treatment and Disposal of Materials
Design-Builder shall prepare and maintain a “Material Disposal Plan” for the responsible
identification, removal, treatment and disposal of all excavated materials including paving material,
common excavation, rock excavation, debris, removed Utility materials, and other materials
encountered during the construction, including any Hazardous Substances. The removal, treatment
and disposal of all such materials shall conform to all applicable Governmental Rules.
In the event that Hazardous Substances are encountered during performance of the Work, Design-
Builder shall follow the process identified in the Contract Section 8.2.
Design-Builder shall track the actual disposition of all disposed material, recording the time of the
disposal, nature of the materials and the location of the disposal.
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3.17 Hazardous Substances Handling and Disposal
Design-Builder shall prepare and submit to the Authority for review and approval, a “Hazardous
Waste Operations Safety and Health Plan” to be implemented on the Project. The plan shall follow
the requirements under California Code of Regulations (CCR) Title 8, 5192 and shall include
detailed personal protective equipment (PPE) level definition and contamination level limits on
anticipated Hazardous Substances for PPE designation. Design-Builder shall employ trained
personnel to perform contaminated soil removal operations. Design-Builder shall examine
referenced environmental documentation in preparation of the “Hazardous Waste Operations
Safety and Health Plan” requirements.
The Authority has not identified material within the Site that would be defined as a hazardous waste
under the Federal Resource Conservation and Recovery Act (RCRA) of 1976, 42 U.S.C. Section
6901 et seq. If encountered, Design-Builder shall load RCRA-hazardous wastes onto vehicles of
certified licensed hazardous waste transporter. Design-Builder shall not commingle Hazardous
Substances with non-Hazardous Substances or RCRA waste with non-RCRA waste.
Design-Builder shall be responsible for environmental operations and contaminated soils created by
Design-Builder activities.
3.18 Tree Removal
Trees shall be removed and replaced in accordance with the Authority’s Tree Removal Policy
located in Appendix C and as outlined in Volume 3, Document 2- Performance Specifications.
3.19 Temporary Lighting
Temporary lighting and lighting of temporary public walkways immediately adjacent to the Project
sites shall be provided by Design-Builder as necessary for public safety, and in accordance with
codes and requirements of the applicable Governmental Persons.
3.20 Construction Start-up
Design-Builder shall not commence construction of any portion of the Project prior to occurrence of
all the following events except with the prior written statement of no objection of Authority which
may be granted or withheld in its sole discretion and Design-Builder shall commence such
construction promptly following such events upon release for construction:
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A. Authority shall have provided all required approvals including approval of (a) the project
management plan, (b) the health and safety plan (HASP), (c) the quality
assurance/quality control plan, (d) the material disposal plan, (e) the wastewater
management plan, (f) the water pollution control plan, (g) the soils management plan,
and (h) all applicable permits, including encroachment permits, described in Section
3.20.1, for the individual Work elements;
B. Design-Builder and any third party (where applicable) shall have approved all applicable
Design Documents and Construction Documents relating to such portion of the Project;
C. All required community notifications have occurred in accordance with Section 1.5;
D. All Governmental Approvals necessary for construction of the applicable portion of the
Project shall have been obtained and all conditions of such Governmental Approvals,
which are a prerequisite to commencement of such construction, shall have been
performed;
E. All required insurance and bonds shall remain in full force and effect;
F. All necessary rights of access for such portion of the Project shall have been obtained;
G. Design-Builder shall have completed all required investigations to establish and confirm
the existence and location of Utilities in such portion of the Project;
H. All maintenance of traffic and access to property requirements, including maintenance of
traffic plans (MOT), and public notices are in place and in conformity with Contract
Documents;
I. All quality assurance personnel and equipment necessary for the Work to be constructed
are on Site;
J. Design-Builder shall have an approved Construction Work Plan, per Section 3.20.1
relating to such portion of the Project; and
K. A readiness review shall have been conducted in accordance with Section 3.20.2.
3.20.1 Construction Work Plans (CWPs)
Design-Builder shall have an approved Construction Work Plan (CWP) in place prior to the start of
construction for individual Work elements or as specified by the Authority. The CWPs shall be
presented and discussed at the readiness review meetings described in Section 3.20.2. The
subject Work may not proceed until the CWP is approved by Design-Builder’s quality manager,
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Safety representative, Designer of Record, and the Authority. For all Work impacting or interfacing
with existing Metro and Railroad Operator facilities, structures, etc., Design-Builder shall submit a
CWP at least 30 days prior to planned commencement of Work. As a minimum, CWPs shall
address:
A. Description of the Work and applicable Contract section;
B. Staging plans;
C. Include actions that are defined as “special events” in that the Work may constitute
exposing the general public to danger, inconvenience or risk;
D. List of required submittals to complete the Work activity;
E. Individual(s) and position(s) responsible for supervision of the Work;
F. Planned start date of the Work, progress rate expected and extended work hours
required;
G. Prerequisite activities required;
H. Include a Job Hazard Analysis for the scope of work;
I. Site specific Safety issues, including Safety equipment, access to location,
environmental considerations, etc;
J. Emergency response information;
K. Inspection and/or tests to be accomplished; and
L. Inspection hold points.
3.20.2 Readiness Reviews
Design-Builder shall conduct readiness reviews with the Authority. Readiness reviews shall be
conducted prior to the start of specific Work activities to conduct prerequisite planning of activities,
review required submittals and discuss specific Work to be accomplished. Design-Builder shall
authorize the Work to proceed based on results of the readiness review. Work may not proceed
without the approval of Design-Builder’s quality manager, Safety representative, Designer of
Record, and the Authority. Design-Builder shall notify Authority a minimum of 48 business hours
before each readiness review.
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3.21 Work Restrictions
At all times during performance of the Work, Design-Builder shall comply with the requirements of
the Cities, Utility Owner and all other applicable Governmental Persons regarding areas and times
of work restrictions; failure to comply shall not be the basis for any Request for Change Order.
Design-Builder shall obtain written approval from the applicable City, Utility Owner and/or
Governmental Person to deviate from their respective requirements regarding areas and times of
work restrictions.
3.22 Site Preservation/Environmentally Restricted Sites
Sites identified in Volume 4- Environmental Requirements as Environmentally Sensitive Areas
(ESAs) shall be protected and maintained during performance of the Work, including the historic
depots located at Monrovia and Azusa-Alameda stations. If any of these Sites are damaged during
performance of the Work, they shall be restored to its pre-existing condition or replaced, as
necessary at Design-Builder’s expense.
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4.0 COST/SCHEDULE MANAGEMENT
Design-Builder shall develop and maintain a cost integrated scheduling system for this Contract.
Planning, scheduling, management, and execution of the Work in accordance with Contract
Documents is the sole responsibility of Design-Builder.
The Baseline Schedule and Current Project Schedule shall be resource-loaded and will be utilized
to evaluate progress of the Work and the progress payment application. The Baseline Schedule
and Current Project Schedule shall reflect Design-Builder’s plan to complete the Work within the
applicable Completion Deadlines and Contract Price. The Baseline Schedule and Current Project
Schedule shall contain sufficient detail and shall include Contract Data Requirements List (CDRL)
submittals, Completion Deadlines, real estate availability, procurement/delivery of materials, Utility
coordination, demolition, construction, and testing.
Design-Builder is required to involve all major Subcontractors in developing and implementing the
Baseline Schedule and updating the Current Project Schedule. Design-Builder shall provide the
Authority with written confirmation of concurrence of major (5% or more of Contract Price) trade
Subcontractors and Suppliers with the Baseline Schedule and Current Project Schedule.
Design-Builder’s failure to include any element of Work in its schedules shall not excuse Design-
Builder from completing all the Work required within any applicable Completion Deadline. If
activities are found to be missing from the Baseline Schedule after the Authority’s initial review,
Design-Builder shall submit a revised schedule to include these items. No extension of time will be
granted because of errors or omissions on the Baseline Schedule or Current Project Schedule. It is
Design-Builder’s responsibility to incorporate all necessary activities to construct the Project within
the applicable Completion Deadlines.
Early completion schedule – If Design-Builder proposes an early completion schedule (or any
subsequent update) and Authority approves of such early completion schedule, Design-Builder
shall not be eligible to receive a Change Order for a failure to complete Work in accordance with
such early completion schedule.
4.1 Schedule Terminology
The following terms as used in this Section 4.0 shall have the following meanings:
A. Baseline Schedule shall mean Computer-generated project network schedule in
precedence diagram method (PDM) format detailing design, procurement, construction,
testing, and other Contract requirements for the entire Project;
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B. Calendar shall incorporate each of the days that fall within the period during which the
Work is to be performed and shall indicate whether each such day is a Working Day or
non-Working Day. The base time unit used in the calendar shall be one calendar day.
The Contract duration is measured in calendar days and shall include all non-Working
Days such as holidays and weekends;
C. Critical path shall mean the activities which are on the longest path;
D. Current Project Schedule shall mean the most recent copy of the Baseline Schedule that
is updated monthly to reflect actual progress logic, duration, and other as-built
conditions, as well as remaining Work to complete and has been approved by the
Authority; and
E. Negative Float shall mean a negative amount of time between the early finish date and
4.2 Personnel
late finish date of an activity. An activity with Negative Float must be completed ahead
of schedule if the Work is to be completed on time as indicated in the Baseline Schedule
and Current Project Schedule. Negative Float usually indicates the need for corrective
and/or preventive action to complete the Work on schedule and will not be approved by
the Authority;
A part time scheduler shall be employed by Design-Builder who shall have a minimum of 5 years of
experience as a scheduler on projects of similar scope using Primavera scheduling software. The
scheduler shall cooperate with the Authority and shall be available for the purpose of continuously
monitoring and maintaining Design-Builder's detailed construction scheduling program. Design-
Builder’s scheduler shall be identified in Design-Builder’s Project Management Plan. The Authority,
at its sole discretion, has the right to refuse to accept construction scheduler based upon lack of
experience as required in this specification. If Authority refuses to accept scheduler proposed by
Design-Builder, Design-Builder shall provide another scheduler who meets experience
requirements stated herein within 20 Working Days from the time of notification of rejection by the
Authority.
4.3 Scheduling Software
Design-Builder's cost/schedule management system shall be a computer-generated, time scaled,
Critical Path method (CPM) network utilizing the precedence diagram method of representation.
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Unless otherwise approved in writing by the Authority prior to use, the scheduling software shall be
Primavera Project Planner (P3) Version 3.0 or Primavera P6 Professional Project Management.
4.4 Tabular and Graphic Reports
The following reports shall be submitted on A-size (8½” x 11”) paper with the Baseline Schedule
and monthly thereafter with the Current Project Schedule submittal:
A. Critical Path bar chart depicting longest path;
B. Summary schedule depicting rolled up activities by work breakdown structure (WBS);
C. Bar chart depicting all activities sorted WBS, early start, and Float;
D. Critical Float report listing all activities with 20 work days or less Float;
E. Cost report listing activity ID, budgeted cost, percentage complete, cost this period, cost
to date, cost to complete, and cost at completion;
F. Progress curve depicting actual progress based on cost performance relative to early
and late start curves;
G. Predecessor and successor report sorted by WBS, early start, and Float; and
H. Activity report identifying changes between the Current Project Schedule and latest
working schedule. Activity changes to report shall include “new activities”, “deleted
activities”, “original durations”, “relationships or logic”, and “descriptions”.
The following reports shall be submitted on D-size (22 inches by 34 inches) or E-size (34 inches by
44 inches) medium suitable for reproduction with the Baseline Schedule and monthly updates
thereafter with the Current Project Schedule submittal:
A. Time scaled diagram depicting all activities sorted WBS, early start, and Float; and
B. Summary schedule depicting rolled up activities by WBS.
Submittals shall include one original and five copies of original bar charts, time-scaled networks,
narratives, and tabular reports unless specified otherwise. All submittals shall be accompanied by
the source data on DVD/CD.
4.5 Schedule Format and Content
Completion Deadlines and equipment availability dates, real estate availability dates, as described
in the Contract Documents, are unique zero duration activities containing corresponding dates and
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logic ties. Designate these activities as a “start” or “finish” milestone. Each milestone activity will
constrain its dependent work. Assume Notice to Proceed is given at day zero for calculation of
constraint dates for milestones.
The Baseline Schedule must include dates for availability of Site (refer to Volume 3, Document 2,
Appendix 3- Property Acquisition Matrix) and Completion Deadlines.
4.5.1 Activity Data
Design-Builder shall include the following activity data in its Baseline Schedule and Current Project
Schedules:
A. Activity identification (ID): Activity ID’s shall be left justified and not contain space
between characters;
B. Activity description: Each activity shall have a description that is unique and that
unambiguously identifies the scope of the activity;
C. Activity duration: Construction and testing activities shall have durations no greater than
15 days. Procurement, permitting, third party coordination, submittals, and milestones
activities may use the duration required, as stated in the Contract Documents;
D. Activity dates: Calculation of early and late start and finish dates of activities shall be
based upon the application of retained logic and contiguous durations. When the use of
multiple calendars results in incorrect activity dates, at the request of the Authority,
Design-Builder shall provide correct activity dates;
E. Activity constraints: Date constraints shall be limited to start-no-earlier-than, start-no-
later-than, finish-no-earlier-than, and finish-no-later-than and shall only be applied to
Availability of Site date and Completion Deadlines. Float constraints shall not be used;
and
F. Activity type: Completion Deadlines shall have the type “Finish Milestone”. All other
activities shall have the type “Task” or “Task Dependent”, unless otherwise approved by
the Authority. Design-Builder shall not define additional milestones.
4.5.2 Activity Codes
Design-Builder shall develop an activity code dictionary which identifies bid items, responsibility,
stage or phase, area, work type, and Change Order. The activity code dictionary shall be submitted
to the Authority for approval within 14 days after Notice to Proceed. If Design-Builder is utilizing
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Primavera P6 Professional Project Management software, then activity coding must be “Project
specific” only. The use of global activity codes is not allowed.
4.5.3 Activity Calendars
The minimum planning unit for the Project shall be days. A minimum of two calendars shall be
used.
A. CALENDAR 1 - Five-day, Monday through Friday with Holidays; and
B. CALENDAR 2 - Seven-day, Monday through Sunday without Holidays.
If P6 software is utilized for scheduling the work, hours of work (for purposes of the software) for
standard day shall be from 7:00 am to 4:00 pm (0700h – 1600h) for all calendars. Actual work
hours shall comply with applicable Governmental Rules. In addition, all calendars shall be Project-
specific. Global calendars shall not be utilized.
4.5.4 Cost Loading
Design-Builder shall define cost resources. The resources shall be applied to all relevant activities.
A. Schedule of Values: Design-Builder shall develop a detailed Schedule of Values in
accordance with Contract Section 7.2.1;
B. The budgeted cost of each Schedule Activity shall represent all labor, material,
equipment, other direct costs, overhead, profit, and all other costs or amounts necessary
to complete that Schedule Activity. Front-end or unbalanced loading of costs is not
permitted and shall result in rejection of the schedule;
C. No costs shall be applied to Schedule Activities for Shop Drawing preparation,
manufacturing, or delivery of equipment or materials without having been previously
approved by the Authority;
D. Resource calendars: The use of resource calendars is not required; and
E. Driving resources: The designation of a resource as driving is not required.
4.5.5 Logic
A. Activity relationships: The schedule logic for each activity shall be constructed by
determining which activities must be complete before the activity can start, which
activities can occur simultaneously with the activity, which activities cannot start until the
activity is complete, and the impact of all resource limitations on activity sequencing,
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activity durations, and activity dates. All paths through the Current Project Schedule
shall proceed in the direction representing the progression of time. Activity lag durations
shall not have a negative value. Activity lags shall not be used in lieu of logic
relationships. Redundant ties to preceding activities in a sequential series of activities
will not be permitted.
B. Float: Float (F) shall be defined as the number of days from the late finish date (LF) to
the early finish date (EF) of an activity. When the LF is later than the EF, the Float shall
be positive. Free Float shall be defined as the maximum number of days that the early
finish of an activity can slip without delaying the early start of any of that activity’s
successor.
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1. The controlling path to a Completion Deadline shall be that path to the
milestone possessing the least Float. A Completion Deadline may have
multiple controlling paths. The longest path leading to a Completion Deadline
shall be defined as a Critical Path or as possessing critical Float.
2. Float shall not be for exclusive use of either the Authority or Design-Builder.
Float shall be jointly owned, an increasing or decreasing resource available to
both the Authority and Design-Builder. The use of Float suppression
techniques by Design-Builder, including preferential sequencing, special
lead/lag logic restraints, extended activity durations, or imposed dates will not
be permitted and shall be grounds for rejection of the Baseline Schedule or
Current Project Schedule. Except as otherwise specified, all paths through
the Current Project Schedule shall terminate at the same milestone,
construction complete, and the Float of this milestone shall be the Float of the
Project controlling path.
3. Timely completion: In the Baseline Schedule, timely completion shall mean
that all Completion Deadlines have Float greater than or equal to zero. In
monthly updates, representation of Completion Deadlines with Negative Float
shall not relieve Design-Builder of its obligation to complete each Completion
Deadline by its specified completion date. Unless otherwise specified, timely
completion shall refer to completion before the specified deadline.
4. Settings: Optional software settings may impact activity Float calculations,
resource calculations, and cost calculations. Design-Builder shall be
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responsible to verify that all data calculated by the software accurately
represent the progress of the Work to date and Design-Builder’s current plan
for timely completion. The following settings are required:
a. When scheduling activities, apply retained logic;
b. Calculate the start-to-start lag from early start;
c. Schedule durations as contiguous;
d. Show open ends as non-critical;
e. Calculate total Float as finish Float (late finish – early finish);
f. Summary calculations shall use calendar no.1 and the weighting
factor for determining percent complete shall be duration;
g. Display progress on activity bars based on remaining duration;
h. Show critical color, red, on activity bar; and
i. Define critical activities as longest path.
C. Level of Detail: Representation of the Work in greater detail than specified shall only be
permitted at the Authority’s discretion.
D. Submittals: Submittals shall be represented in the Baseline Schedule and Current
Project Schedule by the following types of activities:
1. Prepare and submit (P/S);
2. Review and approve (R/A); and
3. Revise and resubmit (R/R).
Design-Builder shall define additional submittal activities when necessary to accurately
represent required CDRL submittals. Each re-submittal and the corresponding Authority
review period shall be represented by separate activities in the Current Project
Schedule. Unless otherwise determined by the Authority, every submittal required by
the Contract shall be included in the Baseline Schedule and Current Project Schedule.
E. Detailed Schedules: A detailed schedule shall be submitted to define each scope of
work that cannot be adequately represented in the Current Project Schedule using a
time scale of days; to define the Work activities associated with each impact to existing
operations; to further define scopes of work that are represented in the Current Project
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Schedule in accordance with the specified level of detail, but which require further
definition to permit the effective administration of the Contract. Each detailed schedule
shall consist of a narrative and a bar chart submitted in accordance with this Section 4.0.
