App K-Administrative Procedures

8/7/2019 App K-Administrative Procedures

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October 8, 2010

Request for Proposals DGS Project 577-36 2nd RRBDepartment of General Services SCI Graterford East and West

APPENDIXK

Administrative Procedures for the Design Build Contract, PrisonExpansion Projects

Except items listed below, the contents of this Appendix were previously

issued as part of DGS 577-36 RRB. These documents, with the noted

changes below, are being reissued as part of project DGS 577-36 2nd

RRB.

All bulletins, including attachments, issued under DGS 577-36 RRB are a

part of this new project. The bulletins, without attachments, are reproduced

in Appendix AC of this new RFP.

EXCEPTIONS:

All documents in this appendix shall be considered new


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10/08/2010 Modifications

ADMINISTRATIVE PROCEDURES

FOR THE

DESIGN BUILD CONTRACTPRISON EXPANSION PROJECTS

DEPARTMENT OF GENERAL SERVICESHARRISBURG,PENNSYLVANIA

APRIL 2010 REV. OCTOBER 2010 EDITION


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Administrative Procedures-October 08, 2010 Edition Table of Contents (iDepartment of General Services DGS 557-36 2

ndRRB, SCI Graterford East and Wes

DBC Prison Expansion Projects

DEPARTMENT OF GENERAL SERVICESBUREAU OF CONSTRUCTION

ADMINISTRATIVE PROCEDURES

ADMINISTRATIVE PROCEDURE NO. 1Correspondence

ADMINISTRATIVE PROCEDURE NO. 2

Orientation Meeting


Job Conferences


Contract Breakdown Sheet Form GSC-30


CPM Project Master Schedule


Request for Approval of Materials and/or Subcontractors Form GSC-23


Materials Testing (All Items General Requirements)Laboratory Sample or Field Test Identification Form GSC-22/33Materials Testing (Selection of Testing Laboratory)Concrete Testing (Approval of Mix Computations)

Concrete Mix Computation Form GSC-26Invoice Procedure for Payment of Testing Services (DBCs Retained Professional)Invoice/Billing for Professionals & Testing Labs Form GSC-34 Manufacturers High VoltageCable Test (Birth Certificate)Field High Voltage Cable TestHVAC Systems Balancing


Submittals


Design Build Contractors (DBCs) Application for PaymentPrevailing Minimum Wage Certificate Form GSC-16Recapitulation of DBCs Application for Payment Form GSC-17Application for Payment of Labor, Materials/Equipment Form GSC-18Stored Materials Form GSC-43Payroll Affidavit, DBCs Certificate and Statement of Surety, Power of Attorney Form GSC-24


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Administrative Procedures-October 08, 2010 Edition Table of Contents (iiDepartment of General Services DGS 557-36 2




Changes in Contract Work (Field Orders/Change Orders)Construction Change Order Form GSC-1


Request for Extension of Time Change Order Form GSC-5

ADMINISTRATIVE PROCEDURE NO. 12Submission Guidelines for Steel CertificatesSteel Origin Certification: DBC Form ST-1Steel Origin Certification: Fabricator Form ST-275% U.S. Manufacture Certification: Fabricator Form ST-3Not Domestically Manufactured: DBC Form ST-4


Dispute Resolution Form


Utilization/Occupancy Inspection

Certificate of Occupancy/Utilization Form GSC-46Final InspectionCertificate of Completion and Final Payment Form GSC-47Closeout Inspection

ADMINSTRATIVE PROCEDURES NO. 15

DBCs Non-Discrimination Coordinator


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Administrative Procedures-October 08, 2010 Edition AP 1 Page 1Department of General Services DGS 557-36 2




CORRESPONDENCE

A. Identification of Correspondence

1. Correspondence includes letters, transmittals, e-mail and memoranda, any of which may haveforms attached to them.

2. If possible, any paper correspondence more than 1 page in length should be printed on bothsides of the paper.

3. Except where specifically noted and/or legally required, documentation should be in a digitalelectronic format accepted by DGS (e.g. .pdf). One signed original should be produced onpaper and (typically) sent to the DGS Director of Construction. One additional copy shall bedelivered to the jobsite project management trailer. All additional distribution should generallybe accomplished by attaching scanned or electronically produced copies of the originadocument to email and sending to the appropriate parties. Any electronic copy made and senshall be clear and legible.

4. Correspondence in email format shall be acceptable for all written communications excepformal, legal notifications which are contractually required. However, email communication maynevertheless be used to effect legal notification with regard to time and the start of anycontractual period so long as a formal document of affirming the notification is issued andreceived within 48 hours of the email notification.

5. All correspondence must be identified by the Project Number, Construction Region, Phaseand/or Part, Contract Number, Name of Facility, Project Description and Project Location. Emaicorrespondence should have the Project Number starting the Subject Line followed by the Topicof the email and should repeat this information along with the Construction Region, Phaseand/or Part, Contract Number, Name of Facility, Project Description and Project Location, asappropriate, within the body of the email message.

6. All correspondence shall include along with the Project Number, the appropriate ConstructionRegional Office (Western Region as WR, Central Region as CR and Eastern Region as ER).Information concerning the locations of the Regions and which counties are included in eachRegion is included in the Orientation Packet.

