U.S. Department of Transportation
Federal Highway Administration
TECHNICAL ADVISORY
T 5080.16
August 7, 1992
Par.
(1) Increasing project complexity and scope,
(2) Increasing legislative and administrative requirements,
(3) New technology applications,
(4) Shortage of personnel in number and experience, and
(5) The proliferation of contract claims and litigation.
(1) Specialty subcontracting has increased to deal with new and changing construction procedures and materials. Therefore, the Engineer relies on the specifications to a greater degree to provide needed information about specific construction and administrative requirements.
(2) Project development is an assembly line process. Smaller and smaller specialty parts included in the design are often provided by personnel with varying engineering backgrounds and experience in construction. As the number and specialized nature of the parts increase, integration of the parts into a whole unit becomes difficult.
(3) Changes in the complexity of construction projects and in construction methods have placed a significant burden on the specifications. The specifications must reflect these changes and clearly define the basic roles and responsibilities of the contract parties.
(1) Description of Requirements - All of the requirements for acceptance of the work, including quality desired (and methods of quality control where applicable), quality and quantity measurement, and basis of payment by the SHA must be included.
(2) Restrictions Applicable - The description of the work must also include a clear description of restrictions applicable in the completion of the work. These restrictions may be in the form of administrative requirements, intermediate steps of approval or checking, or the methods of transfer of information between the SHA and the contractor.
(1) Limits of Responsibility - The limits of responsibility, whether individual or coordinated in nature, must be defined in the contract and specifications. Each party to the contract must know the actions that must be completed, what steps are necessary to meet the responsibility assigned to them, and how these steps or actions will be measured.
(2) Coordinate Responsibilities - The order of accomplishment by each party of their individual responsibilities must be established to identify the step-by-step actions needed to ensure that further work can realistically proceed on the item described.
(3) Explanations - There is no reason to provide information to justify or explain the requirements or procedures established in the specifications. The requirements and procedures are part of the work to be done for final product payment. Explanations and justification for actions to be taken by SHA personnel are better included in the administrative and construction manuals for use by SHA personnel only.
(4) Essential Information - The requirements and procedures defined must be essential to the SHA evaluation of the product for payment purposes. Requirements and procedures that are not essential to the attainment of the product quality or quantity serve no useful function and lead to nonenforcement in the field. This places the contractor and SHA in jeopardy concerning the credibility and use of the specifications.
(5) Failure to Comply With Specification - The issue of what will be done in the event that either party does not satisfy their respective contract responsibilities must also be addressed. The actions available to each party and the cost or delay that results from the failure of either party should be considered in specific terms.
(1) Once the work responsibilities are identified, a review of the measurement and payment procedures is needed to assure that the sequence of each party's actions do not interfere with the measurement of the work quality and quantity. The basis of payment for the work should reflect the responsibility and completion definitions included in the work description.
(2) Necessary preceding and succeeding events in the work accomplishment and whether the character of a material or item may change due to these events will have a bearing on the time and place of measurement. If either party has any further responsibilities for a bid item after measurement for payment, the nature and extent of that responsibility must be provided.
(3) When writing specifications and using them in the field, it should be remembered that "approval actions" and "acceptance" may be considered to be the same when conflict resolution reaches the claim stage or litigation. Exculpatory clauses that are inserted into approval documentation (for example, falsework design and structural design submittals)have not been generally successful as a defense in litigation.
(1) Description of Work
(2) Materials Requirements
(3) Construction Requirements
(4) Method of Measurement
(5) Basis of Payment
(1) Examples of how the usual (passive voice) language of past specifications can be changed by using active voice grammar and minor editing are shown below.
(a) Passive - The gravel shall be placed and shaped by power equipment to the specified lines, grades, cross-sections, and depths, without segregation. (21 words)
Active voice - Place and shape gravel to the specified dimensions without segregation using power equipment. (13 words)
(b) Passive - A mechanical broom or sweeper shall be provided which is adjustable to uniform contact with the surface and designed to thoroughly clean without cutting into the surface being swept. (29 words)
Active Voice - Provide a mechanical broom or sweeper that can be adjusted to uniform surface contact and does not cut into the surface.(21 words)
(c) Passive - Concrete shall be thoroughly consolidated against the faces of all forms and joints, including concrete in a previously constructed lane of pavement, by means of vibrators inserted in the concrete. (30 words)
Active Voice - Consolidate fresh concrete against all form faces, joints, and previously constructed pavement using insertion type vibrators. (16 words)
(2) The use of active voice may not always be the preferred method if there is a good possibility that confusion may result. Method specifications may become stilted and awkward since the description necessary to explain the process and methods required can be quite involved. The use of the active voice for QC/QA specifications may be easier in application since the results, rather than the work method, are measured.
(3) The primary goal is clear communication -- what is required of the contractor and how the completed results or method requirements be will measured by the SHA.
(1) In this review process, consider the reader unfamiliar with the subject presented, and use "bite size" portions of information.
(2) In addition to the five-part format categories, the subject should be arranged into discrete, complete messages that can be expressed simply.
(3) Assure that the information in each message is presented in a logical, step-by-step continuous manner before moving on to additional material. The critical information needed in the message will become apparent as the logic is examined.