Detailed schedule shall be submitted within 48 hours of the Authority’s request and no
later than five Working Days prior to the commencement of the corresponding scope of
work. The corresponding scope of work shall not commence prior to receipt of Authority
approval of the detailed schedule associated therewith.
4.6 Baseline Schedule
Within 30 days after Notice to Proceed, Design-Builder shall submit to Authority for review and
approval a detailed proposed Baseline Schedule presenting an orderly and realistic plan for
completion of the Work, in conformity with requirements as specified herein. The Baseline
Schedule shall begin design and construction activities no earlier than the date of Notice to Proceed
unless Authority issues a limited Notice to Proceed.
The Baseline Schedule shall consist of a computerized systematic network by Primavera Project
Planner (P3) or Primavera P6 Professional Management, using the CPM technique.
Design-Builder shall provide the Authority with a means to monitor and follow progress of all phases
of the Work and comply with limits imposed by the scope of work, with Completion Deadlines, and
with constraints, restraints or sequences included in the Contract. The Baseline Schedule shall
clearly identify the Critical Path through the Project and the Float on all other activities. Schedule
detail required shall include factors to the satisfaction of the Authority including the following:
A. Master list of submittals and all other requirements as referenced in Contract Data
Requirement List (CDRL);
B. Contract interim milestones and Completion Deadlines, constraints, restraints,
sequences of Work indicated;
C. No activity shall have a duration longer than 15 days, with the exception of submittal,
Approval, fabrication, procurement, and summary activities;
D. Type of work to be performed, sequences, and labor trades involved;
E. Purchases, manufacture, tests, delivery, and installation activities for major materials
and equipment, and a separate list of major material items equipment for which Design-
Builder intends to seek payment before installation;
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F. Preparation, submittal, review and Approval of Contract Data Requirement List (CDRL)
items showing minimum time specified for the Authority and/or other third party reviews
of submittals. The same time frame shall be allowed for at least one re-submittal or
submittals so identified in the Contract Documents;
G. Traffic control routing/phasing to support Design-Builder operations;
H. Approvals and permits required by applicable Governmental Persons or other third
parties;
I. Schedules for Subcontract work;
J. Assignment of responsibility for performing specific activities;
K. Access and availability to the Site;
L. Identification of interfaces and dependencies with preceding, concurrent and follow-on
third party contractors;
M. Resource loading for cost and equipment;
N. Actual tests, submission of test reports, and acceptance of test results;
O. Identification of interfaces and dependencies with preceding, concurrent, and follow-on
contractors and Utility Owners;
P. Indicate Utilities being Relocated by Design-Builder or by a Utility Owner;
Q. Indicate work relating to satisfaction of environmental mitigation measures;
R. All start-up, testing, training, and assistance required under the Contract;
S. Preparation and submittal of operation and maintenance manuals;
T. Design and construction interfaces with the Alignment Contractor’s work;
U. Punch List work and final cleanup;
V. Identification of manpower, material, or equipment restrictions as well as any activity
requiring unusual shift work, such as two shifts, six day weeks, specified overtime, or
work at times other than a standard work day (eight hours per day, Monday through
Friday); and
W. All activities shall be coded to a level necessary to allow for multiple sorting.
Provide a stand-alone narrative report for the Baseline Schedule, which describes the schedule
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phasing, assumptions, and approach to complete the Work within the interim milestones and
Completion Deadlines.
Within seven days after the submittal of the Baseline Schedule, Design-Builder shall schedule a
meeting to discuss the submittal with the Authority. Design-Builder shall have its Project Manager,
superintendent, scheduler, and major Subcontractor representatives, in attendance.
Within 14 days after the Authority’s review of the Baseline Schedule submittal, Design-Builder shall
have revised and incorporated the review comments and shall resubmit for review and approval by
the Authority.
Within 14 days after Design-Builder re-submits the Baseline Schedule, the Authority will either:
A. Approve the Baseline Schedule and resource loaded activities as submitted; or
B. Advise Design-Builder in writing to review any part or parts of the Baseline Schedule
which either do not meet the requirements set forth in the Contract Documents or are
unsatisfactory for the Authority to monitor the progress, resources, or status of the
Contract.
The Authority may approve the Baseline Schedule on the condition that the first Current Project
Schedule is revised to correct deficiencies identified, or with other conditions as may be determined
by the Authority.
When the Baseline Schedule is approved by the Authority, it shall be considered the official Project
schedule until a Current Project Schedule has been submitted to and approved by the Authority.
The Authority reserves the right to require Design-Builder to adjust, add to, remove from, or clarify
any portion of the Baseline Schedule which may later be discovered to be insufficient for monitoring
of the Work or other reason. No additional compensation will be provided for such adjustments,
additions, removals, or clarifications.
The Authority’s approval of Design-Builder’s Baseline Schedule represents a determination that the
schedule appears to comply with the requirements set forth in the Contract Documents and appears
adequate to permit the Authority to perform management functions during the course of
construction. It shall not be considered a representation by the Authority that the Work can be
constructed within the time durations specified, or with the resources allocated to the various
activities. Notwithstanding Authority’s approval of the Baseline Schedule, Design-Builder bears
sole and exclusive responsibility for the accuracy of all aspects of the Baseline Schedule and for
completion of the Project within the time limits and other requirements established in the Contract
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Documents and for the Contract Price.
Submittal of the Baseline Schedule shall be understood to be Design-Builder’s representation that:
A. The Baseline Schedule meets the requirements of the Contract Documents and that
Work shall be executed in sequence indicated on the schedule; and
B. Design-Builder has distributed the Baseline Schedule to Subcontractors for review and
has received the Subcontractors’ acceptance, which shall be noted on Subcontractors’
letterhead to Design-Builder and transmitted to the Authority for the record. Letters from
applicable Subcontractors, indicating such Subcontractors’ review and approval shall
accompany Current Project Schedule submittal updates.
4.7 Project Schedule Updates
4.7.1 Current Project Schedule Monthly Updates
Following Authority approval of the Baseline Schedule, Design-Builder shall submit to the Authority
for approval on a monthly basis, a Current Project Schedule for the purpose of accurately
documenting the progress of the Work to date and correcting the schedule to accurately reflect
Design-Builder’s current plan for the timely completion of the Work.
The Current Project Schedule progress shall be updated as of the date designated by the Authority
(“data date”). Design-Builder shall obtain the Authority’s approval prior to making deviations in logic
and activity durations in the Current Project Schedule.
Design-Builder shall convene regularly scheduled meetings at least seven days prior to the data
date for the purpose of reviewing changes to the schedule logic and Project status. At any such
meeting, Design-Builder shall provide a preliminary updated Current Project Schedule that
forecasts the Project status on the data date and contains actual start and actual finish dates for
activities in progress or completed, remaining durations of activities in progress, percent complete
of Schedule Activities, logic changes, new or deleted activities, and new Change Order activities.
If current progress reflects Float of minus 14 days or more for Substantial Completion, as indicated
by most recent Current Project Schedule, Design-Builder shall submit a stand-alone portion of the
network (fragnet) evaluating the delay. Each fragnet shall show activities affected, date delay or
disruption occurred or how productivity rates were impacted and unmitigated impacts to the
schedule caused by delay or disruption. Design-Builder shall submit similar fragnet showing
Design-Builder’s plan to mitigate delay or disruption and subsequent impacts to the Current Project
Schedule at the Authority’s request. Design-Builder shall provide written narrative describing
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circumstances that caused delay or disruption and methodology used to determine extent of delay
or disruption. Submission of such fragnets does not constitute permission to proceed with plan.
Design-Builder shall execute some or all of the following remedial actions, and submit a Recovery
Schedule that may include:
A. Increasing manpower in such quantities and crafts as necessary to eliminate the backlog
of work;
B. Increasing the number of working hours per shift, shifts per Working Day, Working Days
per week, the amount of equipment, or combination of the foregoing to eliminate the
backlog of work; and
C. Rescheduling the Work in conformity with the Contract Documents.
Before implementing any of the above actions, Design-Builder shall notify and obtain approval from
the Authority. If such actions are approved by Authority, Design-Builder shall incorporate revisions
into the Current Project Schedule.
The addition of equipment or labor; increasing the working hours; or otherwise adjusting other work
methods, manners, or procedures to return to contractually required completion dates will not be
considered justification for a Change Order, nor be treated as acceleration where the need for a
Recovery Schedule has been caused by Design-Builder and/or its Subcontractors or Suppliers, at
any tier.
4.7.2 As-Built Schedule Submittal
Design-Builder shall submit prior to Final Acceptance, and as a prerequisite of Final Acceptance, an
as-built schedule for the Project. The as-built schedule shall include correct actual dates for
activities based upon the latest Current Project Schedule.
4.7.3 Time Impact Analysis
When Design-Builder receives a Potential Change Order (PCO), Change Order (CO) or submits a
Request for Change Order seeking to extend a Completion Deadline, Design-Builder shall submit to
the Authority a written time impact analysis illustrating the influence of each change or delay to the
Baseline Schedule or Current Project Schedule. Design-Builder shall utilize the approved Current
Project Schedule in effect one month prior to the start of the delay. Include in each time impact
analysis a fragnet demonstrating how Design-Builder proposes to incorporate the PCO, CO or
delay into the Current Project Schedule. The fragnet shall contain a sequence of new and/or
activity revisions that are proposed to be added to the Current Project Schedule.
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Each time impact analysis shall demonstrate estimated time impact based on events of delay, date
of PCO or CO given to Design-Builder, status of design or construction at that point in time, and
event time computation of activities affected by the PCO, CO or delay.
Design-Builder shall submit each time impact analysis in accordance with the requirements set forth
in Contract Section 12.0. If Design-Builder does not submit a time impact analysis within the period
of time specified in Contract Section 12.0, Design-Builder will be deemed to have irrevocably
waived rights to additional time and cost.
Because Float within Current Project Schedule is jointly owned, it is acknowledged and agreed by
Design-Builder that the Authority-Caused Delays on the Project may be offset by Authority-caused
time savings (including: Critical Path submittals returned in less time than allowed for in the
Contract, acceptance of substitution requests which result in a savings of time along the Critical
Path for Design-Builder, etc.). In such an event, Design-Builder will not be entitled to receive an
extension of time or delay damages until the Authority-caused time savings are exceeded by non-
concurrent Authority-Caused Delays to Contract completion.
A. The Authority will approve or reject each time impact analysis. Upon approval, a copy of
a time impact analysis signed by the Authority will be returned to Design-Builder for
incorporation into the Current Project Schedule;
B. Upon mutual agreement by both parties, Design-Builder shall incorporate fragnets
illustrating the influence of Potential Change Orders, Change Orders and delays into the
Current Project Schedule during the first update after agreement is reached; and
C. In the event Design-Builder does not agree with the decision of the Authority regarding
impact of a change or delay, it will be resolved in accordance with Section 16.0 Dispute
Resolution of the Contract.
4.8 Written Narrative
4.8.1 Baseline Schedule
Design-Builder shall explain determination of activity durations and describe Design-Builder’s
approach for meeting required interim milestone dates and Completion Deadlines, as specified in
the Contract. Design-Builder shall include as a minimum: Basis and assumptions used in
preparing submittal, including crew sizes, equipment requirements, and anticipated delivery dates;
restraints, Critical Path activities, production rates; activities requiring overtime or additional shifts;
activities that contain time contingencies for impacts to be expected from normal rainfall; holidays
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and other non-work days; potential problem areas; permits; coordination required with the Authority,
railroads, Utilities and other parties; and long lead delivery items requiring more than 30 days from
order to delivery. Design-Builder shall identify Work items that may be expedited by use of
overtime and additional shifts. Design-Builder shall identify and explain sequencing and other
constraints such as manpower, material, and equipment. Design-Builder shall include a listing of
holidays and special non-work days.
4.8.2 Current Project Schedule
Design-Builder shall submit a Current Project Schedule narrative on a monthly basis, containing the
following information in detail:
A. A description of the planned flow of the Work, identifying all driving resources, key
constraints, and potential problems (including solutions), influencing Design-Builder’s
approach to the Work;
B. A description of all construction interfaces with Railroad Operators;
C. A description of all construction interfaces with the Alignment Project and with third
parties at the Site;
D. A written status report on the communications program, including activities conducted in
the last period, community concerns/issues log (including actions taken to respond and
resolve concerns), updates to the stakeholder database, and a list of activities to be
conducted in the coming month.
E. A summary of planned labor utilization for the Project; identifying the maximum number
of workers on Site each month based on the resource loaded Current Project Schedule.
Identification of actual and potential labor resource limitations;
F. A summary of planned equipment utilization for the Project. Identify actual and potential
equipment resource limitations;
G. Identification of the updated period, the data date, and the Current Project Schedule file
name;
H. Identification of activities with critical or near critical Float that were planned to occur
during the update period by which did not occur or occurred later than the scheduled late
start or late finish date, and a detailed explanation of these delays;
I. Identification of delays occurring to activities taking place off the Site, such as submittal
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preparation, fabrication, and delivery activities;
J. A listing of all activities with critical or near critical Float for which the Authority is
responsible; identification of the activity ID, activity description, remaining duration, Float,
and activity dates;
K. Plans for the forthcoming report period, including Design Document submittals;
L. Description of all actual and potential delays and problems affecting the Project’s Critical
Path;
M. An explanation of actions taken, or proposed, to minimize delays, and how they will
affect the overall Project;
N. Analysis of milestones;
O. Explanations to changed logic relationships, lags, previously approved original durations,
calendars, activity codes including WBS, additions/deletions to the log, any imposed
suspend or resume dates, additions/deletions to constraint dates, altered previously
approved actual starts or finishes;
P. Explanations of added activities for Change Orders;
Q. New schedule activities requested to be added shall have explanations as to why they
are required, new predecessor and successor logic ties and what impact they have on
Completion Deadlines. If the new activities refine previously approved activities, these
shall be noted and the old activities removed; and
R. A 60-day look ahead narrative report on all CDRL approvals required.
4.9 Review and Evaluation
The Authority’s review and approval of any Contract schedule or report under this Section 4.0, or
any other submittal by Design-Builder, shall not relieve Design-Builder from its obligation to perform
according to the Contract Documents and complete the Work by the Completion Deadlines, even if
the Current Project Schedules, reports or other submittals are inconsistent with the Completion
Deadlines. The submittals and other actions by Design-Builder under this Section 4.0 shall not be
construed as a Request for Change Order, Change Order, or Claim. Such notices, requests and
Claims shall comply with the requirements set forth in the Contract Documents.
After the approval of any Contract schedule or report required by this Section 4.0, no changes shall
be made without the prior written approval of the Authority.
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4.10 Schedule Control Procedures
Procedures for schedule control shall be included in Design-Builder’s Project Management Plan as
part of the internal plan of implementation and reporting requirements. Following are three key
elements that must be part of Design-Builder’s schedule control system:
A. Monitoring/reporting system;
B. Performance measurement system; and
C. Schedule review/forecast.
After the approval of any Project schedule, no changes shall be made without the explicit prior
concurrence of the Authority.
4.11 Effect of Schedule Reviews
Any review or approval by the Authority of the Baseline Schedule or Current Project Schedules
submitted by Design-Builder shall only mean that in the opinion of the Authority, the Baseline
Schedule or Current Project Schedule is an accurate record of progress to date and an indication of
Design-Builder’s intent.
If the format and/or content of the Baseline Schedule or any Current Project Schedule submitted by
Design-Builder is unacceptable to the Authority, Design-Builder shall revise the Baseline Schedule
or Current Project Schedule, respectively, and resubmit as necessary until approved by the
Authority.
4.12 Progress Photographs
Within 30 days after Notice to Proceed, and monthly thereafter, ending with the date of Substantial
Completion of the Work, Design-Builder shall have approximately 10 digital color photographs taken
of Project facilities at each future light rail station area depicting Project construction progress.
Design-Builder shall submit the photographs until the work presented on the photographs is
complete for the Authority’s review and approval along with the number of photographs and written
description of each photograph location. Unless otherwise agreed by the Authority, the same
number of photographs of the same views must be taken for each subsequent set of photographs.
Design-Builder shall submit a DVD containing the photographs, and a PDF file cataloging the
photographs included on the DVD, with each payment request. This catalog file shall be printable in
color on 8½” x 11” paper with each page containing two photographs with written description. Two
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hardcopies of the catalog file shall be submitted monthly with each DVD. The DVD shall be marked
with the month the pictures were taken.
4.13 Rain Days and Weather
There shall be no adjustment to a Completion Deadline or Contract Price as a result of rain or other
inclement weather.
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5.0 QUALITY MANAGEMENT
This Section 5.0 defines the Project quality control/quality assurance plan (QCQAP) requirements
intended to ensure compliance with the Contract Documents, applicable regulatory requirements
and industry standards. The QCQAP, supported by specific and detailed procedures, describes the
processes and responsibilities intended to ensure the design, construction, procured equipment and
materials, installation and testing will comply with all Contract Documents. Design-Builder shall
provide a design QC/QA manager and a construction QC/QA manager responsible for
implementing the QCQAP.
5.1 Quality Control/Quality Assurance Plan
Design-Builder shall develop a quality control/quality assurance plan (QCQAP) for the Work and
implement the QCQAP within its organization and within Subcontractor organizations of all tiers.
The QCQAP shall ensure that the design, construction and manufacturing of all facilities and
equipment to be provided under this Contract will comply with the requirements of the Contract
Documents and that all materials incorporated in the Work, as well as all elements of the Work will
meet or exceed the standards in the Contract Documents and perform their intended purpose.
Quality control (QC) comprises the actions related to the physical characteristics of a material,
system, piece of equipment, or element of the Work and provides a means to control the quality of
the materials, equipment and elements of the Work to ensure conformity in all respects to the
requirements of the Contract Documents. Quality assurance (QA) comprises the actions related to
oversight and documentation of quality of material, system, piece of equipment, or element of the
Work, and provides the quality control elements to ensure conformity in all respects to the
requirements of the Contract Documents.
Design-Builder is responsible for quality control and first tier quality assurance and will provide
office and field staff necessary to perform such oversight. The Authority is responsible for second
tier quality assurance, which consists mainly of verifying that Design-Builder is performing effective
quality control and assurance activities, and that Design-Builder is properly documenting the quality
of the Project in accordance with Design-Builder’s approved QCQAP.
5.1.1 Quality Control/Assurance Plan
Design-Builder’s QCQA procedures shall be set forth in the QCQAP. In preparing the QCQAP
Design-Builder shall utilize ISO 9001, and other applicable sections of ISO 9001-9004, as a
guideline. The approved QCQAP shall be a “living” document and supplemented as required with
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new aspects of the Work. The plan shall include written descriptions of QC and QA policies,
procedures, methods and instructions and shall discuss the interface with the Authority’s quality
program. Each Subcontractor shall agree, in writing, to fully comply with the applicable section or
sections of the approved QCQAP.
