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Section 3: Specification List

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Overview

Each Standard Specification item, Special Provision, and Special Specification proposed for a project must be listed using a standard format. This listing is called the List of Governing Specifications and Special Provisions, more commonly referred to as the “Specification List” or “spec list.” This Specification List is used to assemble the bidding proposal through automated computer programs. Special Provisions and Special Specifications contained in the Specification List are assembled in the bidding proposal. The bidding proposal is a legal document on which the contractor bases bids for a project. Hence, the completeness and accuracy of the Specification List is important.

This section covers:

  • Specification list components
  • Specification list creation
  • Specification list review
  • Specification list checklist
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Specification List Components

Components of the Specification List are:

  • Standard specifications
  • Special provisions
  • Special specifications
  • Reference items
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Standard Specifications

This portion of the Specification List always contains Items 1 through 9, which are “General Requirements and Covenants.” (See Specification List ( speclist) example.) It also always contains the items “Mobilization,” “Barricades, Signs, and Traffic Handling” and “Temporary Erosion, Sedimentation, and Water Pollution Prevention and Control.” The Specification List provides a listing of the items shown in the estimate. See Chapter 4, Section 2, determination of bid items. Reference items are shown adjacent to their respective standard and Special Specifications, as applicable.

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Special Provisions

This section of the Specification List will contain all the required and optional provisions. Different contract Special Provisions are used on federally funded and state-funded contracts. Under the present system only one Special Provision to any bid item can be used, with the following exception: An alternate bid item description may have different Special Provisions from its base bid item.

Required Triple Zero Provisions also vary between state and federally funded contracts. Other Triple Zero Provisions are project specific irrespective of the funding. Examples of these would be “Detours, Barricades, Warning Signs, Sequence of Work, etc.,” or an “Important Notice to Contractors” which may list unclear utilities and/or right-of-way parcels. The following subsections discuss:

  • Important Notice to Contractors
  • Railroad insurance Special Provision to Item 7
  • Road User Cost Provisions and accelerated contruction strategies through Special Provision 008---069 or 008---070 which consolidate accelerated construction strategy provisions to the contract.
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Important Notice to Contractors

This provision is a Triple Zero Special Provision and directs the attention of the contractor to any of the following as may be necessary:

  • Outstanding utilities
  • Outstanding right-of-way
  • Outstanding right-of-way encroachments
  • Relocation assistance
  • Other (contamination information, local materials sources, etc.)

These Special Provisions need to be included with the PS&E when sent to Austin.

Outstanding utilities. A notice will be included when utility adjustments required for the construction of the project are still remaining at the time of letting. The contractor is invited to review the list of outstanding utility adjustments with the Area Engineer. The list includes the owner of the utility, a description of the utility, the location of the utility and an estimated completion date of the outstanding adjustment. An example of Important Notice to Contractors regarding Outstanding Utilities can be found at (internal use only) http://crossroads/org/des/fs/OutstandingUtilities.rtf.

Outstanding right-of-way. A notice will be included when right-of-way acquisition required for the construction of the project has not been completed at the time of letting. The contractor is invited to review the list of outstanding right-of-way with the Area Engineer. The list includes the parcel number, the owner, the location and an estimated acquisition date of the outstanding parcel. An example of Important Notice to Contractors regarding Outstanding Right-of-Way Acquisition can be found at (internal use only) http://crossroads/org/des/fs/OutstandingROWandUtilities.rtf.

Outstanding right-of-way encroachments. A notice will be included when existing improvements within the project right-of-way remain which would conflict with the contractor’s operations. Estimated date of removal would be included for the contractor’s information. An example of Important Notice to Contractors regarding ROW Encroachments can be found at (internal use only) http://crossroads/org/des/fs/OutstandingROWEncroachments.rtf.