5. Following is an example of proper identification for paper correspondence and letter formaelectronic attachments to emails:

Project No. DGS 123-4 Phase (if applicable) Part (if applicable) (WR)

Contract No. DGS 123-4.1 DBC

Green Prison

Green City, PA

6. Following is an example of proper identification for email correspondence:

Subject: DGS 123-4 (Topic)

Top of Email Message: DGS 123-4, Phase (if applicable), Part (if applicable), ER, Contract123-4.1, Green Prison, Green City, PA followed by the email communication on a new line.


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B. Addressing and Distribution of Correspondence

1. Letters and transmittals shall be addressed in the following manner with the distribution to ainclude, at a minimum, as indicated. Email correspondence shall, at a minimum, follow thesame copy distribution as paper correspondence. If a Construction Manager is retained byDGS, the CM should be ccd on all correspondence:

If to DGS Bureau Director (send via paper copy (original) and email):

Director of Construction18th and Herr StreetsHarrisburg, PA 17125

cc: Construction Regional DirectorConstruction Inspector SupervisorDBCs Retained ProfessionalDepartment of Corrections, as required by topic

If to DGS Regional Office (send via email):

Construction Regional DirectorDepartment of General ServicesAppropriate Regional Office Address

cc: Director, Bureau of ConstructionConstruction Inspector SupervisorDBCs Retained ProfessionalDepartment of Corrections, as required by topic

If to Project Site (send one paper copy and via email):

Construction Inspector SupervisorDepartment of General ServicesAppropriate Project Address

cc: Director, Bureau of ConstructionConstruction Regional DirectorDBCs Retained ProfessionalDepartment of Corrections, as required by topic

If to the DBCs Retained Professional or DGS Bureau of Engineering and Architecture

(send via email):

cc: Director, Bureau of ConstructionConstruction Regional DirectorConstruction Inspector SupervisorDBCs Retained Professional, as required by topic

If to Design Build Contractor (DBC) (send via email):


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cc: Director, Bureau of ConstructionConstruction Regional DirectorConstruction Inspector SupervisorDBCs Retained Professional, as required by topicDepartment of Corrections, as required by topic

If to Construction Manager: (if one is retained for the project (send via email)

cc: Director, Bureau of ConstructionConstruction Regional DirectorConstruction Inspector SupervisorDBCs Retained Professional, as required by topicDepartment of Corrections, as required by topic

C. Interdepartmental/Agency/Bureau Memoranda

1. Correspondence that is written to or includes distribution to parties that are not Commonwealth agencieswill be in the form of letters or email. Memoranda shall only be utilized in corresponding withinCommonwealth Agencies.

2. Email correspondence may be used for all forms of communication except those that pertain to formanotification regarding contractual status that require legal signature and/or that are require to benotarized or certified. Email distribution shall, at a minimum, be the same copy distribution as for papecorrespondence.

3. Correspondence generated by the DGS Regional Office or DGS Field Inspection staff in the memo oemail form shall include, at a minimum, the distribution indicated.

From Regional Office:cc: Director, Bureau of Construction

Other Agencies/Bureaus, as required

From Field Office:cc: Director, Bureau of Construction

Construction Regional DirectorOther Agencies/Bureaus, as required

4. Correspondence in memo or email form generated by other Commonwealth Agencies or Bureausregarding construction activities or other relevant construction related issues shall include, at aminimum, the distribution indicated:

cc: Director, Bureau of ConstructionConstruction Regional DirectorConstruction Inspector SupervisorOther Agencies/Bureaus, as required


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ORIENTATION MEETING

A. Scheduling of Orientation Meeting

Within ten (10) days of the Effective Date of the Contract, (or earlier if authorized in a Letter ofIntent) the Construction Regional Director will contact the Design Build Contractor (DBC) toschedule an Orientation Meeting to familiarize the DBC with DGS procedures and forms.

The DBC is required to attend the scheduled Orientation Meeting. All Forms are providedfor and may be downloaded on DGS website. Notification of the meeting date, time and placewill be confirmed by letter. Personnel from the DBCs office, such as the principal of the firmproject manager and project superintendent must attend the meeting. The DBCs RetainedProfessional and each Subcontractor identified in Qualification Forms submitted in the DBCsProposal to DGS must also attend the meeting.

B. Agenda for Orientation Meeting

Introduction of personnel by Construction Regional Director, or designated Bureau oConstruction representative.

Explanation of Administrative Procedures and DGS forms.

Discussion of Design and Construction aspects of the Project. See detailed agenda in C.7.

Question and answer period.

C. Orientation Meeting

1. The Construction Regional Director or designee will set the time, date and place for the OrientationMeeting

2. The Notice initiating the Conference shall be addressed to the DBC, with copies of the notice to thefollowing:

DBCs Retained Professional

Director of Construction

DGS Construction Manager

DOC HQ

DOC Facility

Bureau of Engineering and Architecture, Project Coordinator

DGS Contract Compliance Officer

Construction Regional Director, or designee

Project File

3. If a Letter of Intent was issued on the project, the DBC is required to proceed with the scope oWork set forth in the letter. If no Letter of Intent was issued on the project, the DBC is required tocommence work within ten (10) days after the Orientation Meeting.