5.1.1.1 QCQAP Submittal Requirements
Design-Builder shall submit to the Authority for approval, within 30 days after the issuance of Notice
to Proceed, Part One of the QCQAP. Part One of the QCQAP shall address topics pertaining to
how the quality control system and standards will be set for the Work to be performed on-Site and
off-Site; identify key quality control activities, deliverables and milestones keyed to the proposed
Baseline Schedule; provide a complete list of all references and/or procedures to be developed for
QC/QA of the Work for inclusion in Part Two and Part Three of the QCQAP; and address Design-
Builder and/or Subcontractors’ planned approach to perform any additional activities/functions
unique to the Work. Design-Builder shall also include in Part One of the QCQAP, the use of
internal standards on quality, which it shall use to develop quality programs for specific Work
activities such as software, design dependability, services and processed materials.
Design-Builder shall submit to the Authority for approval, within 60 days after Notice to Proceed, a
proposed Part Two of the QCQAP. Part Two shall include detailed procedures for the design and
construction phases of the Work including management responsibility; quality system; contract
review; design control including configuration management; document and data control; purchasing;
control of customer-supplied product; product identification and trace-ability; process control,
inspection and testing; control of inspection, measuring and test equipment; inspection and test
status; control of nonconforming products; corrective and preventive action; handling, storage,
packaging, preservation and delivery; control of quality records; training, servicing, and statistical
techniques sections.
Design-Builder shall submit to the Authority for review and approval, within 90 days after Notice to
Proceed, a proposed Part Three of the QCQAP. Part Three shall include detailed procedures for
the material, equipment and all other elements of the Work, including management responsibility;
quality control system; contract review; design control including configuration management;
document and data control; purchasing; control of customer-supplied product; product identification
and traceability; process control, inspection and testing; control of inspection, measuring and test
equipment; inspection and test status; control of nonconforming product; corrective and preventive
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action; handling, storage, packaging, preservation and delivery; control of quality records; training,
servicing, and statistical techniques sections.
5.1.1.2 Supplements to QCQAP
After approval by the Authority of the QCQAP, Design-Builder shall not revise the QCQAP without
the prior written approval of the Authority. Design-Builder shall submit to the Authority, at least 60
days prior to start of any new activities, supplements to Part Two or Part Three of the QCQAP,
defining exact details of new activities.
5.1.2 Meetings
Prior to submitting each part of the QCQAP, Design-Builder shall meet with the Authority to discuss
the QCQAP requirements and to develop a mutual understanding of the requirements of the
QCQAP. After submitting each part of the QCQAP, Design-Builder shall meet with the Authority to
develop a mutual understanding of the details of the QCQAP, including forms to be used for
documentation, administration for on-Site and off-Site Work, and the coordination of Design-
Builder’s Project management, design, construction and QC and QA staff with the Authority. At a
minimum, Design-Builder’s staff required to attend each meeting shall include Design-Builder’s
senior management (i.e., a higher level than Design-Builder’s Project Manager), Project Manager,
and design and construction QC/QA managers.
5.2 Quality Control/Quality Assurance Plan – Part One
Part One of the QCQAP shall include, at a minimum, the following:
A. A description of the QC/QA organization, including the number of full-time equivalent
employees with specific QC/QA responsibilities and including a chart showing lines of
authority and reporting responsibilities and relationships to the Authority’s organization,
Design-Builder’s design staff and construction staff. This description shall also include a
responsibility matrix showing who will review and approve Shop Drawings, material
submittals, design and construction phases, and who will perform and document the
testing;
B. The Persons and organizations performing QC/QA functions shall have authority and
organizational freedom to identify quality problems, and to initiate, recommend, provide
and verify implementation of solutions. Persons performing QC/QA functions shall be
separate and independent from any other functions, and shall be at an organizational
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level that ensures that they are not subjected to conflicting influences, as their activities
may impact the Current Project Schedule or costs resulting from implementation of
QC/QA measures. In this regard, the respective quality manager shall have direct
access to Design-Builder’s senior management (i.e., a higher level than Design-Builder’s
Project Manager) and shall provide periodic reports directly to senior management.
Furthermore, the compensation paid to quality control personnel shall not include any
bonuses or other financial incentives tied to Project’s financial performance;
C. The duties, responsibilities and authority of each Person proposed to be assigned a
QC/QA function, as well as the individual to which he/she reports, shall be identified by
Design-Builder. All Persons proposed to be assigned to QC or QA duties shall be
qualified, experienced and proficient in QC and QA activities. All personnel performing
QC/QA functions, as well as those Persons assigned to construction QC/QA duties, shall
be exclusively designated to such duties and shall not be assigned to perform any other
work. Persons in the Design QC/QA function shall have a minimum of five years
experience, shall be qualified in the disciplines being reviewed, and shall certify that the
documents reviewed meet the requirements set forth in the Contract Documents. These
individuals shall be professional engineers registered in the State of California, report to
the design QC/QA manager, and maintain contact with the Authority for the purpose of
providing up to date, accurate design status with emphasis given to deviations from the
Contract Documents. Construction inspectors shall be independent third party
inspectors (i.e. a Subcontractor) with a minimum of five years of experience and shall be
qualified in the disciplines being inspected. These individuals shall report to the
construction QC/QA manager and maintain contact with the Authority for the purpose of
providing up to date, accurate construction status with emphasis given to deviations from
the Contract Documents and corrective actions taken. There shall be a sufficient
number of field inspectors to monitor all work occurring on the Site. At a minimum, field
inspectors in the following construction disciplines shall be identified: Civil, structural,
geotechnical, electrical and mechanical.
The Authority reserves the right to require changes in the QC/QA organization and how
it functions as necessary to ensure the specified quality of the Work. The Authority
reserves the right to interview any member of Design-Builder’s QC/QA organization at
any time in order to verify qualifications. The Authority reserves the right to reject any
member of Design-Builder’s QC/QA organization at any time during the Project should
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that Person’s performance and qualifications not be compatible with the role of that
Person in the QCQAP, and require a qualified replacement within seven days;
D. Design-Builder shall provide the Authority with a letter signed by senior management of
Design-Builder appointing design and construction QC/QA managers and stating that
they are responsible for managing and implementing the QCQAP; include in this letter
the design and construction QC/QA managers’ authority to interpret and manage the
QCQAP to identify and evaluate the required correction of any and all quality control
related problems, verify implementation and its effect, to control further processing or
shipment of nonconforming material, products or work, and to hire, assign and remove
staff members. The design and construction QC/QA managers shall report directly to
senior management of Design-Builder, and the Authority. The design and construction
QC/QA managers shall certify that all interfaces of the various disciplines have been
reviewed and approved as required, and that all levels of production and fabrication
integration have been reviewed and found to produce a final product which is in
compliance with the requirements set forth in the Contract Documents. The design and
construction QC/QA managers shall have the authority of all staff changes, both
increases and decreases, measuring the effectiveness of the program, stopping the
Work, and evaluating the number of positions to adequately perform the duties of the
organization. The design and construction QC/QA managers shall each have a
minimum of 10 years relevant experience as a QC/QA manager, or a project manager,
or a project resident engineer on similar size and type of construction contracts which
include the major trades that are part of this Contract;
E. Procedures for the presentation, preparation and checking of submittals, including those
of Subcontractors, off-Site fabricators, suppliers and purchasing agents;
F. A description of QC/QA actions such as checking, inspection and testing, including
frequencies and procedures for each type of action that verify activities affecting the
quality of the Work have been correctly performed and meet all requirements set forth in
the Contract Documents;
G. Procedures to be followed by Subcontractors to ensure the quality of the Work provided
by them and that all such Work shall be in compliance with the QCQAP; and
H. Reporting and documentation procedures, including proposed reporting formats.
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5.3 Quality Control/Quality Assurance Plan – Part Two
5.3.1 Minimum Requirements
Part Two of the QCQAP shall be developed to ensure that all Design Documents and Construction
Documents shall be prepared in accordance with good, prudent and generally approved design and
engineering practice, and shall meet all requirements of the Contract Documents. Additionally, Part
Two of the QCQAP shall include:
A. The QC/QA procedures for each type of Design Document and Construction Document
specified by the requirements set forth in the Contract Documents, all of which shall be
organized by engineering discipline. These procedures shall specify measures to be
taken by Design-Builder to: (1) ensure that appropriate quality standards are specified
and included in the Design Documents and Construction Documents and to control
deviations from such standards so that no deviations from such standards shall be made
unless they have been previously approved by the Authority in writing at the Authority’s
sole discretion; and, (2) for the selection and review for suitability of all materials,
equipment and elements that are included in the Project;
B. Specific QC procedures for preparing and checking all plans, calculations, drawings and
other items submitted, to ensure that they are independently checked and back-checked
in accordance with generally accepted engineering practices, by experienced engineers.
The originator, checker, and back-checker shall be clearly identified on the cover sheet
of all submittals. Specific procedures for verifying computer programs used shall also be
included. Plans, reports, and other documents shall be stamped, signed, and dated by
the responsible California registered engineer where required by the Contract
Documents, generally accepted engineering practices, or applicable Governmental
Rules.
As a part of the submittal for the final plans, Specifications and estimate approval,
Design-Builder shall submit multiple copies of final design calculations and multiple
copies of final design checked calculations independently checked and compliant with
the latest version of the Office of Special Funded Projects, EFPB Information and
Procedures Guide;
C. The level, frequency and methods of review of the adequacy of the design of the Project,
including the methods by which all final Design Documents and Construction Documents
shall be independently reviewed, verified for adequacy of design and back-checked in
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accordance with generally accepted design and engineering practice by experienced
engineers not involved with the preparation of such documents;
D. Procedures for coordinating the Work performed by different Persons in the same area,
or in adjacent areas or in related tasks to ensure that conflicts, omissions or
misalignments do not occur between drawings or between the drawings and the
Specifications, and to coordinate the review, approval, release, distribution, and revision
of documents involving such Persons;
E. Procedures to (1) ensure that all personnel performing the Work are familiar with all
requirements of the Contract Documents pertaining to their responsibilities, including all
referenced standards; (2) for the education, training, and certification as appropriate, of
personnel performing activities affecting or measuring quality of the Work to ensure that
they achieve and maintain reasonable proficiency; and (3) ensure that all the Work is
performed according to the QCQAP;
F. Those elements of the requirements set forth in the Contract Documents, Design
Documents or Construction Documents, if any, requiring special QC attention or
emphasis, including applicable standards of quality or practice to be met, level of
completeness and/or extent of detailing required;
G. By discipline, the name, qualifications, duties, responsibilities, and authorities for all
Persons proposed to be responsible for design and construction QC and QA;
H. Any requirement for, and the name, qualifications, duties, responsibilities, and authorities
of, external technical experts necessary to ensure the quality of the design of the
Project, and the anticipated timing of use of, the expected availability of, and any
coordination required with respect to, any such experts;
I. The resources required for the design QC functions, including proposed specific timing,
manpower and resource requirements, including scheduled QC activities, identifying all
submittals to be delivered to the Authority for its review at each stage of the design of
the Project;
J. The requirements for documentation; for the filing of design criteria, daily inspection
reports and notes, calculations, drawings, schematics, supporting materials, etc; and for
the specific responsibilities of personnel to satisfy these requirements. All such Design
Documents shall be maintained by Design-Builder for the duration of the Contract, and
shall be organized, indexed and delivered to the Authority upon Final Acceptance unless
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equired to be delivered earlier pursuant to the requirements set forth in the Contract
Documents, or even if incomplete, within seven days of receipt of request by the
Authority; and
K. Identification of the QA personnel, audit procedures, and documentation designed to
verify compliance with quality assurance provisions of the QCQAP.
5.3.2 Review of Design Work
Submissions of drawings, Specifications and computations shall be accompanied by documentation
confirming that Design-Builder has fully applied and followed the approved QCQAP. This
documentation shall include all appropriate reports, drawings, schematics, calculations, tables, plan
sheets, etc., and evidence that all checking, revising, back-checking and other QC and QA reviews
were properly performed. Design-Builder’s design QC/QA manager shall provide with each design
review submittal a written certification that the submittal complies with the QCQAP in all respects,
unless exempted by prior written authorization from the Authority. Documentation of conformity to
the QCQAP is a requisite element of each submittal, and design review submittals not accompanied
by sufficient verification of the application of QCQA procedures will be returned to Design-Builder.
5.3.3 Design Quality Review
Prior to the submittal of final Design Documents to the Authority and prior to finalization of
Construction Documents, Design-Builder shall complete a review with engineers experienced in the
appropriate discipline(s) to verify that the Design Documents and Construction Documents were
prepared in such a manner as to ensure that they will be acceptable to the Authority, as well as
Design-Builder. The criteria used in such review shall include (1) conformity of the final Design
Documents and Construction Documents with the requirements set forth in the Contract
Documents; (2) confirmation that all materials, equipment and elements of the Work provided for in
such documents which shall be incorporated into the Project have been provided for and designed
to perform satisfactorily for the intended purpose; (3) the appearance, organization, technical and
grammatical accuracy of such documents; (4) verification that such documents have been checked
and signed by the drafter, designer, checker and reviewers; (5) where required under the Contract
Documents, generally accepted architectural or engineering practices or applicable Governmental
Rules, verification that such documents have been stamped, signed and dated by the responsible
California registered engineer; and (6) certification that such documents fully provide for
constructability, compatibility of materials and conformity to acceptance criteria for inspections and
tests as provided in the Contract Documents.
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The Authority shall have the right to review the Design Documents at any time to determine that the
requirements of the QCQAP are being met. Design Documents that do not conform to the
approved QCQAP shall be brought into conformity by Design-Builder before being sent to the
Authority for further review.
5.3.4 Design Changes
Changes, including shop or field changes, in the design of the Project or any portion thereof as
shown on the final Design Documents shall require an approved Change Order as a condition
precedent to the effectiveness thereof, and shall be subject to design QC and QA measures and
procedures commensurate with those applied to the original design of that portion of the Project
being changed. Furthermore, all changes described in this Section 5.3.4 shall be approved in
writing by the organization that performed the original design unless the Authority allows, in writing,
another responsible organization to approve such changes.
5.3.5 Organization and Indexing of Design and Construction Documents
Within 30 days of approval by the Authority of the complete final design of the Project, Design-
Builder shall provide the Design Documents organized and indexed in accordance with the
document and data control system, consistent with the approved QCQAP.
5.3.5.1 Preparation and Delivery of Construction Documents
Design-Builder shall be responsible for preparation of all Construction Documents which shall show
the general arrangement, and such details as are necessary to provide a comprehensive
description, of the Work to be performed. Design-Builder shall ensure that the Construction
Documents are consistent with the Design Documents, the requirements of the QCQAP and other
requirements set forth in the Contract Documents. Design-Builder shall deliver Construction
Documents to the Authority as provided herein.
5.3.5.2 Representation by Design-Builder
By approving Construction Documents, Design-Builder thereby represents that it has determined
and verified field measurements, field construction criteria, materials, catalog numbers, and similar
data, or will do so, and that it has checked and coordinated each Construction Document with the
requirements of the Contract Documents.
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5.3.5.3 Construction Document Requirements
Design-Builder shall prepare all Construction Documents required for the completion of the Work in
accordance with the Contract Documents.
Shop Drawings for steel structures shall consist of shop, erection, and other drawings, showing
details, dimensions, sizes, and other information necessary for the complete fabrication and
erection of the metalwork. Shop Drawings for concrete structures shall consist of such additional
detailed drawings as may be required for the prosecution of the Work and must include drawings of
falsework, bracing, centering, form work, concrete reinforcement and masonry layout diagrams.
Design-Builder shall check completely the bar lists and details of reinforcement steel shown on the
plans and shall submit complete Shop Drawings for the reinforcement steel to the Authority for
information. Material specification designations for the various components of the structures shall
be noted on the drawings. Shop Drawings shall include fabrication and erection drawings, schedule
drawings, manufacturer’s scale drawings, wiring and control diagrams, cuts of entire catalogs,
pamphlets, descriptive literature, performance and test data.
Working Drawings shall include plans for temporary structures such as decking, temporary
bulkheads, support of excavation, support of Utilities, groundwater control systems, and forming
and false-work for underpinning and for such other work as may be required for construction but
which does not become an integral part of the completed Project. They shall be accompanied by
calculations or other sufficient information to completely explain the structure or system described
and its intended manner of use.
Design-Builder shall prepare all Working Drawings and Shop Drawings on sheets measuring 22
inches by 34 inches unless otherwise approved by the Authority. In all cases, the Shop Drawings
and Working Drawings shall be to a scale sufficiently large to show all pertinent aspects of the item
and its method of connection to the Work. Design-Builder shall provide each drawing with a blank
area five inches by five inches, located adjacent to the title block. The title block shall display the
following:
A. Contract number and name;
B. Number and title of the drawings;
C. Date of drawing and revision number;
D. Name of Design-Builder and Subcontractor submitting drawing;
E. Clear identification of contents and location of the Work;
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F. Specification reference number;
G. Name, California State registration number and seal of professional engineer certifying
the drawings, if engineering computations are involved or if original design work is
depicted; and
H. Submittal number.
Design-Builder shall coordinate drawings for the Work on Utilities, streets and other facilities,
structures, etc., that are constructed for others so that the information required by these other
entities is included on the Working Drawings.
5.4 Quality Control/Quality Assurance Plan – Part Three
Part Three of the QCQAP shall identify all materials, equipment and all elements of the Work, as
well as the individuals and organizations performing any functions under the QCQAP, and shall
provide control over all activities affecting the quality of all such materials, equipment and elements
of the Work.