Relocation assistance. A notice will be included when former property owners or tenants have not vacated the property. Estimated dates of relocation will be supplied in this Special Provision. An example of Important Notice to Contractors regarding Unvacated ROW Parcels (Relocation Assistance) can be found at (internal use only) http://crossroads/org/des/fs/RelocationAssistance.rtf.

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Railroad Insurance Special Provision to Item 7

The following paragraphs deal with

  • Contractor requirement
  • Special Provision to Item 7 preparation
  • Estimated cost of work formula

    Contractor requirement. Special Provision to Item 7, Legal Relations and Responsibilities to the Public, describes the contractor’s requirement for obtaining railroad protective insurance. If the project crosses or is in close proximity to the railroad tracks, this provision is required. The estimated cost of the work to be performed by the contractor within the operating track or tracks and number of regularly scheduled trains per day passing the site of work has a direct bearing on the premium rates for the above-mentioned insurance. This Special Provision contains details specific to the project regarding railroad operations and the contractor’s work. The following information is provided to the contractor in this Special Provision:

  • Name and address of the railroad company
  • Number of regular train movements
  • Number of switching movements
  • % estimated cost of work

Addendum preparation. Individual districts are responsible for preparing the Special Provision. The Special Provision is prepared by using the Microsoft Word template. The districts coordinate with the CST Construction Section to get this Special Provision approved and a number assigned. For information on how to prepare Special Provisions using the Microsoft Word template, see DCIS User Manual, Chapter 5, How to Prepare Special Provisions/Specifications. References to Addendum, or Addendum 1 to Item 7 need to be removed and replaced with Railroad Insurance Provision to Item 7 or Special Provision. These are forwarded to the Construction Division specification section. The Railroad Division may assist the districts in preparing the Special Provision to Item 7. Please contact the rail highway section for assistance.

Additionally, there may be General Notes specific to individual railroads that are required. To obtain the most current information required for drafting this Special Provision and information on General Notes, contact the Railroad Division.

Estimated cost of work formula. The following formula is used to determine the estimated cost of work. This cost is always 0.1% or greater.

% Estimated Cost of Work =

W = Length of individual roadway (CSJ) on the railroad ROW (generally 100 feet)

L = Length of individual roadway in feet (CSJ)

C = Cost of individual CSJ (not including E&C)

TC = Total cost of project (not including E&C; TC = C in projects with one CSJ)

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Road User Cost Provisions

In the past, on most TxDOT projects, the contractor’s progress towards project completion was controlled by specifying the number of working days and then assessing contract administration liquidated damages when construction went beyond the contract time allowed. Contract administration liquidation damages were based on the daily cost incurred by the state to continue administering the contract beyond the time established in the contract.

Section 223.012(a)(1) of the Transportation Code requires TxDOT to “develop a schedule of liquidated damages that accurately reflects the costs associated with project completion delays, including administrative and travel delays.” Travel delay costs are commonly referred to as road user costs.

The next paragraphs cover these topics relating to road user cost provisions:

  • Use of road user cost
  • Incentives
  • Road user cost application
  • A+B bidding description
  • Function of part “B”
  • A+B bidding use

    Use of road user cost. The guidelines outlined herein are to be used as an aid when making decisions on whether to require road user cost on projects. Road user cost, in addition to contract administration costs, should be considered for the following types of projects:

  • Projects that add capacity (may include grade separations)
  • Projects where construction activities are expected to have an economic impact to local communities and businesses
  • Rehabilitation projects in very high traffic volume areas

    In addition to meeting at least one of the above, a secondary evaluation should be made considering the following:

  • Conflicting utilities will be relocated prior to construction and the right-of-way is clear.
  • There is an adequate inspection force available.
  • 25% of the estimated road user cost is greater than the contract administration liquidated damages.

    If any of the secondary criteria is not met, the district should re-evaluate the proposed use of road user cost liquidated damages before making the decision.