4. During the Orientation Meeting, the Construction Regional Director or designee shall conduct theorder of business and discuss specific requirements and particulars of project design and


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construction. In addition, the procedures associated with the Bureau of Construction forms andpractices will be explained.

5. The Construction Regional Director or designee shall attach a separate sheet to the OrientationMeeting Report, indicating the names, addresses, email addresses, land line and cell phonenumbers of all persons attending or invited to attend the Orientation Meeting.

Distribution of the Orientation Meeting Report will be made by the Construction Regional Director odesignee, as follows:

All attendees and invitees as noted above as well as:

Director of Construction (original)

Construction Regional Office

DGS Office of Chief Counsel, Public Works Legal Unit

DGS Bureau of Risk and Insurance Management

Project File

6. The Submittal Schedule must be addressed at this Orientation Meeting (or earlier if authorized in aLetter of Intent) by the DBC and the DBCs Retained Professional in accordance with the GeneraConditions of Contract. The Submittal Schedule must be submitted by the DBCs RetainedProfessional to the Construction Inspector Supervisor or designee in accordance with the DGSaccepted 90 Day Schedule which must be submitted within 30 days of the Effective Date of thecontract or sooner if required by the Letter of Intent. The Submittal Schedule activities shall also beincluded, integrated and tied to the logic of other activities in the Project Schedule by the DBC thatis to be submitted within 90 days of the Effective Date.

7. Agenda for the Orientation Meeting

a. Introduction of attendees.

b. Explanation of Administrative Procedures and associated forms. The DBC will be providedwith a copy of any necessary forms not included herewith in these AdministrativeProcedures.

c. Review of Special Requirements, which may include::

(1) Protection of the Environment

(2) Asbestos

(3) Parking

(4) Office for DBC

(5) Field Office for Inspection Staff

(6) Temporary Heat

(7) Existing Utilities

(8) Working Hours

(9) Operation and Maintenance Instructions/Manuals

(10) Minority and Women Business Enterprise Program

(11) Contractor Integrity Provision

(12) Debarment, Suspension and Other Responsibilities

(13) Excavation

(14) Roof Deck

(15) Product Discrimination


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(16) Mobilization

(17) Steel Products Procurement Act

(18) Insurance Coverage

(19) Privity of Contract

(20) Other

d. General Remarks

(1) Safety(2) Discrepancies

(3) Coordination

e. General Information

(1) Project Sign

(2) Progress Photographs

(3) Roof Bond/Warranties

(4) Concrete

(5) As-Built Record Drawings

(6) Project Supervision(7) Miscellaneous

f. Permits, Fees, Notices

g. Establishment of date, time and location of the first Regular Job Conference

h. Review of General Conditions

i. General Comments


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JOB CONFERENCES

A. General Information Concerning Job Conferences

1. The following representatives must attend all regularly scheduled Bi-Weekly Job Conferences andany Special Job Conferences*:

Construction Manager

The DBC (Project Manager or equivalent)

DBCs Retained Professional Representative

DBCs Subcontractors as required

Bureau of Engineering and Architecture, as required

Construction Regional Director or designee

Construction Inspector Supervisor

* Special Job Conferences are scheduled by the Construction Regional Director or designee.

2. The following representatives may attend any Bi-Weekly Job Conference, but are not required to bepresent unless warranted by circumstance:

DOC HQ personnel

DOC Facility personnel

Testing Laboratory Technicians

Other representatives, as appropriate (determined by DGS)

3. The Construction Manager or if none, the Construction Regional Director shall appoint a person to

keep a record and distribute the proceedings of Job Conferences. The meeting record JobConference Report shall be generated and shall be distributed promptly and at least before thenext Job Conference.

4. Failure to attend any Job Conference is a violation of the Contract as indicated in the GeneraConditions of Contract. If the DBC does not attend the Job Conference, they may be subject totermination, unless absence is excused by DGS or its designee. DGS may issue a credit changeorder to the DBC if they do not attend and are not excused from any Job Conference.

B. Regular Job Conference

1. Job Conferences may be held as often as necessary, however, in no case less than bi-weekly.

2. The Construction Manager or if none, the Construction Inspector Manager, or designee, shal

conduct bi-weekly Job Conferences. These bi-weekly Job Conferences shall be attended by thosedescribed above.

3. The agenda of a Regular Job Conference shall include, at a minimum, the following:

a. General Review of Previous Report

i. Unsatisfactory conditions and/or workmanship, as noted on previous Job ConferenceReports, must be noted when corrected by the DBC in the minutes of the first reportfollowing the correction. The manner in which the correction was made should also be


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noted in the minutes. The unsatisfactory item will be included as an item in each reportuntil the issue is corrected.

b. Site safety and security.

c. Administrative Issues and Required Insurance

d. Review status of Requests for Information

e. Review of status of Shop Drawings and other Submittals

f. Review of pending Change Order Requests

g. Review of Progress Schedule

i. Special attention will be given to items that are behind schedule.

h. Projected work for the next bi-weekly period

i. Delays

i. The DBC should pay special attention to ensure that delays are documented on the JobConference Reports since DGS will review the minutes of the Job Conferences inreviewing the DBCs request for any Extension of Time.

j. New items for discussion and resolution

k. General discussion of Job Conditions. Notes on the discussion and general information suchas percentage of elapsed time for project, percentage of payment for project, percentage ofjob completion for project (based upon physical inspection), date, time and place of next jobconference and name of person who prepared the Report. will be inserted onto the writtenJob Conference Reports,

5. Paper or hard copy Job Conference Reports will be distributed to the Director of Construction (signedoriginal and an electronic copy).