5.4.1 Contents of Plan
Part Three of the QCQAP shall:
A. Specify procedures to ensure that all activities affecting the quality of the Work will be
accomplished under suitably controlled conditions, using appropriate equipment, with
confirmation that all prerequisites to the proper accomplishment of a given task have
been satisfied;
B. Specify procedures that ensure that (1) all Design-Builder personnel are familiar with all
requirements of the Contract Documents pertaining to their responsibilities, including the
standards referenced in the Contract Documents, (2) the education, training and
certification, as appropriate, of personnel performing activities affecting or verifying
quality of the Work are of reasonable proficiency, and (3) all Work is performed
according to the QCQAP;
C. Describe specific procedures to be followed by Design-Builder to ensure that all the
Work conforms to all the requirements of the Contract Documents (including the final
Design Documents) and the Construction Documents; and, that all materials, equipment
and elements of the Work to be incorporated in the Project will perform satisfactorily for
the intended purpose. The QCQAP shall specifically include Design-Builder’s
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procedures for inspecting, sampling, testing and checking the Work (including initial and
source testing, and work performed by Subcontractors) in accordance with the
requirements of the Contract Documents;
D. Specify that all activities undertaken by or on behalf of Design-Builder affecting quality of
the Work shall be prescribed by documented instructions, procedures and/or drawings of
a type appropriate to the circumstances and shall be accomplished in accordance with
these instructions, procedures or drawings. Such instructions, procedures and drawings
shall include quantitative and/or qualitative criteria as appropriate to be used to
determine that all activities have been satisfactorily accomplished;
E. Specify measures to control the issuance of and changes to documents, which prescribe
activities affecting quality, such as instructions, procedures and drawings. These
measures shall confirm that approved documents, including all authorized changes
thereto, are reviewed for adequacy and approved for release by authorized personnel
and are distributed to and used at the location where the prescribed Activity is
performed. Changes to documents shall be reviewed and approved by the same
organizations that performed the original review and approval unless the Authority
allows, in writing, another responsible organization to perform such reviews and
approvals;
F. Specify measures to verify that purchased materials, equipment and services conform to
the requirements set forth in the Contract Documents, including the final Design
Documents and the Construction Documents. These measures shall include provisions,
as appropriate, for evaluation and selection, objective evidence of quality furnished by
Subcontractors, inspection at the manufacturer or vendor source, and examination of
products upon delivery. Documentary evidence that material and equipment conform to
the procurement requirements shall be available at the jobsite no less than 24 hours
prior to installation or use of such material and equipment. This documentary evidence
shall be retained at the jobsite and shall be sufficient to identify the specific
requirements, such as the requirements set forth in the Contract Documents, applicable
Governmental Rules, standards or Specifications, met by the purchased material and
equipment. The effectiveness of the control of quality by Design-Builder’s own forces
and Subcontractors shall be assessed by Design-Builder at intervals consistent with the
importance, complexity and quantity of the product or services;
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G. Specify procedures to provide for adequate notice and opportunity for prior inspection by
the Authority and applicable third parties for any Work done or materials used;
H. Specify procedures for identification and control of materials, equipment and elements of
the Work. These procedures shall ensure that identification of the item is maintained by
appropriate means, either on the item or on records traceable to the item, as necessary,
throughout fabrication, assembly, erection, installation and use of the item. These
identification and control procedures shall be designed to prevent the use of incorrect or
defective materials and equipment;
I. Specify procedures to ensure that materials, equipment or elements of the Work that do
not conform to requirements are not used or installed. These procedures shall include,
as appropriate, procedures for identification, documentation, segregation, disposition
and notification to the Authority and all other affected Persons, as well as procedures for
the Authority to review Non-Conforming Work, review proposed resolutions for Non-
Conforming Work, and accept, reject or require repair and/or reworking of Non-
Conforming Work;
J. Include a program for inspection and documentation of all the Work to be executed by or
for the organization performing the activity to verify conformity with the documented
instructions, procedures and requirements of Contract Documents applicable to such
Work. Such inspection shall be performed by individuals other than those who
performed the activity being inspected. Examinations, measurement and tests of
materials or elements of the Work shall be performed for each Work operation, where
appropriate, to confirm required quality has been achieved. Inspections shall be
performed at a frequency and timing which will prevent the placement or installation of
the work prior to covering or obscuring the work product requiring inspection;
K. Specify procedures for establishing construction hold points for the Work which require
witnessing and/or inspecting by Design-Builder’s designated representative, the
Authority, or applicable third party. Design-Builder’s construction quality manager shall
conduct meetings prior to new Work activities and new fabrication to establish hold
points and discuss approach with QC personnel, Subcontractors, and the Authority. The
approved Construction Work Plan, as discussed in Section 3.20.1, for a given activity
shall include the inspection hold point(s). At all hold points, Design-Builder shall not
proceed beyond that point until Design-Builder, Authority, and/or third party, as
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applicable, has completed such witnessing and/or inspecting or waived its right, in
writing, to witness and/or inspect the applicable Work;
L. Include a program to confirm execution of all testing required in the Contract Documents
to demonstrate that all materials, equipment and elements of the Work will perform
satisfactorily for the intended purpose and meet the standards specified in the Contract
Documents, including the final Design Documents. The program shall specify written
test procedures for all tests which incorporate the requirements and acceptance limits
contained in applicable final Design Documents and Construction Documents and which
include provisions for verifying that all prerequisites for the given test have been met and
that adequate test instrumentation is available and used. The program shall require test
results to be documented and evaluated to confirm that test requirements have been
satisfied. The test program shall be supplemental to any acceptance and assurance
testing as initiated, coordinated and directed by the Authority.
Provide a listing of independent testing laboratories to be used to perform sampling and
testing required by the Contract Documents. The proposed laboratory must possess
acceptable accreditation programs such as the National Institute of Standards and
Technology (NIST), National Voluntary Laboratory Accreditation Program (NVLAP), or
the American Association of State Highway and Transportation Offices (AASHTO)
program. All materials inspectors and testing personnel shall have current certifications
such as ACI, ICC, NISIT, AWS, etc. Specify procedures to ensure verification of
certificate of accreditation, scope of accreditation and testing methods, inspection of
testing laboratories, capability check and test results. The Authority reserves the right to
check laboratory equipment in the proposed laboratory and laboratory technician’s
testing procedures, techniques, and other items pertinent to testing, for compliance with
the standards set in the Contract Documents. Calibration and testing devices shall
maintain traceability to the National Institute of Standards (NIST). Design-Builder shall
furnish the signed reports, certifications, and other documentation to the Authority upon
request and furnish a summary report of field tests at the end of each month;
M. Specify measures to ensure that tools, gauges, instruments and other measuring and
testing devices used in activities affecting quality are properly maintained, controlled,
calibrated and adjusted at specified periods to maintain accuracy within necessary limits;
N. Specify procedures to control the handling, storage, shipping, cleaning and preservation
of materials and equipment to prevent damage or deterioration;
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O. Specify procedures to indicate, by the use of markings such as stamps, tags, labels,
routing cards or other suitable means, the status of inspections and tests performed
upon individual items of the Work. These procedures shall provide for the identification
of items, which have satisfactorily passed required inspections and tests, where
necessary to preclude inadvertent bypassing or duplication of such inspections and
tests;
P. Specify procedures to ensure that conditions adverse to quality, such as failures,
malfunctions, deficiencies, defective material and equipment, deviations and other Non-
Conforming Work are promptly identified and corrected. In case of significant conditions
adverse to quality, the procedures shall ensure that the cause of the condition is
determined and corrective action taken to preclude repetition. The identification of the
significant condition adverse to quality, the cause of the condition, and the corrective
action taken shall be documented and reported to appropriate levels of Design-Builder’s
management to ensure corrective action is promptly taken, and to the Authority;
Q. Provide for measures ensuring compliance with all QC procedures recommended by the
testing manufacturer, and providing that any other QC procedures in addition to or which
serve as a substitute for the manufacturer’s procedures; and
R. Provide a documented procedure for establishing and maintaining facilities and
equipment.
5.4.2 Review of Construction Work
Submissions of drawings, Specifications, reports, certifications and computations shall be
accompanied by documentation confirming that Design-Builder has fully applied and carried out the
approved QCQAP. This documentation shall include Shop Drawings and Working Drawings, test
reports, approvals and permits for the use of land, Site, premises, and Utilities etc., and evidence
that all checking, revising, back-checking and other QC/QA reviews were properly performed.
Documentation of conformity to the QCQAP is a requisite element of each submittal, and
construction review submittals not accompanied by sufficient verification of the application of
QC/QA procedures will be returned to Design-Builder. Design-Builder’s construction QC/QA
manager shall provide with each submittal a written certification that the submittal complies with the
QCQAP in all respects, unless exempted by prior written authorization by the Authority. Design-
Builder shall retain a separate construction management (CM) firm (Subcontractor) to perform
quality assurance and quality control during construction and quality assurance during Final Design.
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The CM firm shall have at least 10 years experience performing constructability reviews, inspection,
and oversight on similar parking facilities projects.
5.4.2.1 Construction Inspection and Quality Assurance
Design-Builder’s construction QC/QA manager shall notify the Authority at least one week in
advance of the construction preparation phase and start-up phase of each Work element. The
construction QC/QA manager shall meet with appropriate key inspection staff and the construction
staff for the disciplines affected to perform and document the following:
A. Review applicable requirements set forth in the Contract Documents and Design-
Builder’s Specifications;
B. Review applicable Contract Documents and Shop Drawings and Working Drawings;
C. Verify that appropriate drawings and submittals for materials and equipment have been
submitted, and approved factory test results are received and on file;
D. Review the testing plan and ensure that provisions have been made to provide required
QC testing;
E. Examine the Work area to ensure that the required preliminary Work has been
completed;
F. Examine the required materials, equipment and samples to ensure that they are on hand
and conform to the approved drawings and submittals;
G. Review the Safety plan and appropriate activity hazard analysis to ensure that applicable
Safety requirements are met;
H. Discuss construction methods;
I. Establish the quality of workmanship required; and
J. Perform a constructability review of the final design.
During on-going construction Work, construction QC/QA manager shall require each inspector to
document the following minimum activities on a daily inspection report, or more frequently, as
necessary until the completion of each Work element:
K. Document the Work, Work progress, personnel and equipment on a daily basis using
forms agreed to by the Authority;
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L. Document specific inspections performed utilizing a discipline specific checklist and
include the results of such inspections;
M. Inspection criteria and design/construction documents used to perform inspections; and
N. Documentation that non-conforming items are resolved and rework items are corrected
in accordance with approved methods.
The Authority shall have the right to review or audit the Work, processes and procedures at any
time to determine that the requirements of the QCQAP are being met. The Work, processes and
procedures that do not conform to the QCQAP will be issued a Non-Conformance Report (NCR)
and shall be corrected by Design-Builder.
5.4.3 Non-Conforming Work
A. Non-Conforming Work is the Work that does not conform to the requirements of the
Contract Documents. Upon discovery of Non-Conforming Work, Design-Builder’s
inspection staff and the Authority has the right to direct Design-Builder to immediately
cease performance of the Non-Conforming Work. In the event finished work quality is in
doubt or believed to be non-conforming, the Authority may require Design-Builder to
expose, remove or uncover such portions of the finished construction Work to verify
conformity or necessary corrective actions. After examination by the Authority, Design-
Builder shall restore the Work to the standard required by the Contract Documents;
B. If the Work exposed or examined is not in conformity with the requirements of the
Contract Documents, then the cost of uncovering, removing, and restoring the Work, and
the cost of recovery of any delay to any Critical Path occasioned thereby shall be at
Design-Builder’s expense. Furthermore, any Work done or materials used without
adequate notice and opportunity for prior inspection by the Authority, Utility Owner, or
Persons having jurisdiction, as required per the approved QAQCP, may be ordered
uncovered, removed, or restored at Design-Builder’s expense, even if the Work proves
acceptable after uncovering;
C. Except with respect to the Work done or materials used as described in Section 5.4.3.B,
if the Work exposed or examined is in conformity with the requirements of the Contract
Documents, as determined by the Authority, then any delay in any Critical Path from
uncovering, removing, and restoring the Work shall be considered an Authority-Caused
Delay, and Design-Builder shall be entitled to a Change Order, if applicable, for the cost
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of such efforts and recovery of any delay to any Critical Path occasioned thereby,
subject to the provisions of Volume 2- Contract. Design-Builder shall promptly take all
action necessary to prevent similar deficiencies from occurring in the future;
D. The fact that the Authority may not have discovered the Non-Conforming Work shall not
constitute an acceptance of such Non-Conforming Work. If Design-Builder fails to
correct (or to substantially begin correction of) any Non-Conforming Work within 10 days
of receipt of notice from the Authority requesting correction or if Design-Builder fails to
diligently prosecute the correction of any Non-Conforming Work, then the Authority may
cause the Non-Conforming Work to be remedied, or removed, and replaced, and may
deduct the cost of doing so from any moneys due, or to become due, to Design-Builder
and/or obtain reimbursement from Design-Builder for such cost; and
E. It is imperative that Design-Builder understand that they must provide both Quality
Control and first tier Quality Assurance on the Project and all non-conforming issues
shall be addressed at Design-Builder’s QA level. Repeated non-conformance issues
discovered by the Authority points to a systemic failure with Design-Builder’s QCQA
procedures or staff performance and the Authority reserves the right to make necessary
and immediate corrections, therefore, at Design-Builder’s expense. The procedures for
correction of Non-Conforming Work shall be set forth in the QCQAP.
5.4.4 Construction Changes
Changes, including shop or field change, in the construction of the Project or any portion thereof as
shown on the final Construction Documents, shall require an approved Change Order as a
condition precedent to the effectiveness thereof, and shall be subject to construction QC/QA
measures and procedures commensurate with those applied to the original construction of that
portion of the Project being changed.
5.5 Documentation Quality Control and Quality Assurance
Design-Builder shall implement an electronic database program documenting QC and QA activities
on the Project. The database program shall categorize inspections by Work type (for example CSI
codes) and provide for a trending analysis of Non-Conforming Work by Work type. The program
shall include all data required for the Work, as well as all communications among Design-Builder’s
QCQA organization, design organization, construction organization, all Subcontractors regardless
of the tier, and the Authority. Design-Builder shall maintain complete and detailed records of QC
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and QA activities and accountability including all QCQA operations, inspections, activities and tests
performed. The records shall require a formal, logical numbering system, and a continuously
updated index. The records and program maintenance shall be subject to the Authority’s inspection
and audit at any time. These records shall remain complete and available to the Authority at all
times during the performance of the Contract and until expiration of the Warranty. Such records
shall include any delays encountered and the Work noted that does not conform to the
requirements of the Contract Documents (including the final Design Documents) and/or the
Construction Documents, together with the corrective actions taken regarding such Work. Such
records shall include a monthly written certification by the construction QC/QA manager, delivered
to the Authority by the fifteenth day of the following month; that the QCQAP and all of the measures
and procedures provided therein are functioning properly and are being fully complied with. In
addition, such records shall include factual evidence that required activities or tests have been
performed and shall describe:
A. Type, number and results of QC and QA activities, including reviews, inspections,
factory acceptance and field verification tests, audits, monitoring of work performance
and materials analysis;
B. Closely-related data such as qualifications of personnel, procedures and equipment
used;
C. The identity of the inspector or data recorder, the type of test or observation employed,
the results and the acceptability of the Work and action taken in connection with any
deficiencies noted;
D. Nature of Non-Conforming Work, causes for rejection, etc;
E. Proposed corrective action;
F. Corrective actions taken;
G. Results of corrective actions; and
H. Current Project Schedule impact.
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6.0 CONTRACT MEETINGS
Design-Builder shall have in attendance, staff with the appropriate technical skills and decision-
making authority at Project meetings. Subcontractors, materials suppliers, and others may be
invited to attend Project meetings when warranted, but Design-Builder shall remain wholly
responsible for proper procedure and representation regarding Project meetings.
Design-Builder shall prepare and update a master meeting calendar that clearly identifies all
scheduled Project-related meetings, including community and third party meetings (such as with
municipal agencies). The calendar shall be updated at least weekly, and shall show all meetings
scheduled for the next four weeks, as a minimum. Per agreement with the Authority, the calendar
shall be made available via electronic mail, hard copy distribution, and/or on a website. Design-
Builder shall provide the Authority with a minimum of 48 hour notice (to the maximum extent
practicable) of invitation to meetings.
Design-Builder shall prepare an agenda for each meeting and distribute it to each of the
participants. To the maximum extent practicable, the Authority will advise Design-Builder at least
24 hours in advance of a scheduled meeting regarding items the Authority wishes to have placed
on the agenda.
Unless otherwise specified in the Contract Documents, Design-Builder shall prepare minutes of all
meetings and submit them to the Authority within two Working Days after the meeting, and the
Authority shall have two Working Days to review the minutes and request revision to the minutes.
Within two Working Days following comment thereon by the Authority, Design-Builder shall deliver
copies of the meeting minutes with the Authority’s comments to each meeting attendee and others
designated by the Authority.
6.1 Project Kick-Off Meeting
The Project kick-off meeting shall be held within seven Working Days after receipt of the Notice to
Proceed at a location and time mutually agreed to by Design-Builder and the Authority. The
agenda for this meeting shall include initial discussions regarding Safety, quality, design,
communications, and the Baseline Schedule.
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6.2 Weekly Project Coordination and Progress Meeting
Weekly Project coordination and progress meetings shall be held starting on a date and time
mutually agreed by the Authority and Design-Builder. Design-Builder shall keep a running log of
action items. The agenda of the meeting shall include the following:
A. Project Management
1. Safety
2. Quality
3. Schedule
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4. Overall status of the Project
5. Critical items to be resolved
B. Communications Program
1. Activities conducted in the last period
2. Community concerns/issues log (including actions taken to respond and
resolve concerns)
3. Updates to the stakeholder database
4. List of activities to be conducted in the coming weeks
C. Third Party Management
1. Status of interface coordination with Alignment Contractor
2. Status of utility work including abandonments and relocations
3. Schedule of meetings with third parties during the next three-week period
D. Design Management
1. Design submittal status and log, with emphasis on those submittals required
over the next 30 day period
2. Design Request for Information (RFI) status and log
3. Design status
4. Critical design issues to be resolved
E. Construction Management
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1. Construction submittal status and log;
2. Construction Request for Information (RFI) status and log
3. Work completed during the previous period (refer to the three week rolling bar
chart schedule discussed below)
4. Work scheduled during the next three-week period (refer to the three week
F. Change Order Status
rolling bar chart schedule discussed below)
1. Change Order status and log
2. Potential Claim status and log
The design management portion of the meeting shall be conducted by Design-Builder’s Design
Manager and attended by the appropriate members of Design-Builder’s staff, including required
Subcontractors and Design-Builder’s Construction Manager.
The construction management portion of the meeting shall be conducted by Design-Builder’s
Construction Manager and attended by the appropriate members of Design-Builder’s staff, including
required subcontractors and Design-Builder’s Design Manager. Prior to the weekly meeting,
Design-Builder shall prepare for presentation at the meeting a three week rolling bar chart
schedule. The three week rolling bar chart schedule shall be based on the Current Project
Schedule, and include activities that are planned in this ‘window’ of time, i.e., the previous week
plus three weeks ahead. The three-week rolling schedule shall include activities that are recently
completed, in-work, planned to start, and planned to complete. The bar chart schedule shall show
at a minimum the activity ID as defined on the Baseline Schedule or Current Project Schedule, as
applicable, description, early/actual starts and finishes, original and remaining duration and Float
sorted by the approved work breakdown structure (WBS).
6.3 Baseline Schedule and Current Project Schedule Meetings
Baseline Schedule and Current Project Schedule meetings shall be held in accordance with Section
4.0.
6.4 Utility Owner Meetings
Design-Builder shall hold coordination meetings with each Utility Owner as required in order to
expeditiously perform the Utility Work, and shall determine, in conjunction with each Utility Owner,
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the schedule for design and construction of all Utility Work affecting their facilities. Design-Builder
shall invite Authority to all meetings with Utility Owners and indicate on the meeting notice whether
or not Authority’s participation is requested; however, Authority may participate in such meetings as
Authority may elect. Design-Builder shall be responsible for providing meeting facilities unless
otherwise agreed.