    Other considerations when increasing liquidated damages over the standard amounts are as follows:

  • If liquidated damages exceed $10,000/day, a daily bonus incentive equal to the daily liquidated damages (with a cap on the number of days) should be offered.
  • It is important to have a good estimate of the contract time.
  • Calendar day/working day definition should be used.
  • The working day definition needs to clearly specify the allowable work hours.
  • The beginning and ending of each phase must be clearly defined.
  • The maximum bonus amount must be specified.

    Anchor: #i1035955Table 3-2: Table of Road User Cost Guidelines

    Suggested Road User Requirements

    Type of Projects

    A+B Bidding Strategy

    May be used on projects with high volumes that have a significant impact on the local business or create road user cost in excess of $40,000.00. A+B bidding should be used on a very limited basis (CPM required). The maximum number of days that may be bid must be specified.

    Road User Cost with Incentive

    There are new requirements for use of CPM scheduling (1002 page 5 of 5), and Amadeo Saenz’ Accelerated Construction Memo 7-12-04. Special Provisions 008---069 and 008---070 consolodate accelerated construction strategies.

    Road User Cost without Incentive

    May want to use road user cost without incentives on projects where the risk of having utility conflicts is high, such as projects in older urban areas.

    Contract Administration Liquidated Damages (CALD) Only

    Majority of TxDOT projects.



Incentives Using CALD

Incentives. When the decision has been made to use road user cost, districts should include incentives with the disincentive. There may be occasions when the potentials of discovery of unknown utilities during construction make it prudent to include road user cost as disincentives only. When including incentives, a maximum bonus (number of days) is included in the project proposal. Further, only 25% of the calculated road user cost should be used for the rates shown in the plans. Calendar day definitions should also be used for all incentive projects and may be used on road user cost projects without incentives.

Road user cost application. The daily rate for road user cost may only be applied to the point of completed (end phase) stated in the plans for each phase or substantial completion for the total project. Substantial completion is defined as occurring when all project work requiring lane or shoulder closures or obstructions is completed, and traffic is following the lane arrangement as shown on the plans for the finished roadway or phase.

A+B bidding description. Another strategy for encouraging timely project completion is A+B bidding. A+B bidding involves setting up the contract so that bidders bid the normal bid items (Part A), and also bid the number of working days (Part B). The value of a day is established by the designer based on contract administration costs and road user costs. The objective in A+B bidding is, by having the contractors competitively bid the contract time, to have the cost to the traveling public be accounted for in the bidding process.

Function of part “B.” The “B” part of the contract does not result in monthly progress payments to the contractor. It is used only to determine the low bidder. However, to the extent that the contractor completes the project in advance, or in excess of the number of working days bid, the liquidated damages (contract administration costs plus road user costs) used in the calculation of Part “B” becomes the basis for bonus incentives or disincentive.

A+B bidding use. A+B bidding should only be used on projects with very high road user cost and where the contractor has a maximum degree of control over the project. For example, all right-of-way is acquired and all utilities are adjusted prior to construction. When specifying A+B bidding, it’s important that nothing impedes the operation beyond the contractor’s control. Special Provisions to Items 1, 2, 3, 8, 9 and a customized Schedule of Liquidated Damages may be required in order to properly set up road user costs or A + B bidding.

Special Provisions to Items 1, 2, 3, 8, 9 and a customized Schedule of Liquidated Damages may be required in order to properly set up road user costs or A+B bidding.

The decision to utilize any of these strategies is within the authority of the district engineer. For assistance in drafting the necessary Special Provisions, contact the appropriate Design Division, Field Section representative. For technical assistance in performing a road user cost analysis, contact the Traffic Operations Division.

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Special Specifications

All Special Specifications under which payment is to be made or which are used as reference items must be listed by number and title. Particular attention should be given to insure that any standard items or other Special Specifications referred to in the Special Specifications are indicated as reference items.