6. Email distribution of the Job Conference Reports will be made to all participants and including if noparticipants primary representatives as follows and to others as may be appropriate:

Director of Construction

DBCs Retained Professional

Eng./Architecture, Project Coordinator

DBC

Construction Regional Office

Project Site

DOC HQ

DOC Facility

Document Review Division

D. Special Job Conferences

1. The Construction Regional Director or other DGS representative may call a Special Job Conferenceto consider any emergency or unusual job condition. Only the subject(s) mentioned in the requesfor the Special Job Conference shall be discussed.


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CONTRACT BREAKDOWN SHEET

FORM GSC-30

Left Blank Intentionally

NOTE: This DGS Project #:___DGS-577-36 RBB Graterford____ is a Design Build Contractand shall utilize a Cost Loaded CPM Schedule

ADMINISTRATIVE PROCEDURE NO. 4, CONTRACT BREAKDOWN SHEET is NOT used.

Refer to General Conditions Article 8 for information regardingCPM Project Schedule Cost Loading


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CPM PROJECT MASTER SCHEDULE

FORM NO. GSC-35

Left Blank Intentionally

Refer to General Conditions Article 8 for information regardingCPM Project Schedule


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REQUEST FOR APPROVAL OF MATERIALSAND/OR SUBCONTRACTORS

FORM GSC-23

A. The DBC shall prepare and submit the Form GSC-23 as required by the General Conditions of the Design BuildContract and this Administrative Procedure.

B. For each subcontractor to the DBC (whether identified in the Proposal or not), the DBC must attach a copy of thesubcontract, signed by both the DBC and the Subcontractor and which complies with the requirements of theSubcontractor Article of the Design Build Contract General Conditions.

C. The DBC, upon receipt of the completed GSC-23 from the Subcontractor, shall insert the submission numbers insequential order prior to transmitting the GSC-23 to the DBCs Retained Professional.

D. The DBC shall also submit a copy of every subcontract with a MBE or WBE to DGSs Bureau of Minority andWomen Business Opportunities.

E. For purchase orders, the DBC shall submit one original certification letter and an electronic copy, on the DBCsletterhead, with language identical to that set forth in the sample letter (which is included as part of thisAdministrative Procedure) certifying the DBCs compliance with the terms set forth in the letter. The languagerequired in this letter by this Administrative Procedure shall not be altered.

F. This one certification letter, which shall certify compliance for all purchase orders issued on the Project, shall besubmitted to the DGS Construction Inspector Supervisor for the Project when the DBC submits the first GSC-23identifying Suppliers.

G. The DBC must submit an electronic copy (as with all electronic documentation, in a DGS accepted format) of eachexecuted purchase order that is issued to a MBE or WBE Supplier showing the dollar value of the purchase order.

H. If the DBC has a financial interest in a Subcontractor or Supplier, it must disclose its relationship to theSubcontractor or Supplier on the GSC-23 in the block Relation to DBC in accordance with the SubcontractoArticle of the General Conditions.

I. Prior to the commencement of work by any Subcontractor, the DBC must submit one (1) signed original and anidentical electronic copy of the subcontract, in accordance with the Subcontractor Article of the Design BuildGeneral Conditions, to the DGS Construction Inspector Supervisor or designee. The DGS Construction InspectoSupervisor shall retain an electronic copy for the Field Office files and forward the original copy to the DGSConstruction Regional Director with additional electronic copies forwarded to the CM and others at the DGSConstruction Regional Director may instruct.

J. If the DBC wishes to provide an equal, it must check the appropriate block on the Form GSC-23. The equal

submission shall fulfill the requirements of the Design Build Contract General Conditions.

K. If the DBC desires to provide a substitution, it must check the appropriate block on the Form GSC-23. Thesubstitution submission shall fulfill the requirements of the Design Build Contract General Conditions. The DBCmust also attach a Letter of Certification identical to the sample provided in this Administrative Procedure.

L. The DBC shall number each submission and each page within each submission consecutively and shall giveresubmissions the same number as the original submission.


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M. The DBC shall attach a copy of the Certification for Welders and a copy of the License for Blasters (if blasting ispermitted) to the Form GSC-23, when submitted.

N. Only the types indicated on the GSC-23 will be permitted in the box titled Type of Approval.

O. The DBC shall submit the original and distribute electronic copies of the GSC-23 Form by letter of transmittal (inelectronic format) to the DBCs Retained Professional, with electronic distribution to the DGS Construction InspectoSupervisor or designee. Only the letter of transmittal for the GSC-23 Forms must be provided to others specified inAdministrative Procedure No. 1 regarding distribution of correspondence.

P. The DGS Construction Inspector Supervisor or designee shall review the copy of the GSC-23 for complianceimmediately upon receipt. If any discrepancies are found, the DGS Construction Inspector Supervisor shall notifythe DBCs Retained Professional by telephone, email or fax.