6.5 Third Party Coordination Meetings
Design-Builder shall hold coordination meetings with each applicable Governmental Person and
applicable third party as required in order to expeditiously perform the Work. Design-Builder shall
invite Authority to all meetings with third parties and indicate on the meeting notice whether or not
Authority’s participation is requested; however, Authority may participate in such meetings as
Authority may elect.
6.6 Additional Meetings
Design-Builder shall participate in fire/life safety and security committee (FLSSC) meetings, safety
and security certification review team (SSCRT) meetings and various other essential meetings that
are occasionally scheduled.
Further, Design-Builder shall be responsible for holding any other meeting(s) required to facilitate
completion of the Project, unless specified otherwise in the Contract Documents. Authority may
participate in such meetings as Authority may elect.
Conversely, the Authority reserves the right to call impromptu meetings and schedule meetings, as
warranted based on Design-Builder’s performance, occurrence of unforeseen issues, and progress
of the Work.
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7.0 DOCUMENTATION
This Section 7.0 includes the requirements for preparation, maintenance, completion and
submission of drawings, Specifications, and other Project-related documents (“Record
Documents”).
7.1 Format of Documents
7.1.1 Electronic Formatting:
A. File names and titles shall not contain any special characters (e.g., %, &, /);
B. Submitted design documents shall be grouped into one of four categories: (1) drawings,
(2) specifications, (3) calculations, or (4) reports;
C. Design-Builder’s digital signature policy shall be approved by the Authority (Adobe
Digital Certificate, etc.);
D. Throughout the Project, documents submitted by Design-Builder shall be in PDF format
in which the text is recognizable (OCR converted). Whenever possible, documents shall
be direct-printed to PDF, such that the document is converted from the original program
(e.g., Microsoft Office, Microstation, etc.), opposed to printing and scanning;
E. Whenever possible, file sizes should be kept under 30 MB for ease of transfer;
F. Submittals shall reference the CDRL number, which is composed of the Contract
volume, document and section number. To develop the submittal number, Design-
Builder shall reference the Contract Document as described in the table below:
Volume Document Section
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Submittal Numbering System
Subsection
Item
Unique
# Submittal #
Example 1 3 1 08 01 03 01 3.1.08.01.03.01
Example 2 3 1 01 02 N/A 01 3.1.01.02.00.01
1. Within the submittal number, Contract Volume and Document numbers shall
Submittal
Description
Site Safety -
IIPP
Project
Management
Plan
contain one digit; and Contract Section, Subsection, Item and unique number
shall contain two digits.
G. Design-Builder shall submit to the Authority for review and approval a file naming
convention for other documents such as RFIs and Change Orders. Design-Builder shall
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account for revisions within the naming convention (e.g., RFI-010.01, where 0.01 is
revision 1);
H. Image files such as JPEG, video/audio clips, etc., do not need to be converted into PDF
format. Where applicable, image resolution should be 150-dpi , video resolution
680x480 (standard PAL or NTSC), and audio resolution of 128-kbps;
I. Files with multiple sections (such as manuals) should be bookmarked. A table of
contents or index page should also be created that can link to the various PDF sections;
J. Other than standard digital signature protection, security features should not be enabled.
The Authority should be able to read, write to, save, etc., a submitted document;
K. Standard TrueType TM fonts should be enabled (Arial, Times Roman, etc.);
L. Where applicable, Design-Builder shall submit the schedules (Primavera) in the methods
and formats discussed in General Requirements Section 4.0;
M. Upon request of the Authority, Design-Builder shall submit electronic files in the original
software format (DOC, XLS, DGN);
N. To reduce document control labor and to properly track documents, Design-Builder shall
support the Authority’s contract management software system by:
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1. Electronically transferring documents such as submittals, Change Orders,
Requests for Information (RFIs), cost proposals, correspondence, etc., to the
Authority;
2. Unless otherwise directed by the Authority, Design-Builder shall submit,
receive, and respond to Project documents in a standard electronic form
(such as Adobe Acrobat PDF) using the web interface (DUI) with the
Authority’s “Oracle Primavera Contract Management” system. Design-
Builder shall purchase the software license(s) for “Oracle Primavera Contract
Management” and annual maintenance fees to support their personnel
responsible for submitting documents to the Authority. The license(s) will be
assigned to the web interface system, and will only be available for use by
Design-Builder on the Authority’s system through completion of the Project;
3. The Authority will provide instructions for accessing and submitting
documents through the web interface;
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4. Specific Project documents, including Requests for Information (RFIs),
submittals, and Change Orders may be prepared by Design-Builder in a
document control system of their choice and submitted to the Authority in a
searchable Adobe PDF format through the web interface system; and
5. Including basic information such as title and number of each document,
description, person submitting, contact information, etc. This basic
information shall accompany the document(s) via submittal form sheet, email
(template), web-base software, or other Authority-approved method;
O. Design-Builder shall be responsible for ensuring all employees are familiar with the
electronic submission requirements;
P. Design-Builder is responsible for ensuring the Authority receives the electronic
document. This can be performed by read-receipts, hand or certified delivery of DVD,
etc; and
Q. Unless otherwise approved by the Authority, contractual documents submitted after
12:00 pm on Friday will not include the Saturday, Sunday, and Authority observed
Monday Holidays in the calculation of days required for the Authority contractual replies.
7.1.2 Paper-Copy Formatting:
In an effort to reduce costs and conserve the environment, paper copies are not required for all
document transmissions. Paper copies shall be submitted for necessary contractual documents as
indicated in Appendix B- Contract Data Requirement List (CDRL). After Project award, the
Authority and Design-Builder shall develop a policy for required paper copy submissions in
accordance with the following:
A. Paper documents shall be submitted in the documents original scale-size (letter, legal,
etc.);
B. Paper documents shall be readable;
C. Paper documents shall be provided in color when necessary (photos, diagrams);
D. Paper documents shall be properly packaged (stapled, binded, etc.); and
E. Design-Builder shall provide paper copies when requested.
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7.1.3 Document Content Formatting
A. Submittals shall be in the American English language, with correct grammar/spelling and
technically written (instead of legally written, etc.);
B. All dimensions and measurements shall be in the American system (lb/ft/sec), unless
metric is requested in a Metro technical document or metric is industry standard or
required by applicable Governmental Persons;
C. All costs shall be identified in U.S. Dollars; and
D. Information shall be clearly itemized for each item contained in the bid to allow a
thorough examination.
7.2 Submission of Documents
A. Prior to delivering the application for Final Acceptance, Design-Builder shall deliver
Record Documents to the Authority;
B. For final Construction Documents, include the reproducible transparency set along with
one black-line print;
C. Deliver Record Documents neatly and efficiently packaged; and
D. Accompany submission of Record Documents with a transmittal letter containing the
following information:
1. Date of submission;
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2. Project title and number;
3. Design-Builder’s name and address;
4. Title and number of each record document (Shop Drawings may be grouped
in basic categories or divisions of work and by box identification);
5. Design-Builder’s certification that each document, as submitted, is complete
and accurate; and
6. Signature of the Project Manager.
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7.3 Management of Documents
Design-Builder shall carefully manage all submitted, revised, Approved for Construction documents
and Specifications to ensure the latest approved versions are being implemented in the field and in
fabrication.
Design-Builder shall provide revised documents via a transmittal to all plan holders with a clear
direction to substitute specific Approved for Construction drawings and Contract Specifications with
the revised documents. When applicable, the Change Order(s) and/or Request for Information(s)
authorizing the revision shall also be noted on the transmittal.
Design-Builder’s quality manager shall be responsible to ensure that the latest Approved for
Construction drawings and Specifications are being referenced during performance of the Work and
fabrication and that all construction foremen and fabricators have the latest documents for
construction.
Design-Builder shall maintain all records and documents relating to the Work and the Project,
including copies of all submitted documents delivered to the Authority, until five (5) years after the
Final Acceptance Date or the termination of this Contract, whichever is applicable. Design-Builder
shall notify Authority where such records and documents are kept. Notwithstanding the foregoing,
in the event of litigation or Claims arising from the performance of the Contract, all records shall be
retained and made available until such litigation, and other actions, and Claims have been finally
resolved.
7.3.1 Documents Relating to Operations Security
All Project documents that relate to the security of the operation of the Project as a part of Metro’s
system shall be considered security sensitive documents and are subject to Metro’s policy set forth
in Volume 3, Document 4.5 (Design-Builder’s attention is drawn notably to Sections 1.1, 1.4.1, and
1.4.5). Design-Builder shall comply with applicable portions of said policy and obtain written
agreement from each DB-Related Entity to comply with applicable portions of said policy.
7.4 Record Documents
Design-Builder shall provide Record Documentation for all work:
A. Maintain one up-to-date copy of the following documents for record purposes:
1. Change Orders;
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2. Working Drawings;
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3. Design drawing packages and books of plans;
4. Approved Shop Drawings;
5. Clarifications or explanatory details and Specifications;
6. Requests for Information (RFI) and their responses;
7. Inspection reports;
8. Laboratory test records (as applicable);
9. Field test records (as applicable);
10. List of Non-Conforming Work identified by the QCQAP and/or Authority’s
compliance audit program; and
11. As-built record drawings;
B. Store documents used for record purposes in the field job office or other approved
location, apart from documents used for construction;
C. Provide files and racks for storage of documents;
D. File documents in accordance with the work breakdown structure (WBS);
E. Maintain documents in clean, dry, legible condition;
F. Label each document “Project Record”; and
G. Make documents available at all times for inspection by the Authority.
7.5 Record Drawings
A. Construction drawings:
1. Design-Builder shall maintain “as-built” or record drawings of all Work
continuously as the job progresses. A separate set of ‘red-lined’ prints or
Working Drawings, for this purpose only, shall be maintained at the jobsite at
all times;
2. Design-Builder shall keep these drawings up-to-date and submit a print
showing all changes to the Approved for Construction drawings to the
Authority when the relevant work is completed;
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3. Design-Builder shall incorporate deviations from the ‘red-lined’ drawings,
Utility services, mechanical and electrical lines, details, and other Work onto
the MicroStation electronic drawing files upon completion of the respective
Work;
4. Shop Drawings for reinforcing steel, structural steel, embedded and mounted
mechanical and electrical conduits shall also reflect “as-built” conditions, in
which case the appropriate final Design Documents or Construction
Documents shall be stamped to refer to such Shop Drawings as part of the
“as-built” configuration;
5. No Work shall be permanently concealed until the required information and/or
portion of the Work has been properly inspected, accepted, and recorded by
Design-Builder;
6. Where the construction drawings are not of sufficient size, scale, or detail,
Design-Builder shall furnish its own Shop Drawings for incorporation of
details and dimensions;
7. Design-Builder shall stamp each sheet in this final and record set with “as-
built” in red ink, signed and dated by the Designer of Record, and deliver the
following to the Authority by Final Acceptance:
a. Electronic full-size PDF;
b. Electronic 11” x 17” PDF;
c. CADD files with reference files (where local jurisdictions require
format different than Metro, provide both); and
d. Hardcopies as required by local jurisdictions; and
8. “As-built” information shall be transferred onto DVD media that conforms to
B. Change Orders:
existing Metro standards, prior to Final Acceptance;
1. Incorporate changes to the final Design Documents affected by Change
Orders on the CADD drawings, and identify these changes by Change Order
number and effective date;
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2. Drawing sheets that are modified shall clearly delineate changes with a
‘cloud’ around the changed detail and a call-out number in ‘delta’ adjacent to
the cloud. A system of deltas shall be used to indicate changes and their
date of issuance and shall be listed at the bottom left-hand corner of each
plan sheet. Deltas associated with Change Orders shall indicate the Change
Order number on the plan sheet. Design-Builder is responsible to assure that
every plan-holder has been issued the latest changed plan and specification
sheets with instructions to replace the changed sheets in their plan and/or
specification sets; and
3. When revised drawings are issued as the basis of, or along with, Change
Orders, incorporate these revised drawings into the record set with
appropriate annotation. Drawings deleted by Change Orders shall not be
incorporated as part of the record set; and
C. Final submittal of record drawings:
7.6 Record Specifications
1. All record drawings shall be transferred onto DVD media. Design-Builder
A. Project Specifications:
shall deliver the following to the Authority prior to Final Acceptance:
a. Electronic full-size PDF;
b. Electronic 11” x 17” PDF;
c. CADD files with reference files (where local jurisdictions require
format different than Metro, provide both); and
d. Hardcopies as required by local jurisdictions.
1. File the Specifications book for record purposes in a large-ring, three-ring
binder or binders;
2. Record information, changes, and notes in the Specifications in blank areas,
such as page margins or the backs of opposite pages, or on separate sheets
inserted in the binder. Record all such information, changes, and notes with
red pen or red type;
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3. In each section, in an appropriate location, record the manufacturer, trade
name, catalog number, and supplier of each product and item of equipment
actually installed;
4. The record Specifications book shall be complete and shall include all
applicable Construction Documents other than drawings; and
5. Stamp this final and record set of “as-built” Specifications “as-built”, sign and
B. Change Orders:
date, and deliver to the Authority, on DVD media that conforms to existing
Metro standards, prior to requesting final inspection; and
1. Incorporate Change Orders into the front of the Specifications book in reverse
chronological order. Use appropriate page dividers to identify Change Orders
and to separate Change Orders from the Specifications; and
2. Changes to the Specifications affected by Change Order annotated on the
affected page or pages of the Specifications or adjacent thereto.
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8.0 SITE SAFETY REQUIREMENTS
8.1 General
8.1.1 Description
A. Design-Builder shall establish, implement and maintain an effective injury and illness
prevention program (IIPP) in accordance with Section 8.3.8 of these General
Requirements.
Design-Builder shall comply the California Code of Regulations (CCR) Title 8, as well as
all other Governmental Rules applicable to its operations. Strict compliance with all
applicable Governmental Rules shall be considered within the original scope of this
Contract and shall not justify schedule delay for performance of Work by Design-Builder,
nor shall it be relied upon to form the basis of a Claim for delay. Compliance with
determinations by the Authority shall not relieve Design-Builder from other obligations
imposed by Governmental Rules nor serve as the basis of a Change Order;
B. Design-Builder shall enforce an alcohol and drug-free construction workplace for its
employees and Subcontractors. Design-Builder shall establish a drug-free awareness
program to inform employees about the alcohol and drug-free workplace policy, danger of
alcohol and drug abuse, available counseling, and penalties for violating the policy; and
C. Compliance with all parts of this Section 8.0 and including all effects of such compliance
including related work stoppages shall be considered within the original scope of this
Contract and shall not be grounds for a Change Order or a Claim for cost or delay.
8.1.2 Requirements
A. Design-Builder shall comply with both the CCR Title 8, and the Code of Federal
Regulations (CFR) Title 29. Where the State and Federal regulations have differing
requirements, Design-Builder shall comply with that which is more stringent. Design-
Builder shall have full responsibility for maintaining conditions which are free from
recognized hazards that are likely to cause physical harm to its employees;
B. Air quality testing – Design-Builder shall perform air quality testing by qualified individuals.
Design-Builder shall maintain a record of the date, time and location of tests and levels of
contaminants. Design-Builder shall make all records, including printouts, and independent
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testing laboratory analyses of jobsite samples, available for review by the Authority upon
request;
C. Design-Builder shall conform to the requirements of the authority having jurisdiction for the
establishment of a fire watch in areas where welding operations and flame cutting are
performed; and
D. Design-Builder shall comply with the requirements of CCR Title 8, Section 5192,
8.1.3 Submittals
Hazardous Waste Operations and Emergency Response, with respect to the handling of
Hazardous Substances and mandated specialty training and health screening.
All submittals and re-submittals, when required, shall be considered within the original scope of this
Contract and shall be submitted in accordance with the approved Baseline Schedule or Current
Project Schedule, as appropriate, so as to not delay the performance of Work by Design-Builder.
Design-Builder shall prepare and submit to the Authority for review and approval the submittals
listed below. Design-Builder shall obtain approval from the Authority prior to the earlier of: (1) the
start of construction, or (2) 90 days after Notice to Proceed or as approved by the Authority in
writing.
At a minimum, the following items shall be submitted by Design-Builder for review and approval by
the Authority:
A. Site specific injury and illness prevention program (IIPP) plan described in Section 8.3.8;
B. Qualifications and certifications of designated lead and other Safety representatives, and
other first aid providers;
C. Qualifications and/or certifications of individuals who will serve as qualified or competent
Persons. These supervisory individuals are designated by Design-Builder to supervise
special high risk/high hazard Safety programs such as fall protection, excavation,
Hazardous Substances operations and confined space entry;
D. Fall Protection Program – Design-Builder shall include details of procedures, equipment
and training in accordance with Cal OSHA requirements. This program shall be
established and implemented to ensure that Design-Builder's and sub-contractor's
workers, exposed to a vertical fall of six feet or more to another level, are properly
protected. This protection shall provide protection from hazards such as: Skylights (at
any angle), floor and wall openings, leading edges, and steel erection. Methods of
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protection shall include: Fixed systems (guardrails, covers, nets, etc.), personal fall arrest
systems and job specific fall protection plans. The “Fall Protection Program” shall be
submitted and accepted prior to performing any Work covered by the plan;
E. Regarding the training required by CCR Title 8, Section 5192, Hazardous Waste
Operations and Emergency Response, with respect to the handling of Hazardous
Substances and mandated specialty training and health screening – Design-Builder shall
submit a list of qualified personnel at least 30 days before commencing any excavation.
Design-Builder shall update such list at monthly intervals during ongoing excavation
operations. Design-Builder shall include, for each individual, the date of certification and
sufficient evidence of training and medical screening to conform to appropriate laws,
regulations and the requirements of this Contract. Design-Builder shall revise and
resubmit list of qualified personnel as conditions warrant;
F. Design-Builder shall provide excavation action plans for all excavation activities for which
a protective system is required by CCR Title 8 Article 6. Design-Builder shall include on
such plans all drawings for any ground support system to be used during the excavation
activity and the slopes and configurations of sloping or benching systems. All excavation
submittals shall be submitted at least 15 days prior to the planned Work;
G. Design-Builder shall provide current certifications for all cranes operated on the Site by
Design-Builder and or sub-contractors of any tier. Re-certification is required for any crane
subjected to any upset, overloading, side pulling, shock loading or support failure, prior to
any further use of the equipment on the Site; and
H. At the start of construction, Design-Builder shall submit monthly project safety
performance reports compiling the monthly and year-to-date statistics of work hours,
safety inspections, safety deficiencies, OSHA recordable incidents, physician treated
incidents, restricted duty/lost time cases, safety training, etc. The safety reports shall
included Subcontractor statistics.
8.1.4 Site Conditions
A. Design-Builder personnel shall only access areas at or near active light rail tracks or
traction power/electrification systems, including the rail right of way, in accordance with
applicable Governmental Rules. Persons desiring access to these currently-operating
Metro-Rail facilities shall attend light rail Safety training classes conducted by Metro.