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Reference Items

Reference items are standard or Special Specifications used to supplement other specifications. They are noted, mentioned, or referenced in the specification itself or in a plan or general note or by provision. Reference items must be referred to in the Specification List to verify that subsidiary work is performed in accordance with them. Special Specifications used as reference items will be listed under the Special Specifications so a copy of the Special Specification will be included in the proposal. In order for a non-pay item to be included in the executed contract, it must be shown as a reference to one of the items listed.

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Specification List Creation

The DCIS Specification List cannot be prepared until the DCIS estimate (P4) has been input (see P4 in Chapter 4, Section 2). Accordingly, the Specification List should be the last part of the PS&E to allow the designer the opportunity to incorporate all changes to the estimate into the Specification List. Each district is responsible for the creation of the Specification List on DCIS.

The "C3" screen in DCIS is used to create the Specification List. To prepare the Specification List on DCIS, the project identification screen (P1) and the project estimate screen (P4) must be complete. To reach the (C3) screen, sign on to DCIS and on the menu screen, enter the tag of C3, enter the contract CSJ, and then press the ENTER key. For more information on the C3 screen see DCIS User Manual Chapter 4, Section 3. The next subsections give procedure and guidelines for:

  • Specification list preparation
  • Specification list editing
  • Specification list printing

    Specification list preparation. The Specification List should be the last part of the PS&E to be prepared to verify that any last minute changes were incorporated into the Specification List. The items contained in the plans, estimate, and General Notes must be shown on the Specification List.

    To prepare the Specification List, the project identification (P1) screen and the project estimate (P4) screen on DCIS must be complete. Refer to Chapter 4, Section 3 in the DCIS User Manual. The SPEC BOOK YEAR field on the P1 screen must have “95” keyed in to create a Specification List using the 1995 specifications or have “04” keyed in to create a Specification List using the 2004 specifications. Each district is responsible for the creation of the Specification List records in DCIS. The Specification List becomes part of the bidding proposal so that each Standard Specification Item, Special Provision, and/or Special Specification proposed for the project(s) is listed and identified in the contract. Table 3-3 details steps to create a Specification List on DCIS.

    Anchor: #i1007006Table 3-3: Specification List Creation Procedure

    Step

    Action

    1

    Sign on to DCIS. The screen shown in Figure 3-1 will appear.

    2

    Key in “C3” for the BUILD SPECIFICATIONS LIST and enter the contract or controlling CSJ. Press ENTER. The screen shown in Figure 3-2 will appear.

    3

    On the SPECIFICATION LIST BUILD MENU screen, enter “A” in the PROGRAM OPTION field and press ENTER.

    4

    Press the F10 key to build and save the Standard Specifications.

    5

    Press the F2 key to return to the SPECIFICATION LIST BUILD MENU screen.

    6

    On the SPECIFICATION LIST BUILD MENU screen, enter “B” in the PROGRAM OPTION field and press ENTER.

    7

    Press the F10 key to build and save the Special Specifications.

    8

    Press the F2 key to return to the SPECIFICATION LIST BUILD MENU screen.

    9

    On the SPECIFICATION LIST BUILD MENU screen, enter “C” in the PROGRAM OPTION field and press ENTER.

    10

    Press the F10 key to build and save the Special Provisions.

    11

    Press the F2 key to return to the SPECIFICATION LIST BUILD MENU screen.

    12

    On the SPECIFICATION LIST BUILD MENU screen, enter “D” in the PROGRAM OPTION field and press ENTER.

    13

    Press the F10 key to build and save the 000’s provisions.

    14

    Press the F2 key to return to the SPECIFICATION LIST BUILD MENU screen.

    15

    On the SPECIFICATION LIST BUILD MENU screen, enter “E” in the PROGRAM OPTION field and press ENTER. Figure 3-3 shows the system response.

    16

    Make the necessary changes and press the F3 key then the F10 key to update the information.

    17

    Press the F12 key to exit the program and return to the DCIS menu screen.