Q. It is the DBCs Retained Professionals responsibility to check each item for conformity with the requirements of thespecifications. The DBCs Retained Professional will fully acquaint itself with the submitted manufacturer, producerfabricator, material, equipment, and other pertinent items prior to making any specific remark or recommendation.

R. The DBCs Retained Professional will indicate on the Form GSC-23 whether each item is approved, disapproved(with the reason), or that approval is withheld, pending submission of additional qualifying material or information(catalog cuts, engineering data, test data, etc.) from the DBC. The DBCs Retained Professional must indicatewhich specific information is required by checking the appropriate box on the Form GSC-23. If information has

been included with the submission, the DBCs Retained Professional should check the block W/GSC-23. Whenapproval is withheld pending receipt of additional qualifying material or information from the DBC, the DBCsRetained Professional shall instruct the DBC to resubmit the item of material or work on a new Form GSC-23, whichmust contain the original submission number.

S. The DBCs Retained Professionals signature on the bottom of the Form GSC-23 constitutes its approval, subject tofinal approval of sample, shop drawings or catalog data, certification, test report, or other information, when suchadditional information is required. The DBCs Retained Professional will also ensure compliance with theseAdministrative Procedures in the proper execution of the form. The DBCs Retained Professional shall forward theForm GSC-23 to DGS for review.

T. The DBCs Retained Professional will make distribution of the approved GSC-23 as follows:

a. Original to the DGS Director of Construction

Distribution in electronic format to:

b. Construction Manager

c. DBC

d. DGS Construction Regional Director

e. DGS Construction Inspector Supervisor, at the Project site

f. DGS Bur. of Eng.& Architecture, Project Coordinator


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(Must appear on DBCs Letterhead)

Project No. DGS __________________(_R)

Contract No. DGS ___________________

Location of Project ___________________

Description of Project ___________________

Certification

I, the authorized representative of the DBC, do certify, to the best of my knowledge that, for each purchase orderissued on this Project:

a. The material and/or equipment to be supplied is accurately described in the purchase order; andb. The material and/or equipment to be supplied complies with the requirements of the contract documents; andc. The Suppliers have been notified of the payment provisions of the Prompt Payment Act.d. The Suppliers have been notified that nothing contained in the Contract Documents between the DBC and

DGS creates any contractual relationship between DGS and any Supplier.

I understand that by signing this document I certify that the facts contained herein are true. I further understandthat this document is subject to the provisions of the Unsworn Falsification to Authorities (18 P.S. 4904). I acknowledge

that if my company does not comply with these terms, my company may be subject to suspension and/or debarment frombidding on any Commonwealth of Pennsylvania public works project for a period of three years.

_________________________Signature

_________________________Type Name Here

_________________________Title

_________________________Date


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(Use Company Letterhead)

LETTER OF CERTIFICATION

Project No. DGS__________________(_R)Contract NO. DGS_________________Location of ProjectDescription of Project

The undersigned, an authorized representative of the DBC on the above referenced Contract, certifies that the substituteitem(s) listed on the attached Form No. GSC-23, Request for Approval of Materials and/or sub-DBC, Submission No______, dated ____________, complies with the requirements of the Contract specifications on the above referencedContract; and,

I further certify that the DBC will assure that all costs involved in making the substitute item(s), listed on the attached FormNo. GSC-23, fit into and perform as required by the Contract Documents and that, should the cost of the substituted itembe less than the cost of the specified item, DGS will receive a credit for the difference between the substituted item andthe cost of the specified item; and,

I further certify that I will fully document the item(s) on the attached Form No. GSC-23 with regard to engineering,construction, dimension, performance and appearance.

A cost statement is included.

_________________________Signature_________________________Type Name Here_________________________Title_________________________Company Name_________________________Date


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MATERIALS TESTING (ALL ITEMS-GENERAL REQUIREMENTS)LABORATORY SAMPLE OR FIELD TEST IDENTIFICATION

FORM GSC-22/33

MATERIALS TESTING (SELECTION OF TESTING LABORATORY)

CONCRETE TESTING (APPROVAL OF MIX COMPUTATIONS)CONCRETE MIX COMPUTATION

FORM GSC-26

INVOICE PROCEDURE FOR PAYMENT OF TESTING SERVICES(PROFESSIONAL)

INVOICE AND BILLING FOR PROFESSIONALS AND TESTINGLABORATORIES - FORM GSC-34

MANUFACTURERS HIGH VOLTAGE CABLE TEST (BIRTH CERTIFICATE)

FIELD HIGH VOLTAGE CABLE TESTHVAC SYSTEMS BALANCING

A. Materials and Concrete Testing (General Requirements)

The DBC shall:

1. Give DGS and the DBCs Retained Professional timely notice of its readiness and of the date arranged, sothe DBCs Retained Professional may observe such inspection or testing.

2. Bear all costs of such inspections and tests, unless otherwise provided. All expenses incurred in thecollecting, packing and delivering of samples of materials or equipment to or from the site or laboratory wilbe paid by the DBC, unless otherwise noted in the General Conditions, Specifications or Contract Drawings

3. Request Forms GSC-22/33 from the Construction Inspector Supervisor. An original of Form GSC-22/33Laboratory Sample or Field Test Identification, shall accompany each sample to be tested.