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Conform to a work permit program for clearance to work on or adjacent to active tracks
and to provide for the de-energization of the traction electrification system.
Safety training classes are held by Metro as time(s) and location(s) to be established.
Design-Builder personnel without Safety training will not be permitted onto areas which
require such training as set forth in applicable Governmental Rules. Trained personnel
found on the Site without a valid Safety identification badge shall be expelled from the Site
and may be subject to prosecution for trespassing.
Details of the work permit and track allocation procedures will be discusses at the pre-
construction meeting. Design-Builder shall be trained and comply with Metro’s Wayside
Worker Protection procedures for active track.
Design-Builder’s personnel doing Work within the rail right of way shall attend a class on
hi-rail equipment operation, Safety, and Metro’s Book of Rules and Procedures;
B. Design-Builder personnel who will encroach or conduct work in the Azusa Industrial Lead
(rail right of way west of Irwindale Avenue) shall attend the appropriate rail Safety training
classes as required by the Federal Railroad Administration and other applicable
Governmental Persons. Design-Builder personnel without rail Safety training will not be
permitted to be present in the rail right of way. Design-Builder is responsible for obtaining
track access rights. Design-Builder is also responsible for employing a certified flagger or
other personnel required to work within the rail right of way;
C. Design-Builder personnel who will encroach or conduct work in the rail right of way east of
San Gabriel River Bridge shall attend the appropriate rail Safety training classes as
required by the Federal Railroad Administration and other applicable Governmental
Persons. Design-Builder personnel without rail Safety training will not be permitted to be
present in this portion of the rail right of way. Design-Builder is responsible for obtaining
track access rights. Design-Builder is also responsible for employing a certified flagger or
other personnel required to work within the rail right of way;
D. Design-Builder shall develop a hazard communication program, which contains a list of
material safety data sheets (MSDS) for Hazardous Substances to be present at the Site.
Design-Builder shall maintain a current list of all Hazardous Substances that will be used
in the Site operations. Unless Design-Builder provides, in writing, an alternate method to
be used to provide Authority employees’ access to material safety data sheets, copies of
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all material safety data sheets for substances appearing on the Hazardous Substance
list shall be readily available at the Site;
E. If an accident/incident were to occur, resulting in injury, damage to equipment or facility, or
a transit incident that is potentially FRA or CPUC GO 164 reportable, Design-Builder shall
immediately notify the Authority of the incident. Design-Builder shall investigate the
incident and prepare an incident report including summary, photos, interviews, drug and
alcohol testing (if applicable) and recommendations/corrections shall be supplied for
Authority review; and
F. Design-Builder shall be solely responsible for Site security and safety, including protection
8.2 Products
of Design-Builder, Authority, and Metro property and personnel as well as the general
public. Design-Builder shall take necessary precautions to prevent theft, vandalism, or
other destructive activities.
8.2.1 Construction Equipment and Tools
A. Design-Builder shall select and operate construction and personal protective equipment
and tools in conformity with Sections 8.1.1 and 8.1.2.A and in accordance with the
manufacturer’s Specifications for the equipment or tools' intended use;
B. Equipment - All equipment, tools and or other items used to complete the Work shall be
inspected by Design-Builder to ensure compliance with applicable regulatory standards.
Equipment, tools and or other items are subject to periodic inspection by the Authority.
Design-Builder shall promptly remove equipment rejected by the Authority as not
conforming to Sections 8.1.1 and 8.1.2. This removal shall be considered within the
original scope of this Contract and shall not be grounds for a Change Order or cost or
delay Claim. Such removal shall be completed in such a manner so as to not delay the
schedule for performance of Work by Design-Builder.
The Authority has established a program by which equipment, tools and other items used
to complete the Work shall be removed from service when it has been determined that the
equipment, tools and other items present a potential for injury when used as directed by
the manufacturer. A tag with a prominent red and black message including the word
"DANGER" may be utilized by the Authority. This tag shall be known as a "red tag." The
tag will be signed by the Authority, dated and note the specific reasons for the rejection.
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Any equipment, tool and or other item so tagged shall not be used to complete the Work
until the condition noted on the tag has been corrected and the tag has been removed by
the Authority.
Any Person who ignores, removes, damages, or otherwise tampers with an Authority red
tag shall be immediately removed from the Work by Design-Builder and shall not return to
the Project without the written permission of the Authority;
C. Special Safety equipment - Where necessary for conformity with Section 8.1.2, Design-
Builder shall provide special Safety equipment and Persons qualified to operate same to
ensure the Safety of the Site. Such special Safety equipment may include air quality
measuring and monitoring equipment, noise measuring and monitoring equipment and
other measuring devices related to industrial hygiene. Equipment shall be used in
accordance with the respective manufacturer’s design, directions, and intended use;
D. Electrical installations for construction activities shall conform to the National Electrical
Code ANSI/NFPA latest edition, for electrical installations and be acceptable by the State
of California, Division of Occupational Safety and Health; and
E. Electrical equipment and tools to be used on the Site shall be listed by at least one of the
following USA testing facilities: Underwriters Laboratories, Factory Mutual, or other
approved electrical testing laboratories. Any electrical tool or equipment which is not listed
by at least one of the above testing facilities shall be removed from the Site.
8.2.2 Safety Equipment
A. All personal protective and other Safety equipment placed into use at the Site shall
conform to Section 8.1.2.A and shall include markings to show appropriate ANSI
approval codes or other indications of approved usage. Equipment shall not be altered
in any way without written approval by the respective manufacturer;
B. Persons entering the Site shall, at minimum, be equipped with the following personal
protective equipment: Hardhat, safety vest, eye protection, and work boots. ANSI
accepted protective footwear shall be worn by all personnel exposed to foot hazards or
working below grade (steel toed recreational shoes shall not be permitted);
C. All Persons who will be entering below ground areas shall be equipped with a permissible
rated hand or cap light and retro-reflective vest; and
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D. No Person shall be allowed to wear recreational pants (shorts) or sleeveless shirts onto
the Site. Refer to applicable Governmental Rules for additional requirements, including
colors.
8.2.3 Testing Equipment
Air monitoring equipment and air flow testing equipment used in underground or other locations
where there is the potential for an explosive atmosphere, shall be “permissible” as defined, tested
and certified by the Mine Safety and Health Administration Laboratory of the U.S. Department of
Labor.
8.2.4 Diesel Powered Equipment
All diesel-powered equipment used in underground covered areas shall be acceptable to the State
of California Division of Occupational Safety and Health and listed on Design-Builder’s diesel
permit. A copy of Design-Builder's diesel permit application and issued permit shall be available for
review and inspection by the Authority without prior notice.
8.3 Execution
8.3.1 Safety Personnel
A. To ensure the Safety of the Site, Design-Builder Safety personnel shall not work more
than 11 hours in any 24-hour period or more than 55 hours in any seven consecutive
day period. Included in the definition of Design-Builder Safety personnel is the lead
Safety representative and any other Safety representatives;
B. Design-Builder shall ensure that only those Safety representative(s) approved by the
Authority for employment on the Site is/are present at the Site whenever work is in
progress at the Site. The absence of the required Safety representative shall result in
the immediate stoppage of all work at the Site. Design-Builder is responsible for
maintaining an adequate staff of Safety personnel, whose qualifications have been
submitted to and approved by the Authority, in order to avoid Work stoppages in the
event of an expected or unexpected absence due to vacation, illness, personal
emergency, resignation, or termination of the assigned Safety representative(s).
Design-Builder's Safety representative(s) shall have the authority to direct immediate
correction of any unsafe or unhealthful condition and, as necessary, to stop Work until
appropriate corrective measures have been completed;
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C. Design-Builder shall have a designated lead Safety representative who is approved by
the Authority for employment on the Site. The lead Safety representative shall meet the
following qualifications: A full-time supervisory employee of Design-Builder responsible
for the implementation of Design-Builder’s safety and health program at the Site. The
Safety representative shall be currently certified in first-aid and CPR by the American
Red Cross or its equivalent. The Safety representative must be assigned full time to the
jobsite whenever the Work is in progress. The lead Safety representative shall regularly
work the day shift, attend required meetings and be fully cognizant of all Project-specific
Safety practices, processes, rules and procedures, and maintain regular contact with
Authority-designated Safety personnel; and
D. Design-Builder shall assign Safety representatives for second and third shift who meet
the following qualifications: A full-time supervisory employee of Design-Builder
responsible for the implementation of Design-Builder’s Safety and health program at the
Site. The Safety representative shall be currently certified in first-aid and CPR by the
American Red Cross or its equivalent. The Safety representative must be assigned full
time to the jobsite whenever the Work is in progress. The Safety representatives utilized
by Design-Builder shall be approved by the Authority for employment on the Site.
8.3.2 Air Monitoring
Design-Builder shall comply with the following:
A. All air monitoring activities shall conform to Sections 8.1.1, 8.1.2.A, and 8.1.2.B;
B. Select and use equipment capable of providing printed logs of gas tests;
C. Operate and maintain a gas monitoring system as required by Section 8.2.3. Perform air
monitoring and sample analyses as required by Sections 8.1.1, 8.1.2.A, and 8.1.2.B;
D. Begin testing for toxic and explosive gases as soon as the excavation or drilled hole has
progressed to a level of five feet below surface level; and
E. Test air quality in the most stagnant portions of excavation to ensure there is no
accumulation of explosive or other dangerous gases.
8.3.3 Confined Spaces
A. Work in confined spaces shall be completed in conformity with Sections 8.1.1 and
8.1.2.A;
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B. Design-Builder shall perform confined space operations under the immediate
supervision of a competent Person as defined in CCR Title 8 who is fully familiar with the
requirements for safe entry, egress, ventilation, and air monitoring procedures and
capable of enforcing strict compliance;
C. Design-Builder shall include confined space permitting system in Design-Builder’s IIPP
as specified in Section 8.3.8; and
D. Air samples shall be taken before any entry into the confined space and continuously
throughout the Work period.
8.3.4 Crane Operations
A. All crane operators shall be licensed by the authority having jurisdiction for the
equipment type to be operated and copies of said licenses shall be submitted to the
Authority;
B. All crane operations where the load is beyond the direct view of the operator shall be
observed by a signal Person who can directly observe the load and be observed by the
operator. Design-Builder shall stop load movement in the event the signal Person is
unable to observe the load or fails to continuously observe the load and signal the
operator;
C. Prior to operating cranes on the Site, all crane operators shall have successfully
completed testing that verifies the crane operator's ability to read and understand the
load chart for the equipment to be operated. This testing may be performed by an
independent certifying agency or a qualified member of Design-Builder’s supervisory
staff who is acceptable to the Authority, has a minimum of five years heavy civil
construction experience, and can satisfactorily demonstrate the ability to read and
understand load charts and rigging tables to the Authority when requested, without prior
notice. Written records of this testing shall be maintained on the Site and made
available to the Authority for review without prior notice.
Re-certification is required for any crane involved in an incident involving upset,
overloading, side pulling, shock loading, or support failure. Re-certification and written
acceptance by the manufacturer is also required for any modification to a crane. Crane
acceptance and certification records shall be made available for review by the Authority
without prior notice.
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Any re-certification of a crane required for compliance with this Section 8.3.4 shall be
considered within the original scope of this Contract and shall not form the basis of a
Change Order or Claim for cost or delay; and
D. Mobile crane lifts of over 50 tons, exceeding 80% of the crane’s capacity, involving more
than one crane, lifting a non-rigid object, or lifting over active work areas or public
property shall be considered “critical lifts” and require approval from the Safety Manager.
A critical lift plan shall be submitted to the Authority for review prior to the lift. Such plan
shall include, at a minimum, the following:
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1. Exact size and weight of the load to be lifted and all crane and rigging
components which add to the weight. The manufacturer’s maximum load
limits for the entire range of the lift, as listed in the load charts, shall also be
specified;
2. Lift geometry and procedures, including the crane position, height of the lift,
load radius, and the boom length and angle, for the entire range of the lift;
3. Designation and qualifications of the crane operator, lift supervisor, and
rigger;
4. Rigging plan that shows the lift points and describes rigging procedures and
hardware requirements;
5. Ground conditions, outrigger requirements, and if necessary, design of mats
necessary to achieve a level, stable foundation of sufficient bearing capacity
for the lift;
6. Environmental conditions under which the lift operations are to be stopped;
and
7. Coordination and communication requirements for the lift.
8.3.5 Protection from Falls
Design-Builder shall maintain the Site in an organized and clean manner, as accepted by the
Authority, to reduce the potential for slips, trips, and falls.
8.3.6 Excavations
A. All excavation activities shall comply with Sections 8.1.1 and 8.1.2.A; and
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B. All excavation operations shall be under the immediate supervision of a competent
Person, as defined in CCR Title 8, who is fully familiar with the requirements for safe
excavation procedures and capable of enforcing strict compliance. The support system
shall be designed by a civil engineer, licensed in the State of California and the support
system plan shall be available for review by the Authority without prior notice.
8.3.7 Lock-out/Tag-out Procedures
Design-Builder shall include written lock out/tag out procedures in Design-Builder’s injury and
illness prevention program (IIPP).
8.3.8 Injury and Illness Prevention Program (IIPP) Plan
Design-Builder shall submit a site-specific IIPP plan(s) to the Authority for review and approval.
The plan(s) is a working document and shall be revised and resubmitted as conditions warrant.
Design-Builder’s IIPP plan shall include the following:
A. The requirements specified in CCR Title 8 Sections §3203 and §1509;
B. The requirements specified in CCR Title 8 Section 5192 Hazardous Waste Operations and
Emergency Response, with respect to the handling of Hazardous Substances and
mandated specialty training and health screening;
C. Key personnel and Safety representative responsibilities, organization chart, Safety
committee descriptions, Subcontractor policies, etc;
D. Training procedures for personnel who are subject to exposure of construction hazards.
Design-Builder shall provide such training prior to construction and shall provide
necessary yearly refresher training as required by Sections 8.1.1 and 8.1.2.A;
E. An emergency action plan, including coordination with local emergency services, first
aid, etc;
F. A confined space program including a permitting system, training, non-entry rescue, etc;
G. Personal protection mitigations including personal protective equipment (PPE), hearing
conservation, respiratory protection, fall protection (scaffolds), heat illness, fire
protection, etc;
H. Alcohol and drug-free construction workplace policy, including drug testing protocol for
pre-employment, random, post incident, and Subcontractor participation;
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I. General construction safety including crane certifications, trenching/excavation,
demolition, electrical, welding/cutting, etc;
J. Traffic control procedures, including flagging, road closure policies, typical warning
devices, traffic circulation, etc;
K. Earthquake safety awareness program and procedures. These procedures shall include
instruction in case of falsework collapses, major earth distortion, Utility breaks and
identify gathering locations and contacts for work crews to obtain further directions from
Design-Builder’s safety officer and the Authority;
L. Incident/accident reporting procedures including site control, notifications, investigating,
etc;
M. Appendices including forms addressing hazard reporting, safety inspections, non-
compliance violations, safety action plans, etc;
N. Lock-out/tag-out procedures; and
O. Security loss prevention program plan, including measures of protecting property (i.e.,
physical barriers, warning signage, office/facility security and illumination.
8.3.9 Housekeeping
The Site shall be maintained in a clean and neat manner. All scrap, trash, and other refuse shall be
placed in containers prior to the end of each work shift. Trash containers shall be scheduled for
regular emptying or replacement. Immediate emptying or replacement shall be ordered by Design-
Builder in the event a container is filled prior to the scheduled emptying or replacement.
8.4 Design-Builder Responsibility
Any time a Cal-OSHA or Fed-OSHA representative seeks access to the Site, Design-Builder's
Safety representative on duty shall immediately contact the designated Authority Safety
representative to inform and seek direction on how to proceed. It is understood that the Site
belongs to the Authority and Design-Builder has no authority to prohibit access to Cal-OSHA/Fed-
OSHA representatives. If Design-Builder's Safety representative fails to meet any of the duties and
obligations described above, the individual may be removed immediately by the Authority.
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9.0 REVIEW, VERIFICATION AND ACCEPTANCE
Throughout the duration of the Contract, Design-Builder shall demonstrate and verify that the
design, procurement, fabrication, installation, construction, commissioning and overall
implementation of the Project and performance of the Work comply with all of the requirements of
the Contract Documents and in accordance with the approved QAQCP. Design-Builder shall
determine compliance using one (or more) methods including: (1) analysis, (2) inspection, and (3)
testing.
A. Analysis shall include the review of design data, test data, or other data describing the
design and/or functions of the Work. Such analysis shall include the review of
engineering drawings, engineering reports, and test reports, including identification of
compliance with national standards and/or applicable Governmental Rules. Analysis
shall be the method of verification used when rigorous testing may be impossible or
impractical because of the required environmental or other conditions needed to conduct
a realistic test.
B. Inspection shall include the examination of specific physical elements of the Project.
Inspection shall include the taking of specific static measurements (such as length,
width, or height) where simple measuring devices are used. In cases where physical
inspection of specific assemblies or components is not possible because of constraints
imposed by manufacturing or construction, inspection shall be conducted by the review
of reports during fabrication, assembly, and installation, and of previously conducted
inspections. Inspections may be conducted in combination with other verification
methods, such as test, where visual observation as well as the taking of measurement
data is necessary to verify a particular requirement.
C. Testing shall include the systematic evaluation and documentation of the performance of
the elevators, power distribution, lighting, HVAC, sump pump, fire suppression systems,
and any other equipment. Performance parameters shall be measured using specific
instrumentation and recording devices appropriate to that parameter, or the employment
of testing laboratories. All tests shall be conducted using previously developed and
Authority approved procedures, which shall be followed in a step-by-step fashion. Test
data and results shall be formally recorded and evaluated for conformity to the
requirements of the Specifications and test procedures.
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1. Factory testing shall include the in-plant testing of assemblies and subsystems
prior to shipment to the Site to check and establish proper individual operation;
2. Construction testing shall include the testing of construction materials, samples
of materials and sub-construction assemblies as construction proceeds at the
Site to check and establish that construction plans and Specifications are met;
and
3. Local field acceptance testing shall be performed on the Site to check and
establish operation of the equipment in accordance with the Contract
Documents.
Design-Builder's internal verification shall be accomplished by Design-Builder's inspections, factory
testing, and local field acceptance testing. After the elevators, power distribution, lighting, HVAC,
fire suppression systems, and any other equipment have been completely tested by Design-Builder,
the Parking Facilities shall be made available to the Authority for follow-on contractor(s) and
integration testing. Design-Builder shall provide support on an as-needed basis during the Project
systems integration testing if problems are encountered with the operation of Design-Builder’s
equipment due to interface anomalies.
As provided in the sections that follow, the Authority shall have inspection and audit rights
throughout the supply, manufacture, factory testing, construction, installation, on-site testing, and
acceptance procedures.
9.1 Facilities Tests and Inspection
It is Design-Builder's responsibility to ensure that materials and workmanship are in accordance
with the Contract Documents.