    DCIS Menu Screen (click in image to see full-size image) Anchor: #i1001914grtop

    Figure 3-1. DCIS Menu Screen

    Specification list editing. To edit an existing Specification List, sign on to DCIS and enter “C3” for the BUILD SPECIFICATIONS LIST and enter the contract or controlling CSJ. The steps shown in Table 3-4 explain how to edit the Specification List at the SPECIFICATION LIST BUILD MENU screen.

    DCIS Specification List Build Menu Screen (click in image to see full-size image) Anchor: #i1001916grtop

    Figure 3-2. DCIS Specification List Build Menu Screen

    Anchor: #CHDDJEJITable 3-4: Specification List Editing Procedure

    Step

    Process

    1

    On the SPECIFICATION LIST BUILD MENU screen, enter “A” in the PROGRAM OPTION field and press ENTER to edit Standard Specifications.

    NOTE: (NOTE: Only reference items can be changed on this screen. To add or delete a bid item, edit the estimate on the project estimate (P4) screen.)

    2

    Enter a “C” in the CHG IND field, then tab to the reference item to be deleted or to a blank field to enter a new reference number. Press the ENTER key after all changes are made. Press the F10 key to update the Standard Specifications.

    3

    Press the F2 key to return to the SPECIFICATION LIST BUILD MENU screen.

    4

    On the SPECIFICATION LIST BUILD MENU screen, enter “B” in the PROGRAM OPTION field and press ENTER to edit Special Specifications. The highlighted items in the bid item column are Special Specifications that were listed under the standard or Standard Specification items as reference items, or as bid items on the estimate, so that they can be included in the proposal. To edit these highlighted items, change the standard or Standard Specification items to which they are referenced, or the item on the estimate.

    NOTE: (Only reference items can be changed on this screen. To add or delete a bid item, edit the estimate on the project estimate (P4) screen.)

    5

    Enter a “C” in the CHG IND field, then tab to the reference item to be deleted or to a blank field to enter a new reference number. Press ENTER after all changes are made. Press the F10 key to update the Special Specifications.

    6

    Press the F2 key to return to the SPECIFICATION LIST BUILD MENU screen.

    7

    On the SPECIFICATION LIST BUILD MENU screen, enter “C” in the PROGRAM OPTION field and press ENTER to edit Special Provisions. The highlighted items can be changed or deleted.

    8

    To change the Special Provision number, enter a “C” in the CHG IND field, then tab to the Special Provision number to be changed or deleted, or tab to a blank field to enter a new number. Press ENTER after all changes are made. Special Provisions that affect bid items need to be updated through the engineer’s estimate.

    NOTE: (Entering “C” in the CHG IND field, allows changing only one line at a time.)

    9

    To delete all optional Special Provisions to an item, enter a “D” in CHG IND field. Press ENTER.

    10

    To add a Special Provision, enter an “A” in the CHG IND field and press ENTER. Then enter the item number and Special Provision number to be added, and press ENTER.

    11

    After all changes have been made to the Special Provisions, press the F10 key to update and save the Special Provisions.

    12

    Press the F2 key to return to the SPECIFICATION LIST BUILD MENU screen.

    13

    On the SPECIFICATION LIST BUILD MENU screen, enter “D” in the PROGRAM OPTION field and press ENTER to edit 000’s provisions.

    14

    To change the 000’s provisions, enter a “C” in the CHG IND field and make the necessary changes. Press ENTER.

    15

    To delete 000’s provisions, enter a “D” in the CHG IND field. Then press ENTER.

    16

    To add a 000’s provisions, enter an “A” in the CHG IND field and press ENTER. Then enter the 000’s provisions title and number to be added, and press ENTER.

    17

    After all changes have been made to the 000’s provisions, press the F10 key to update the changes.

    18

    Press the F12 key to exit the program and return to the DCIS menu.


    Contact your Field Section reviewer in the Design Division to delete the Specification List.