4. When Form GSC-22/33 is utilized for concrete cylinders, each cylinder shall be numbered consecutivelyand prefaced for design mix tests, precast concrete and pre-stressed concrete. The type of cylinder shabe noted on the form as follows:

DM - Design MixPC - Precast ConcretePS Pre-stressed Concrete

5. Cylinders for concrete other than the above will not be prefaced. Approved samples to be incorporated into

the work shall be returned to the site by the Testing Laboratory.


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The DBC shall:

a. Secure from either the Testing Laboratory an original and identical electronic copies of the test reports anddistribute as follows:

i. The Original must be sent to the Director of Construction, with electronic copies to the DBCConstruction Regional Director, Project Site and DBCs Retained Professional File.

b. Any reports showing deficiencies in test results will be immediately communicated by the DBCs RetainedProfessional to the Construction Regional Director or designee.

B. Materials Testing (Selection of Testing Laboratory)

1. The DBC and its Retained Professional shall advise DGS of its selected testing agencies and laboratories.

C. Concrete Testing (Approval of Mix Computations)

1. The DBC (or testing laboratory) shall prepare Form GSC-26, Concrete Mix Computation, in an original andidentical electronic copies for each type of design mix to be used. Forms shall be forwarded to the DBCsRetained Professional for review and approval. All information required by the form must be provided.

2. The DBCs Retained Professional shall review the Form GSC-26 for compliance with the Contrac

Documents, and approve/disapprove as appropriate. The DBCs Retained Professional shall makedistribution to all parties.

D. Manufacturers High Voltage Cable Test Report (Birth Certificate)

1. The DBC will ensure the Cable Test Report (Birth Certificate) is in compliance with the ContracDocuments. The DBC must submit one original and identical electronic copy of the report to the DBCsRetained Professional. The DBC must provide an identical electronic copy to the Construction RegionaDirector, the Construction Inspector Supervisor and Construction Manager via email including notationthat approval is pending..

2. The DBCs Retained Professional will review the report for compliance with the Contract Documents, affixits stamp of approval directly to the original copy of the report, rescan and forward original and electronic

copy to the Director of Construction. Only a stamp as indicated in the sample provided in AdministrativeProcedure No. 8 will be accepted.

3. High Voltage Cable may not be installed until the Manufacturers Cable Test Reports are accepted byDGS.

4. If the report is disapproved by the DBCs Retained Professional, it shall be returned to the DBC with aletter or email of explanation. Copies of this correspondence must be sent to the Construction RegionaDirector and the Construction Inspector Supervisor via email with notation that the report has beendisapproved.

5. If the report is not accepted by DGS, it shall be returned to the DBC with a letter or email of explanationCopies of this correspondence must be sent to the DBCs Retained Professional.

E. High Voltage Cable Field Test Report

1. The DBC shall submit one original and identical electronic copy of the report to the DBCs RetainedProfessional. The DBC must provide an identical electron copy to the Construction Regional Director, theConstruction Inspector Supervisor and Construction Manager via email including notation that approval ispending.

2. The DBCs Retained Professional shall, upon receipt of the Field Test Report from the DBC, review it focompliance with testing procedures and Contract Documents. If approved, the DBCs Retained


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Professional will affix its stamp of approval directly to the original copy of the report, rescan and forwardoriginal and electronic copy to the Director of Construction.. Only a stamp as indicated in the sampleprovided in Administrative Procedure No. 8 will be accepted.

3. Payment for High Voltage Cable will be made only after the Manufacturers Test Report is approvedcable is installed and the Field Test Report is approved by the DBCs Retained Professional and reviewedby DGS.

4. If the report is disapproved, the DBCs Retained Professional shall advise the DBC of the appropriatecorrective action to assure compliance with the Contract Documents. When the Field Test Report isapproved, the DBCs Retained Professional will distribute it in accordance with Paragraph 2 above.

5. If the report is not accepted by DGS, it shall be returned to the DBC with a letter or email of explanationCopies of this correspondence must be sent to the DBCs Retained Professional.

F. HVAC Systems Balancing Report

1. The DBC shall submit one original and identical electronic copy of the HVAC Systems Balancing Reporto the DBCs Retained Professional. The Construction Regional Director must be copied on thetransmittal email/letter.

2. The DBCs Retained Professional shall in conjunction with the DBCs Commissioning Agent, upon receipof the copies of the Balancing Report from the DBC, review it for compliance with balancing proceduresand the Contract Documents. If approved, the DBCs Retained Professional shall affix its stamp oapproval directly to original of the report, and forward the original and identical electronic copies to theDirector of Construction, who after review, will forward the original to the Bureau of Engineering andArchitecture. Only a stamp as indicated in the sample provided in Administrative Procedure No. 8 will beaccepted. The Construction Regional Director must be included on the transmittal email/letter.

3. If the report is disapproved, the DBCs Retained Professional shall advise the DBC of the appropriatecorrective action to assure compliance with the Contract Documents. The DBCs Retained Professionamust notify the Construction Regional Director that the report has been disapproved, and state theproposed method of correction. When the report is approved, the DBCs Retained Professional shalproceed in accordance with Paragraph 2 above.