Design-Builder shall develop a construction inspection procedure detailing the inspection
requirements and reporting methods. The procedure shall require a daily inspection report to be
completed for every day on which work is performed.
Design-Builder shall develop a procedure detailing the construction monitoring requirements. The
procedure shall include the following:
A. Report number, period covered, and title;
B. Scheduled status;
C. Percentage complete;
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D. Weather;
E. Manpower and equipment;
F. Construction status;
G. Visitors;
H. Problems;
I. Summary of inspector reports; and
J. Log of test results.
9.1.1 Power Distribution and Lighting Systems Equipment
Design-Builder shall at a minimum perform local field acceptance testing, as follows:
A. Inspect each equipment installation against installation drawings and instructions. All
equipment shall be energized and be operational;
B. Make continuity checks of all interconnecting wiring and check the phase of any three-
phase power connections;
C. Check all wire and cable terminations for integrity;
D. Measure and record conductor-to-ground resistance of all power cables;
E. Verify that all circuit breakers de-energize the intended circuit; and
F. Perform all tests necessary to ensure the proper functioning of the uninterruptible power
supply (UPS) systems provided. With incoming power turned off, the UPS systems shall
be tested to ensure continuous power at the rated voltage level for the rated time period.
Additionally, the interfaces for all remote status and alarm reporting shall be verified.
9.1.2 Corrosion Control
As a minimum, Design-Builder shall perform local field acceptance tests to verify the integrity of
corrosion protection measures and installations.
9.1.3 Elevators
Testing of the elevators shall be as follows:
A. Factory acceptance testing of the elevator equipment shall be performed as
recommended by the elevator manufacturer; and
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B. Local field acceptance testing shall demonstrate complete, proper elevator operation,
controls, and indications. Additionally, the interfaces for all remote controls and remote
status and alarm reporting shall be verified.
9.1.4 Mechanical Equipment
Local field acceptance testing shall be performed on HVAC, fire suppression, sump pump, and any
other equipment to demonstrate proper operation, controls, and indications. Additionally, the
interfaces for all remote status and alarm reporting shall be verified.
9.2 Verification and Acceptance
This Section 9.2 describes the methods and procedures by which the Work will be verified by
Design-Builder as complying with the requirements of the Contract, and thereafter accepted by the
Authority.
Design-Builder shall thoroughly verify each aspect of the Project and equipment prior to conditional
acceptance and Substantial Completion, upon which final acceptance activities shall commence;
such prior verification shall be accomplished during the design review, product qualification testing,
factory testing, local field acceptance testing and inspections.
Design-Builder shall advise the Authority when the Work is ready for final acceptance activities.
This shall not occur until Design-Builder has completed all of the inspection and testing activities,
and corrected any deficiencies and failures that are not acceptable as a Punch List item. Design-
Builder shall provide all resources necessary for, and carry out all of the compliance verification and
conditional acceptance activities defined herein. The Authority will witness and review the results of
these activities. Compliance verification and conditional acceptance will be accomplished on the
basis of the Authority's review and acceptance. Conditional acceptance is also contingent upon
successful completion and Authority approval of Design-Builder’s safety certification specification
conformance checklists of final design and construction, as specified in the Safety and Security
Certification Plan (SSCP).
9.2.1 Verification and Acceptance Procedures
Documentation associated with the three methods of compliance verification and conditional
acceptance are indicated and defined as follows:
A. Analysis - Design-Builder shall submit analysis information and data, as defined in
Section 9.0 (A), in a manner which does not impede the verification and acceptance
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process. Analyses provided by Design-Builder during the design review process may, at
the sole discretion of the Authority, be used for verification and acceptance purposes. At
the time of the design reviews, the Authority will examine the design review material and,
in its sole discretion determine its applicability for any verification and acceptance
purposes;
B. Inspection - In cases where inspections as defined in Section 9.0 (B) are to serve as the
basis for compliance verification, Design-Builder shall prepare detailed inspection
procedures and submit these to the Authority for review not later than thirty (30) days
prior to the scheduled date of the inspection. The inspection procedures shall identify all
applicable requirements of Section 9.1 and each section of Volume 3, Document 2-
Performance Specifications for which inspection is mandated to demonstrate
compliance.
Design-Builder shall conduct each inspection in accordance with the inspection
procedures reviewed by the Authority; no inspection shall be performed prior to obtaining
the Authority's review and approval of the applicable inspection procedures. The results
shall be documented in an inspection report clearly showing that the inspection passed
or failed based on the pass/fail criteria shown in the procedure. The Authority shall be
notified of and shall have the right to witness any inspection conducted for compliance
verification and acceptance purposes; and
C. Test - Design-Builder shall prepare detailed procedures for all tests, as defined in
Section 9.0 (C) and submit these to the Authority for review and acceptance not later
than thirty (30) days prior to the scheduled date of the test. The test procedures shall
identify all applicable requirements set forth in Section 9.1 and each section of Volume
3, Document 2- Performance Specifications for which test is mandated to demonstrate
compliance.
Design-Builder shall conduct each test in accordance with the test procedure reviewed
and approved by the Authority and no test shall be performed prior to obtaining the
Authority's approval of the applicable test procedures. Design-Builder shall document
the results in a suitable test report containing test data in an easily interpretable form
and clearly showing that the test passed or failed based on the pass/fail criteria shown in
the test procedure. The Authority shall be notified of and shall have the right to witness
any test conducted for compliance verification and acceptance purposes.
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9.2.2 Acceptance
At its discretion, and upon written request from Design-Builder, the Authority may elect to perform
in-progress inspections on selected portions of the Work. At that time, a Punch List of any items to
be completed or corrected shall be prepared by Design-Builder. This inspection shall not be
construed as the pre-final inspection. Once the Work is nearing Substantial Completion, as
determined by Design-Builder, Design-Builder shall request a pre-final inspection. If this inspection
is satisfactory to the Authority, a Punch List of any items to be completed or corrected shall be
prepared by Design-Builder. After completing the Punch List, Design-Builder shall submit the
Punch List to the Authority, as described in Section 9.3. If satisfactory to the Authority, the Authority
will conditionally accept the Work.
Among other requirements, the Certificate of Substantial Completion, however, shall not be issued
until all conditional acceptance activities are successfully completed. Until Substantial Completion,
Design-Builder shall retain the responsibility of maintaining the Parking Facilities, and the
equipment contained therein, in accordance with the manufacturer’s recommended preventive
maintenance procedures and schedules.
9.2.3 Test/Inspection Acceptance Activities
The Authority has developed a standard format which shall be used by Design-Builder to prepare
detailed acceptance inspection test procedures for each activity.
A. Title: Title of acceptance activity including its identification code;
B. Reference contract section: The section number and title of the Contract provision,
which is addressed by the acceptance activity;
C. Reference Design-Builder specification conformance checklist item(s): The item number
and title from the applicable supplier specification conformance checklist which is
addressed by the acceptance activity;
D. Prerequisite acceptance activities: The acceptance activity categories which must be
successfully completed prior to conducting this activity;
E. Objectives: The specific intent of the acceptance activity regarding the referenced
section of the Contract Documents;
F. Sample size: The number of units (e.g., facilities) required to be used in the acceptance
activity or the specific area involved;
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G. Environmental requirements: Any specific environmental conditions required in order for
the acceptance activity to demonstrate conformance with the referenced technical
requirement;
H. Equipment/facility requirements: Any test equipment or special facility needs of the
acceptance activity;
I. Personnel/skill requirements: The number of Design-Builder personnel required to
perform the acceptance activity as well as the skill levels of the individuals;
J. Estimated time requirement: The period of time required to conduct each acceptance
activity. If the activity is conducted on each of several units (e.g., facilities), the time
required for each unit shall be given;
K. Data to be recorded: The specific data which is necessary to show compliance with the
referenced Contract requirement shall be listed as well as the means by which it is to be
obtained. The specific method of documentation shall also be identified;
L. Pass/fail criteria: The specific limits within which the data identified in Item K must fall in
order for the activity to be acceptable;
M. Procedures: The detailed, step by step, description of the acceptance activity. This will
provide specific directions to the person(s) conducting the activity including operating
instructions for test equipment and when to record data;
N. Comments: Narrative description of any occurrences or events that may have an impact
on personnel safety, equipment integrity or the validity of the data; and
O. Conclusions: The results of the activity including a formal test report statement by
Design-Builder as to whether the data satisfied the Pass/Fail criteria.
Design-Builder will develop the details of format elements A through M. The detailed description of
each acceptance activity per CDRL must be submitted to the Authority not less than 120 days prior
to its being conducted by Design-Builder.
Format elements N and O will be completed during the actual acceptance activity. Both Design-
Builder's personnel conducting the activity and the Authority's observer will be permitted to enter
comments in item N.
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9.2.4 Schedule
Final Acceptance activities are scheduled to be conducted after completion of local field acceptance
testing and prior to Final Acceptance. While the Authority has established the general sequence in
which these activities are to occur, Design-Builder shall develop the specific acceptance schedule
and submit it to the Authority for its review and approval.
Design-Builder may propose to conduct additional categories of acceptance activities prior to the
Final Acceptance, but they shall not preclude, or be considered in lieu of, the activities required by
the Authority.
9.2.5 Authority Involvement
9.2.5.1 Procedure
The following procedures shall be followed to permit Authority involvement in accepting the
procedures, and in witnessing and tracking the status of all acceptance activities.
A. Design-Builder shall develop the required acceptance inspection/test procedures for
each of the activities in accordance with the required format of Section 9.2.3 and submit
them to the Authority for approval. Simultaneously, Design-Builder shall submit the
acceptance schedule for Authority approval.
The Authority will review and approve the acceptance inspection/test procedures for
each activity submitted by Design-Builder. Submittals will be evaluated for conformance
with the Contract Documents;
B. The Authority will review the acceptance schedule and give Design-Builder written
notification when it approves the proposed schedule per CDRL. The Authority and
Design-Builder will work to resolve any differences and concur on a final schedule;
C. Design-Builder shall revise its acceptance inspection/test procedures in accordance with
the Authority's review of (B) above and resubmit them at least 60 days prior to the
beginning of acceptance activities;
D. Each acceptance activity shall be conducted by Design-Builder and witnessed by the
Authority in accordance with the agreed upon procedure and schedule. As required in
Section 9.4, briefings will be held before and after these activities and activity reports
shall be submitted to the Authority in accordance with the CDRL; and
E. The Authority will give Design-Builder written notification whether the submitted activity
report is acceptable. The Authority will give Design-Builder specific reasons for not
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9.2.5.2 Monitoring
accepting an activity report as well as providing specific requirements for making the
activity acceptable.
The Authority will monitor the status of the documentation and progress of each activity relative to
the procedure described above. The status of the acceptance activities will be monitored and
discussed at progress meetings.
The active status tracking of each activity will start six months prior to the scheduled beginning of
acceptance activities or with the first significant submittal of acceptance inspection/test procedures
by Design-Builder, whichever occurs first. These activities will be continuously tracked through the
successful completion of the acceptance activities.
9.3 Punch Lists
During the course of testing and Acceptance activities, formal Punch Lists shall be developed that
identify “clean-up” work items which may be compiled while acceptance activities continue. The
Authority reserves the right to identify items for the Punch Lists up to Substantial Completion.
Punch List development constitutes milestones in the acceptance process. Punch List content shall
require Authority approval to achieve the acceptance milestones. Once an item is established as a
formal Punch List item, Design-Builder shall demonstrate to the Authority that the item has been
satisfactorily addressed. The status of each listed item shall be tracked on the Punch List through
completion and demonstration.
9.4 Verification, Notifications, Briefings, and Documentation
Design-Builder shall provide no less than seven days prior notice to the Authority of any compliance
verification and/or acceptance activity. The Authority shall have the right to witness each test,
inspection, and demonstration.
A briefing shall be held prior to each activity (analysis, inspect, test, demonstration). At this
meeting, Design-Builder shall distribute copies of the approved written procedures and shall discuss
principle aspects of the activity. Following each activity, a briefing shall be held to discuss the
results of the activity and obtain agreement upon whether it was successful or if there is a need for
additional work. Where activities are sequentially scheduled on the same day, these briefings may
be consolidated into one briefing at the start of the day and one debriefing at the end of the day.
Reports shall be submitted to the Authority for review and acceptance for each activity in
accordance with the CDRL. These reports shall include the procedures, prevailing weather,
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unusual conditions or events, complete data, and pass/fail disposition. The reports shall note any
failures that occurred during the activity, whether or not they related to the equipment under test.
The equipment tested shall be clearly identified. Proof of calibration of all test equipment used and
traceability to primary calibration standards shall be documented. Subcontractor reports shall be
accepted by Design-Builder prior to submittal.
If corrections are necessary during any activity, the procedure affected shall be repeated at no
additional cost to the Authority.
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10.0 CONTRACT DATA REQUIREMENTS LIST (CDRL)
10.1 Definitions and Use
The Contract Data Requirements List (CDRL) located in Appendix B identifies certain items that are
contractually required to be submitted to and, as applicable, approved by the Authority and the
required delivery due dates. The CDRL does not include financial reports, invoices, and other
information required for Contract administration. All submittals, including any additional submittals
identified during the Project as discussed below, must follow these requirements and shall be
subject to the review and, as applicable, the approval of the Authority and applicable third parties.
10.2 Master List of Submittals
Design-Builder shall be responsible for updating and maintaining the CDRL which includes verifying
and identifying additional submittal requirements and determining the date on which each submittal
is required in conformity with schedules specified in Section 4.0. Within 30 days after issuance of
Notice to Proceed, Design-Builder shall furnish a master list of submittals required by the Contract
Documents, with corresponding submittal dates which match milestones listed in the Baseline
Schedule or Current Project Schedule, as applicable, and allow for review and approval, as
applicable, by the Authority and applicable third parties. Design-Builder shall submit monthly
updates to the master list of submittals to the Authority for review and approval.
10.3 Format Requirements for Submittals
All submittals shall be prepared with a title block and action block on the front page or cover,
substantially as follows:
A. Title Block—show the following information:
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1. Date and revision dates;
2. The Authority Project title and number;
3. The names of Design-Builder, Subcontractor, supplier, manufacturer, and
when applicable, the seal and signature of a registered engineer for the
involved discipline; and
4. Subject identification by Contract reference; and
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B. Action block—Include a blank space, three inches by four inches, in the lower right
corner, just above the title block, in which the Authority may indicate the action taken.
Additionally, all submittals shall be transmitted as enclosures to a Contract transmittal
form containing the following information:
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1. Design-Builder’s name, address and telephone number;
2. Submittal number and date;
3. Project title and number;
4. Supplier’s, manufacturer’s or Subcontractor’s name, address and telephone
number, as applicable;
5. Subject identification including Contract reference;
6. Identification of any deviations from the Contract Documents; and
7. Engineer of Record’s stamp and signature.
Each Design-Builder transmittal form shall be limited to one transmittal and shall fully describe the
transmittal as outlined below. Design-Builder shall submit hardcopies in accordance with Appendix
B- Contract Data Requirements List (CDRL) and an electronic PDF copy of all correspondence and
data submittals.
All submittals shall use software compatible with the software used by the Authority. Drawings shall
comply with the Authority and applicable third party drafting requirements.
10.4 Identification Requirements
The following identification requirements are in addition to Design-Builder’s own identification, such
as drawing or document numbers. Each submittal item of the CDRL is identified by a numeric
designation according to location of the requirement in the Contract. Each item may require one or
more submittals and each submittal may be subject to revision from time to time. Identification of
CDRL and submittal numbers shall be provided by Design-Builder as follows:
A. CDRL numbering corresponds to the volume, document, and section number pertaining
to the location of the requirement in the Contract and shall adhere to the following
spacing convention: X.Y.ZZ.
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1. Example: General project management requirements are found in Volume 3,
Document 1, Section 1. The CDRL number for all project management
submittals would therefore be 3.1.01.
B. Each discrete submittal under a CDRL item will be identified based on the location of its
10.5 Submittals
requirement designation within the Contract. Specifically, submittal numbers shall
correspond to the volume, document, section, subsection, and item number under which
it is specified. Subsection and item numbers may contain letters or numbers. The
number is then followed by a sequential unique numerical suffix beginning with “01”,
which identifies the submittal as distinct from all others under that item. Submittal
numbers shall adhere to the following spacing convention X.Y.ZZ.AA.BB.CC.
1. Example: The Project Management Plan submittal requirement is designated
in Volume 3, Document 1, Section 1, Subsection 2. As there are no further
items under Subsection 2, its item number is “00”. Further, this is the first
submittal requirement under this CDRL number, thus it will be assigned
unique number “01”. The submittal number corresponding to the Project
Management Plan would therefore be 3.1.01.02.00.01.
Design-Builder shall include the following submittals in the master list of submittals:
A. Design Documents – Design drawings, reports, and Specifications as defined in Section
2.0 Design Management;
B. As-built drawings and current status documents – Refer to Section 7.0;
C. Shop Drawings – Fabrication or layout drawings required to supplement construction
drawings or individual specification sections for permanent incorporation in the Work;
D. Working Drawings – Design-Builder’s plan for temporary equipment or structures such
as decking, temporary bulkheads, support of excavation, support of Utilities, ground
water control, and forming and falsework; and for such other Work as may be required
for construction but do not become an integral part of permanent Work. Submit signed
and stamped Working Drawings, and associated calculations for temporary Work which
will not become a part of permanent structures included in this Contract.
1. Provide cross-reference to construction drawing numbers. Use a Working
Document sheet with a maximum size of 22 inches by 34 inches;
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2. Have Working Drawings prepared, stamped and signed by an engineer of the
involved discipline, currently registered as a professional engineer in the
State of California;
3. Verify field measurements and coordinate with pertinent contract drawings
from other contracts, where applicable;
4. Do not begin the Work for which Working Drawings and associated
calculations are required until drawings and calculations have been reviewed
by Authority; the Authority’s exceptions, if any, have been addressed, and
submittals have been returned to Authority with the required Design-Builder’s
and Designer of Record’s approval stamps and signatures;
5. Distribute copies of Working Drawings and calculations after the Authority's
review and, if required, its approval; and
6. Provide all information required by the Contract Data Requirement List
(CDRL), included as Appendix B;
E. Engineering calculations – Signed and stamped by the Designer of Record, an engineer
registered in the State of California for the involved discipline. Have calculations,
required by Specifications sections, prepared on 8½” x 11” sheets. When calculations
accompany drawings in a submittal, the body of the calculations must contain cross-
referencing to the individual drawing to which the page of the calculations pertain;
F. Permits, third party inspection reports, third party sign-offs – Documentation that
provides verification of third party permission to work and approval of the Work during
performance of the Work and at Project completion;
G. Certifications and documentation - Certificates or certified test results that demonstrate
proof of compliance with Specifications for products, materials, equipment, systems, and
qualifications of personnel, manufacturers, fabricators and installers. Documentation
required by the Contract Documents including miscellaneous items such as delivery
tickets, batch tickets and bills of materials;
H. Inspection and test procedures/reports - Test procedures for review and, if required,
approval by the Authority before commencement of testing. Provide test reports in the
accepted format for review by the Authority;
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I. Manufacturer/product data – Standard schematics and drawings, stamped calculations
and data, and product data:
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1. Modify manufacturers' standard schematic drawings to delete information
which is not applicable to the Contract. Supplement standard information
with additional information applicable to this Contract;
2. Modify manufacturers' standard catalog cuts, brochures, diagrams,
schedules, performance charts, illustrations, calculations, and other
descriptive data to delete information that is not applicable to the Contract.