    DCIS Specification List Build Menu - Program
Option E Screen (click in image to see full-size image) Anchor: #i1002471grtop

    Figure 3-3. DCIS Specification List Build Menu - Program Option E Screen

    Specification list printing. Once all the information for the Specification List on DCIS is entered, print a copy of the Specification List. Table 3-5 provides useful information for printing the Specification List.

    Anchor: #i1007125Table 3-5: Specification List Printing Procedure

    Step

    Action

    1

    Sign on to your ROSCOE account.

    2

    Type “RJEJCL 10 2” and press ENTER (see Figure 3-4 for system response).

    3

    Key in necessary JOB CARD INFORMATION. (Your AA should be able to answer any questions about this screen.) Press ENTER (see Figure 3-5 for system response).

    4

    Key in “19” for Automatic Specifications List and press ENTER (see Figure 3-6 for system response).

    5

    Key in the contract or controlling CSJ and press ENTER (see Figure 3-7 for system response).

    6

    Key in “X” by Submit the job using JSUB. Press ENTER twice.


    ROSCOE Job Card Information Screen (click in image to see full-size image) Anchor: #i1003971grtop

    Figure 3-4. ROSCOE Job Card Information Screen

    ROSCOE DCIS Reports Menu Screen (click in image to see full-size image) Anchor: #i1003973grtop

    Figure 3-5. ROSCOE DCIS Reports Menu Screen

ROSCOE Specification List Report Screen (click in image to see full-size image) Anchor: #CHDFJFJIgrtop

Figure 3-6. ROSCOE Specification List Report Screen

ROSCOE RJEJCL Submission Screen (click in image to see full-size image) Anchor: #i1003977grtop

Figure 3-7. ROSCOE RJEJCL Submission Screen

Detailed instructions on building the Specification List may be found in the DCIS User Manual, Chapter 4. Detailed instructions on printing the Specification List may be found in Chapter 5, under Report Program Selections in the DCIS User Manual.

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Specification List Review

After completing the Specification List, a detailed examination should be performed to verify that all necessary items have been included.

  • In addition to the items listed in the estimate, Items 1 through 9, Mobilization, Barricades, Signs, and Traffic Handling, and Temporary Erosion, Sedimentation, and Water Pollution Prevention and Control, must always be included.
  • If a field laboratory or field office is desired, Facilities for Field Office and Laboratory, must also appear on the Specification List along with a note in the General Notes specifying the type of laboratory or field office required.
  • A check of reference items should be made.

    Reference items are included in the Specification List to inform the contractor that other subsidiary items of work is performed in compliance to the referenced item. For all projects, go to the Construction Division’s Internet site at http://www.dot.state.tx.us/business/specifications.htm for a checklist of 95 specs (metric units) and for 04 specs (English units). If these reference items are the result of a reference in the Standard Specifications, no additional note needs to be added to the PS&E. If however, the reference item is specified by the designer and not specified in the appropriate specification, it should be the result of a note in the General Notes or the plans.

  • The appropriate Special Provisions should be included.
  • A list of required and special case Special Provisions exists in the Construction Division’s Internet site at http://www.dot.state.tx.us/apps/specs/chklst_toc.asp?year=3 for 2004 specifications and http://www.dot.state.tx.us/apps/specs/chklst_toc.asp?year=2 for 1995 specifications. With an updated list of Special Provisions at hand, simply check to see if all required and needed special case Special Provisions are included. Those which are not on the Specification List must be added manually. Required Special Provisions must also be included for reference items.

  • The automatic Specification List system will take care of the majority of your required Specification List items.
  • Your primary task will be to add new specifications and provisions, and to remove items that may not apply to your particular project. Refer to the DCIS User Manual, Chapter 4, Section 3, for details on the creation and modification of Specification Lists. The CST Construction Section issues updated checklists which should be used immediately before submission of PS&E to Austin.

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