4. If the Bureau of Engineering and Architecture does not accept any report or concurs with a qualifiedapproval by the DBCs Retained Professional, the DBCs Retained Professional shall verify that theremedial action has been completed by the DBC. The DBCs Retained Professional shall also notify theConstruction Regional Director, the Director of Construction and the Bureau of Engineering andArchitecture that the remedial action has been completed. The notice must be in writing but may beelectronically transmitted. The DBC shall be responsible for the re-testing and re-balancing of any and azones affected by the corrective action. The DBC shall then re-submit, to the DBCs RetainedProfessional, a Balancing Report for these areas in accordance with paragraph 1 above. The DBCsRetained Professional shall review, approve and distribute this Balancing Report in accordance withparagraph 2 above.

5. Payment for test and balancing activity(ies) will not be made until the report(s) are accepted by DGS.


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SUBMITTALS

A. The DBC shall prepare and submit to DGS a Submittal Schedule showing all items requiring submission. TheSubmittal Schedule shall be prepared in accordance with the Submittal Article of the General Conditions. ThisSubmittal Schedule shall be integrated by the DBC and tied to the logic of activities in the Project Schedule.

B. The DBCs Submittal Schedule shall include the following at a minimum:

A. Submittal breakdown by Specification Section number and division;

B. Scheduled date for initial submittal of item; and

C. Days required after return of an approved submittal to order, fabricate and deliver the specific item tothe site.

D. One original and electronic copies of the Submittal Schedule shall be provided to the DBCs Retained Professionaand the Construction Inspector Supervisor or designee within a reasonable time after the Orientation Meeting orearlier if authorized in a Letter of Intent. Electronic copies of the Submittal Schedule shall also be forwarded to theDirector of Construction and the Construction Regional Director.

E. If the development of the Submittal Schedule affects the construction sequencing, durations, logic or any otheraspect of the Project Schedule, including established milestones, the DBC shall make any necessary revisions.The contract completion date will not be adjusted as a result of these revisions. An original and identical electroniccopies of the revised schedule, signed by the DBC, shall be submitted to the Construction Regional Director withinthe time frame agreed to at the Orientation Meeting. Review and acceptance of this revised Project schedule byDGS shall follow the procedures established in Project Schedule Administrative Procedure.

F. A detailed, updated log shall be maintained by the DBCs Retained Professional as to the time of receipt of theSubmittals and the time of return to the DBC, with adequate notes as to their disposition. The DBCs RetainedProfessional shall submit one copy of the log to the Construction Inspector Supervisor at each Job Conferencesubsequent to the first Job Conference following the Orientation Meeting. The DBCs Retained Professional shalalso email an identical copy to the Director of Construction and to the Construction Regional Director.

G. The DBCs Retained Professional will review and approve all submittals in accordance with the applicable Articlesof the General Conditions of Contract and by stamping with an approval stamp. Only a stamp as indicated in thesample provided at the end of this section will be accepted.

H. The DBC shall make any corrections required by the DBCs Retained Professional and shall resubmit the requirednumber of corrected copies of shop drawings or new samples until approved. The resubmission shall be actedupon by the DBCs Retained Professional in accordance with the DBSs Retained Professionals agreement with theDBC .but in no case will the time allowed for DGS approval be reduced. The resubmission of submittals by theDBC and subsequent review by the DBCs Retained Professional shall be in accordance with Article 9 of theGeneral Conditions of the Design Build Contract.


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APPROVED NOT APPROVED

APPROVED AS NOTED REVISE AND RESUBMIT

____________________________ ____________________________

DATE SIGNATURE/TITLE

ORGANIZATION NAME AND ADDRESS

A note may be added to: Advise the DBC that quantities have not been verified.Advise the DBC that all materials must meet the

requirements of the specifications.Require the DBC to field verify all measurements.

I. Distribution by the DBCs Retained Professional of the Final Accepted Shop Drawings or Catalog Data shall be asfollows. Copies shall conform to requirements of Administrative Procedure No. 1, A.3.

DBC making submittal - as required by the DBCDBCs Retained Professional - as required by the DBC and DBCs Retained ProfessionalConstruction Manager one set and an electronic copyCommissioning Agent (if any) electronic copyConstruction Regional Director - electronic copyCentral File (in lieu of Director of Construction) one set *

* The set for Central File shall be mailed to the following address:

Central File, Bureau of Engineering and ArchitectureDepartment of General Services18th & Herr StreetsHarrisburg, PA 17125

J. The DBC must maintain at the site one copy of all drawings, etc. Drawings shall be updated daily to indicate AsBuilt Record Drawing conditions in accordance with the General Conditions.

K. Any work commenced by the DBC prior to final approval of the submittals by the DBCs RetainedProfessional and acceptance by DGS is performed by the DBC at its own risk.

L. Indicated below is a sample of the Approval Stamp to be utilized by the DBCs Retained Professional in the reviewand approval process of all submissions. Only a stamp with the language as indicated in this sample will beaccepted.