(4) Once a clear message is provided, use a new paragraph (or a new sentence) to present the next message.
(1) The Standard Specifications and their revisions are used and relied upon by third parties outside the contract but integral to the process. A well organized specification eliminates confusion and results in a smoother contracting process that, in turn, provides economic benefits to all concerned. Subsequent revisions, in the form of supplemental specifications or special provisions, will disrupt the presentation of information, if the Standard Specifications are not clearly presented and organized.
(2) Presentation and organization are also important in the individual Contract or proposal. Arrangement of the subject matter, using the base format numbering system and sequence of the specifications, will provide an easier referral system for specification users.
(1) If a method of measurement cannot be defined, the need for measurement should be questioned. Unless a definitive method can be provided for use by both the contractor and the SHA, with unequivocal interpretation where possible, there will be conflict over the measurements taken.
(2) Where and when the measurement is to be made in the construction or processing procedures must also be clear. If sequential measurement and approval actions will be necessary, the sequence should be clearly spelled out.
(3) If the points in the work sequence, where the quantity and quality measurements are made, are not compatible with the work sequence, a clear description of the responsibilities regarding removal of unacceptable work or reduced payment must be provided. The consequences of failure, which include subsequent work that will be disturbed or removed as a result of the test or measurement determinations, must also be defined.
(1) All of the information provided must be coordinated with other requirements located throughout the specifications and reference documents to eliminate conflicts. The requirements of each specification provision must dovetail with the requirements of necessary preceding and succeeding provisions to accomplish the task described.
(2) The procedures used by the SHA to administer the contract, monitor construction, design the work, and sample and test compliance with the contract requirements must complement the specifications. If a procedure used might counteract the specifications, a change should be made in the procedures or specifications to prevent the situation.
Detailed knowledge of both the technical and the administrative requirements and concerns is not always available from one or two individuals. The use of a committee or group of knowledgeable individuals to develop and evaluate the specifications is preferred.
The reason(s) for non-enforcement need to be identified and corrected wherever they exist. Some common reasons for non-enforcement are: (1) improper administrative procedures used,(2) conflicts due to other specifications, (3) lack of clarity in the specifications, and/or (4) specifications that are punitive, without justification, or are used to cover basic failures in contract administrative procedures or contract preparation.
b. Feedback Data - Problem areas due to specifications will become apparent in the evaluation of the field inspection report findings made by the FHWA and the SHA. Comments from industry groups should be considered.
(1) Year end summaries of common change orders, time extensions, other contract revisions, and claims will also indicate whether or not there are specification deficiencies. A regular review of these items is recommended as a check on the adequacy of the specifications.
(2) A review check should be made during project development to determine whether all the information included in the bid package is applicable to the project advertised. For example, two different special provisions may be printed back to back on a sheet of paper as a means of economizing. Insertion of the sheet in the bid package -- when both provisions do not apply to the contract -- will provide information that is not needed, waste the bidders time, and lead to confusion. Making constructability reviews when all of the contract provisions are available will also provide information regarding the applicability of the contract documents.
(1) Within the groups used to develop and evaluate the specifications, caution must be used to identify the best approach to address organizational "mind set" problems and any biases of the individual members. A free and comprehensive exchange of information between all members of the groups is needed.
(2) If a procedure is used by a SHA department or division that generates conflict or uncertainty in the specification applications, the procedure causing the conflict or uncertainty should be adjusted or revised.
(3) The specification review and development process should be continuous (between publications) to account for impacts of new provisions and procedures.
(1) A separate specification review by a disinterested third party can provide valuable insight andevaluation of the material. The questions raised can point out basic problem areas, such as assumed knowledge or need for the requirement.
(2) Review for legal sufficiency is also suggested. This review should concentrate on the legal sufficiency but not require the attorney to write the specifications. "Legalese" language should be avoided.
(1) The revised specifications should be filed by subject, whether revised as a special provision or as a supplemental specification, and maintained in a master file.
(2) Specifications are influenced by the legal requirements of the States and the Federal Government. Therefore, a file should be maintained of State and Federal laws that impact the construction and design processes. A policy statement file should also be maintained concerning the implementation of highway contracts. Extra care in the purging or updating of these files is recommended.
Anthony R. Kane
Associate Administrator
for Program Development
ATTACHMENT
Tx
Mention incorporation of SI units as part of the transition to the metric system.
Editorial comments
NM
Editorial comments
Outside review suggested by professional editor
Ok
Suggest include Definition of Terms in with the Five Part Format
MT
Add discussion on partnering concepts - not a way around specs
Clarification
Editorial
SD
Define "end result specifications" with QA definition
Suggest inclusion of performance based specifications
ND
Define "end result specifications" with QA definition
Suggested revised language and clarification
Noted redundancy
Change discouragement?
Editorial
Reg
Editorial
Add approval actions by Division and Region
Suggested revised language and clarification
Reg
Suggested revised language and clarification
Editorial
Reg
Suggested revised language and clarification
Editorial
Ak
Brevity and clarity recommendations
Wa
Content comments - TA would be of no use in field