Failure to comply with this requirement will result in rejection of the submittal.
Indicate dimensions, clearances, performance characteristics, capacities,
wiring and piping diagrams, controls, and other information as required;
3. Modify manufacturer's printed installation, erection, application and placing
instructions to delete information that is not applicable to the Contract;
4. Include appropriate information as required herein and the Contract
Documents; and
5. Submit certificates of compliance not later than 30 days before products are
installed. Have copy of certificate accompany the product for which the
certificate is prepared. Include on the certificate:
a. Affirmation that the product complies with respective requirements
indicated; and
b. Submittal date, Design-Builder's name and address, Contract title
and number, product represented and its location in the Contract,
producer's name, product trade name and catalog number, place
of product origin, test date, testing organization's name and
address, and quantity of the product furnished;
J. Permanent Materials Data, Mock-ups, and Samples:
1. Submit samples of sizes and quantities to clearly illustrate full color range and
functional characteristics of products and materials, including attachment
devices. Indicate country of origin;
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2. Erect field samples and mock-ups at the Site as specified in Contract
Documents, and as may be necessitated by Design-Builder, submitting
substitutions, at locations acceptable to the Authority;
3. Include appropriate information and have product data accompany samples;
and
4. Right is reserved to require submission of samples or Site mock-ups of any
material whether or not such material has been previously approved for use
elsewhere on the Project;
K. Operation and Maintenance Manuals – Operations and maintenance manuals as
specified in Section 11.3;
L. Construction progress photographs – Photographs documenting construction progress
as specified in Section 4.12;
M. Project schedules – Refer to Section 4.0 of these General Requirements for submittal
requirements;
N. Design-Builder shall send submittals directly to, resolve all comments directly with, and
obtain approvals directly from third parties, when required, with the exception of Metro.
The Authority will distribute submittals to Metro and provide consolidated (Authority and
Metro) comments to Design-Builder. Design-Builder shall provide a copy to the Authority
of any submittals sent directly to third parties; and
O. Design-Builder shall submit the interface management plan required in Section 2.1 that
identifies all interfaces associated with the Project and document how each interface will
be accommodated during the Contract.
10.6 Supplemental Submittals
Supplemental submittals initiated by Design-Builder for consideration of corrective procedures shall
contain sufficient data for review. Supplemental submittals shall be made in the same manner as
initial submittals.
10.7 Design-Builder Responsibilities
Design-Builder shall have the following responsibilities regarding all submittals:
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A. Coordinate each submittal with the requirements of the Work; place particular emphasis
upon ensuring that each submittal of one trade is compatible with other submittals of that
trade and submittals of other trades;
B. Design-Builder’s responsibility for errors and omissions in submittals and associated
calculations is not relieved by the Authority’s review, correction and/or approval of
submittals;
C. Design-Builder’s liability to the Authority in case of deviations in the submittals from the
requirements of the Contract Documents is not relieved by the Authority’s review and
approval of submittals containing deviations unless the Authority expressly approves the
deviation through the issuance of a Change Order;
D. Design-Builder shall maintain a file of all Approved/Approved as Noted/Approved for
Construction submittal documents at the Site;
E. Prior to submitting any material to the Authority for its review and/or approval, Design-
Builder shall review all of its submittals including design drawings and data, and stamp
and sign them as reviewed and approved by Design-Builder, to demonstrate to the
Authority that Design-Builder has performed an internal review and checked the
submittal as part of the design control procedures of the quality control/quality assurance
plan (QCQAP);
F. Make submissions sufficiently in advance of the Work so that the Authority review may
be completed in accordance with the CDRL; and
G. Allow a minimum review cycle pursuant to the CDRL for review of each submittal by the
Authority and other agencies.
The CDRL is provided in Attachment B as an aid to allow Design-Builder for planning and
scheduling of the development of many required submittals. In those cases where the submittal
delivery is at Design-Builder’s discretion, the delivery date column of the table for that submittal
contains the acronym “DBC”, meaning determined by contractor. In all cases and for all CDRL
submittals, the requirements of Section 4.6 apply, i.e., all CDRLs shall be included as separate
activities in the Baseline Schedule or Current Project Schedule.
10.8 Authority’s Review
Review and/or Approval, Approval as Noted, or any other similar action by the Authority will not
relieve Design-Builder from its responsibility for accuracy of submittals, for conformity of submittals
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to requirements of the Contract Documents, for compatibility of described product with contiguous
products and the rest of the facility, structure, Utility, etc., or for prosecution and completion of the
Work in accordance with the Contract Documents. The Authority will withhold approval of
submittals that depend on other submittals not yet submitted or not yet “Approved” or “Approved as
Noted.”
The Authority will review submittals for approval for general conformity with the Contract
Documents and provide status of the submittals to Design-Builder, along with any associated
comments if applicable. The Authority’s submittal status determinations shall have the following
meanings:
A. Approved shall mean that every illustration and description appears to conform to the
respective requirements of the Contract Documents; fabrication, assembly, manufacture,
installation, application, and erection of the illustrated and described product may
proceed; the submittal is approved and need not be resubmitted (See also Volume 2-
Design-Build Contract, Appendix 1- Abbreviations and Definitions);
B. Approved as Noted shall mean that the submittal and its contents appear to conform to
the respective requirements of the Contract Documents for that submittal after revisions
are made to the areas noted in recognition of the reviewer’s comments. Submittals so
marked need not be resubmitted unless otherwise indicated; fabrication, assembly,
manufacture, installation, application, and erection of the illustrated and described
product may proceed after the Authority’s comments are incorporated. Approved as
Noted submittals sent back with request to resubmit for Authority approval shall be
revised based upon Authority comments and submitted to the Authority as the
appropriate revision number; fabrication, assembly, manufacture, installation,
application, and erection of the illustrated and described product may not proceed until
after the Authority has indicated no resubmission is required;
C. Approved for Construction shall mean that every illustration and description appears to
conform to the respective requirements of the Contract Documents; fabrication,
assembly, manufacture, installation, application and erection of the illustrated and
described product may proceed; the submittal is Approved for Construction and need not
be resubmitted; and
D. Rejected, Revise and Resubmit shall mean that the submittal is deficient to the degree
the reviewer cannot correct the submittal with a reasonable degree of effort, has not
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made a thorough review of the submittal, and/or the submittal needs revision and is to
be corrected and resubmitted, within 30 days for review.
Submittals requiring the Authority’s approval will receive said approval, approval as noted, approval
for construction, or rejection. Submittals not requiring the Authority’s approval are For Record Only.
For Record Only shall mean that the submittal was not reviewed for approval and was received for
information only. The Authority may, however, use the submittal to verify or monitor Design-
Builder’s Work and/or progress and may elect to provide comments. In the event that the Authority
elects to provide comments to submittals not requiring approval, Design-Builder will receive the
Authority’s comments within 30 days of receipt. For submittals not requiring approval, absence of
the Authority’s comments shall not be the basis for Design-Builder’s lack of release or lack of any
other action required to maintain the Baseline Schedule or Current Project Schedule. Review of a
separate item will not constitute review of an assembly in which the item functions. Refer to the
Contract Data Requirement List (CDRL) for the types of documents to be submitted For Record
Only.
Any comment by the Authority shall not relieve Design-Builder of the obligation to fully satisfy all of
the requirements of the Contract Documents, or be interpreted as a directive to perform any work
that is not already called for in the Contract Documents. By reviewing Design Documents and other
submittal documents, the Authority shall not become a responsible party for any specific submittal
or design; rather, the Authority’s review will be generally provided for the purpose of early
identification of any submittals and designs which it believes are not in conformity with the
requirements set forth in the Contract Documents.
If a submittal is Rejected, no time that elapsed as part of the review of the Rejected submittal shall
be credited against the time period to review the resubmitted submittal. The Authority may withhold
payments for Rejected submittals.
Changes to any Authority Approved or Approved as Noted submittals will not be permitted unless
those changes have been approved, respectively, in writing by the Authority.
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11.0 ADDITIONAL DESIGN-BUILDER REQUIREMENTS
11.1 Mitigation Monitoring Program
Design-Builder shall be responsible for the performance, compliance, monitoring, and reporting of
environmental mitigation measures identified in Volume 4- Environmental Requirements that are
applicable to the scope of work for the Project.
Design-Builder shall provide to the Authority bi-annual updates of the status of all environmental
mitigation measures and a final report documenting compliance with all environmental mitigation
measures.
11.2 Coordination and Conformity with Agreements
11.2.1 Work Plans
In order to assist the Authority with preparation and issuance of Work Orders to applicable third
parties in accordance with their respective agreements, (as provided in Volume 5- Agreements or
as may be entered into between the Authority and a third party), Design-Builder shall prepare and
submit to the Authority, in accordance with the applicable schedule set forth in Volume 5-
Agreements, annual work plans addressing activities that likely will require Work Orders for the
applicable third party during its fiscal year. The work plans shall address all anticipated work to be
performed by the third party within the terms of the third party agreement. If requested by the
Authority, Design-Builder shall prepare and submit draft Work Orders to the Authority for approval,
submittal to the third party, and execution.
11.2.2 Information and Documentation
Design-Builder shall supply all information and documentation as requested by Authority in order to
assist Authority in developing reports, schedules, plans, and other documentation and materials
contemplated by the third party agreements in connection with the Project.
11.3 Operations and Maintenance Manuals
Design-Builder shall provide operations and maintenance (O&M) manuals and data that
comprehensively address elevators, UPS, HVAC, sump pump, fire suppression, and any other
equipment assemblies and equipment delivered to the Project for the Parking Facilities.
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11.3.1 General Manual Requirements
Manuals shall be written in American English, to be understood by a high school graduate with two
years of experience in a related field. The writing shall be concise and free of ambiguities.
Manufacturers’ standard manuals may be acceptable, subject to Authority approval. Revisions to a
manual shall be reflected in a revision index included in each manual and revised with each manual
update.
Content overview for manual:
A. Theory of operation;
B. Schematic diagrams;
C. Preventive maintenance tasks and procedures, including recommended intervals;
D. Test procedures;
E. Safety precautions;
F. Functional relationship with other equipment or systems; and
G. Operational limits and restrictions.
Detailed Manual Content:
A. Index of volumes, in each volume of multiple volume systems;
B. Index, in and for each volume. List and combine the literature, for each system, in
sequence of operation;
C. Names, addresses, and telephone numbers of contractor, suppliers, and installers;
D. Names, addresses, and telephone numbers of manufacturers' nearest service
representatives;
E. Names, addresses, and telephone numbers of local parts vendor and service agency;
F. Anticipated date Design-Builder releases responsibility for maintenance;
G. Description of system and component parts;
H. Pre-operation check or inspection list;
I. Procedures for starting, operating, and stopping equipment;
J. Post-operation check or shutdown list;
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K. Inspection and adjustment procedures;
L. Emergency operating instructions;
M. Accepted test data;
N. Maintenance schedules and procedures;
O. One copy of each wiring diagram;
P. One copy of each piping diagram;
Q. One copy of each duct diagram;
R. One copy of each accepted shop drawing;
S. Manufacturers' parts lists with catalog names, numbers, and illustrations;
T. Exploded view of each piece of equipment with part designations;
U. List of manufacturers' recommended spare parts, prices, and quantities for two years of
operation;
V. List of special tools and test equipment required for the operation, maintenance,
adjustment, testing, and repair of the equipment, instruments and components;
W. Scale and corrosion control procedures;
X. Dismantling and reassembly instructions;
Y. Troubleshooting and repair instructions;
Z. Calibration procedures;
AA. Ordering information; and
BB. Transmittal memo and document table of contents to identify clearly if any
warranties/guarantees and spare parts are included in the manual and the relevant page
numbers on which they are noted.
Hardcopy format of manuals: Design-Builder shall be responsible for submitting manuals
consistent with Metro’s existing manuals. Operation and maintenance manual hardcopies shall
typically be printed on 8½” x 11” paper and bound by 3-ring binders or equivalent approved by the
Authority. Diagrams or illustrations can be printed on a maximum size of 11” x 17” and creased
such that the title sheet is visible when folded. The manual covers (binders) shall be 30 to 50
millimeters thick and shall be resistant to wear, oil, grease, and solvents.
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Electronic format of manuals: Design-Builder shall transfer all final manuals and revisions in PDF
format.
11.3.2 Operating Manuals
In accordance with the CDRL, Design-Builder shall prepare and submit for Authority approval a
complete set of operating manuals covering the detailed operating procedures for elevators, UPS,
HVAC, sump pump, fire suppression, and any other components of the Project.
The operating manuals shall contain all information needed to operate the equipment, and shall
include, at least, the following:
A. General familiarization materials;
B. Location, function and operation of pertinent systems and subsystems;
C. Start-up and shut-down procedures;
D. Trouble symptoms, diagnostic methods and procedures for isolating faults;
E. Operating data, initial calibration/setup, etc; and
F. Emergency Procedures.
11.3.3 Maintenance Manuals
Maintenance manuals shall be provided for all elevators, UPS, HVAC, sump pump, fire
suppression, and any other equipment. These manuals shall provide detailed procedures and
reference data for performing all of the required maintenance tasks. The manuals shall include
expanded assembly pictorials and complete instructions for assembly and disassembly as required.
The maintenance manuals shall contain information that includes:
A. Preventive maintenance and overhaul schedules;
B. Descriptions of maintenance procedures;
C. Description of Project operation including interactions between major subsystem
elements;
D. Detailed descriptions of individual components and assemblies including clearances;
tolerances, circuit operations, test point voltages, waveforms, etc., with references to
Project drawings as applicable down to the lowest replaceable unit (LRU);
E. Detailed descriptions of operational procedures for all manual operations;
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F. Detailed description of test equipment operation and procedures for its correct use in
equipment maintenance;
G. Description of replacement parts, including identifying description and parts numbers as
necessary to order such parts from the original parts supplier or manufacturer. These
shall be a complete parts list for all numbered parts, correlating the parts number with
the parts name, and name of the original manufacturer down to and including the LRU.
Where an LRU is not a Design-Builder-specific design or product but is purchased from
a vendor or Subcontractor, the Original Equipment Manufacturer (OEM) shall be
identified together with the OEM-specified part and/or model numbers and copies of the
OEM maintenance instructions;
H. Appropriate drawings, literature and other information which accompany LRUs
purchased from other vendors. These may be provided as appendices to the manuals;
I. Troubleshooting guides at the system, subsystems and component equipment level to
aid diagnosis of common failure modes;
J. Basic schematic and block diagrams and the requirements for setting up and use of
diagnostic test equipment and special tools;
K. Maintenance data, inspection logs, adjustments, repairs, etc; and
L. Integrated wiring diagrams, schematic drawings and interconnection diagrams.
11.3.4 Required Submittals
To fulfill the operations and maintenance manual requirements under this Contract, Design-Builder
shall provide the followings submittals for the review and acceptance of the Authority:
A. Manual format – Not later than 90-days prior to equipment installation, submit the
proposed format and table of contents for each of the Operation and Maintenance
manuals;
B. Draft manuals – Not later than 30-days prior to equipment installation, submit the
Operation and Maintenance manuals in final form for Authority review and comment;
C. Final manuals – Not later than 30-days prior to Substantial Completion, submit the final
operation and maintenance manuals with Authority comments incorporated; and
D. Manual revision – Through warranty period, update pages, as necessary for each
Operation and Maintenance manual.
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11.4 Spare Parts and Materials
Design-Builder shall provide consumable parts recommended by the manufacturer to support the
operation of the Parking Facilities for a period of one year after Substantial Completion.
Design-Builder shall provide spare parts for elevators, UPS, HVAC, sump pump, fire suppression,
and any other equipment. The direct costs of spare parts will be paid from the Provisional Sum set
forth in Contract Section 7.1.2. The definitive lists of recommended spare parts with quantities and
prices shall be developed by Design-Builder and submitted to the Authority for review and approval.
The Authority will finalize the list and provide them to Design-Builder for procurement of the spare
parts.
Design-Builder shall also provide spare materials for all architectural material on the Project in a
quantity equal to 2% of the total used.
11.4.1 Packaging
The packaging of each spare part or consumable part shall consider the requirements for inspection
and inventory. Design-Builder shall package the materials as follows:
A. Package and label spare parts and replacement materials in moisture proof containers
suitable for shipment and storage. Attach copies of shipping list in package and to
exterior of package. Submit procedures for packaging of spare parts for review and
approval by the Authority or its designee prior to any delivery of spare parts;
B. Packaging shall consider the durability and reliability of the parts and the normal
procedures for inspecting and inventorying (e.g., the packaging selected for highly
durable parts shall be such that the parts can be identified, inspected, stored for long
periods, and endure multiple inventories);
C. Ship spare parts and materials as directed by the Authority or its designee;
D. Coordinate delivery of spare parts and materials with Metro prior to Substantial
Completion;
E. Unload spare parts and materials in a manner which will prevent damage to packages
and contents. Spare Parts maybe inspected for damage. Damaged parts and materials
will be returned to Design-Builder to be replaced with undamaged parts and materials, at
no additional cost to the Authority; and
F. Apply preservative coatings to all materials subject to corrosion.
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11.4.2 Part Identification
Design-Builder shall provide an inventory of the supplied spare parts. The inventory list shall have
the following information:
A. Item by item listing;
B. Applicable system (e.g., ventilation, elevators, etc.);
C. Quantity provided;
D. Product name/description (starting with the appropriate key word, followed by key word
modifiers);
E. Manufacturer’s name, address and telephone number;
F. Manufacturer’s part number;
G. Manufacturer’s model number;
H. Unit of measure (each, feet, etc.);
I. Unit cost;
J. Local distributor (name, address, Federal ID and phone number);
K. Distributor's part number;
L. Authorized OEM rebuild facility (name, address and phone number);
M. Storage restriction, if applicable, such as shelf life;
N. Confirmation of whether part is hazardous or not. Include MSDS sheet if hazardous;
O. Recommended stocking quantities;
P. Alternate vendor sources; and
Q. Spare parts not readily available shall be labeled as such.
11.4.3 Special Tools
Design-Builder shall supply a complete set of special tools recommended by the manufacturer(s)
for the Work, including all architectural building material, elevators, mechanical, and electrical
equipment.
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APPENDICES
Appendix A Environmental Sustainability Guidelines and Checklist
Appendix B Contract Data Requirement List
Appendix C Tree Removal Policy
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