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DESIGN/BUILDS APPLICATION FOR PAYMENT(utilizing a cost loaded schedule)

FORM GSC-16 - PREVAILING MINIMUM WAGE CERTIFICATE

FORM GSC-17 - RECAPITULATION OF DESIGN BUILDS APPLICATION FOR PAYMENTFORM GSC-18 - APPLICATION FOR PAYMENT OF LABOR, MATERIALS/EQUIPMENT

FORM GSC-24 - PAYROLL AFFIDAVIT, DESIGN BUILDS CERTIFICATE AND

STATEMENTOF SURETY, POWER OF ATTORNEY

FORM GSC-43 - STORED MATERIALS

A. General Information

1. DBCs Applications for Progress Payment shall be prepared, submitted and processed in accordancewith the Payment Article of the General Conditions, the Schedule Article of the General Conditionsand this Administrative Procedure.

2. With the exception of the Progress Payments made in the first 120 days of the project, no Applicationfor Progress Payment will be processed until the Project Schedule, has been accepted.

3. If the DBC submits an incorrect Application for Payment, DGS will make payment for all items that arecorrect and will notify the DBC, within fifteen days of the receipt of the Application, of deficiencies inthe Application. Applications for Progress Payment will only be returned to the DBC if there ismissing or incomplete paperwork.

4. When an Application for Payment is received, the Construction Inspector Supervisor shall date and

initial the Form GSC-17, in the upper right corner. The Construction Inspector Supervisor has threedays, from this date, to review, correct and accept the Application for Payment. The Applicationis then to be forwarded to the Fiscal Division, Bureau of Administrative Services, Department ofGeneral Services, 18th and Herr Streets, Harrisburg, PA 17125. The Construction InspectoSupervisor shall also transmit a copy of the Application for Payment package to the ConstructionRegional Director.

5. In accordance with Act 142 of 1995, The Prompt Payment Act, DGS shall make payment withinforty-five (45) calendars days of the date the Application for Progress Payment is receivedFor purposes of calculating the forty-five calendar days, the start date will be the day on which theConstruction Inspector Supervisor signs the Application for Payment.

6. The DBCs Retained Professional shall review its copy of the Application for Progress Payment and

notify the Construction Manager of any required adjustments or changes within seven calendardays of receipt. A copy of any comments by the DBCs Retained Professional shall also be sent tothe Construction Regional Director and the DBC.

7. The Construction Regional Director or designee shall also review the copy of the Application foProgress Payment and notify the Construction Manager of any required adjustments or changeswithin seven calendar days of receipt. A copy of any comments by the Construction RegionaDirector shall also be sent to the DBCs Retained Professional and the DBC.


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8. Any adjustments or changes required as a result of the review by the DBCs Retained Professionaand/or the Construction Regional Director will be made on the next Application for Payment submittedafter receipt of the comments by the Construction Inspector Supervisor.

B. Prevailing Minimum Wage Certificate - Form GSC-16

1. The Form GSC-16 must be completed, by the DBC, and attached to each Application for ProgressPayment to certify compliance with the payment of Prevailing Minimum Wages as required by theContract Documents.

2. The DBC and all subcontractors are required to submit Form LLC-25 (formerly LIPW-128) to theConstruction Inspector Supervisor, on a weekly basis.

C. Recapitulation of DBCs Application for Payment - Form GSC-17

1. The DBC should request an emailed copy of the Application for Progress Payment from theConstruction Inspector Supervisor. The Construction Inspector Supervisor can obtain this from thePublic Works Fiscal Division. Fiscal Division will have all required information already set up on thespreadsheet for the DBC to use.

2. Each application must be numbered consecutively and the heading information must be completedThe DBC must insert the ME No. and Appropriation Symbol on the GSC-17 Form. This information is

provided with the executed contract and in the Orientation Meeting Report.

3. The Final block must be checked if final payment of the contract amount is being requested. If anapplication is being revised, the Post Final block must be checked.

4. The Amended Contract Amount is the Total Contract Award, plus or minus all change orders, debit ocredit, approved by DGS.

D. App. for Payment of Labor, Materials/Equipment Incorporated Form GSC-18

1. The Design /Build Contractor must provide a true and correct list of the work performed for each payperiod. The list must be according to the item number(s) on the approved Contract BreakdownSheets from the Cost Loaded Project Schedule..

2. All items must be listed in numerical sequence, as shown on the Cost Loaded Project Schedule, andall items are to be carried on each and every Application for Payment, Form GSC-18.

3. Individually list all debit and/or credit change order work completed and previously approved by DGSunder the heading of Executed Change Orders on the Form GSC-18.

4. An approved change order may be paid on a percentage basis as the work is completed.

5. Individually list all pending debit and/or credit change orders, which have received scopeauthorization from DGS, under the heading of Pending Change Orders on the Form GSC-18.

E. Stored Materials Form GSC-43

1. Stored Materials may be invoiced by the DBC when materials are ordered in advance and stored aan appropriate facility or the site until installation will occur. Material that is scheduled for installationin less than forty-five days from the date of procurement is not eligible for payment as storedmaterial.

2. A completed GSC-43 Form must be submitted with the Application for Progress Payment.


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3. Prior approval to store materials is not required by DGS. The signatures of the DBC and theConstruction Inspector Supervisor will attest to the fact that the forms have been reviewed and arecorrect.

4. It is not necessary for the Construction Inspector Supervisor to visit the warehouse where materialsare stored off-site. By executing the GSC-43 and submitting photographs, the DBC will be attestingto the fact that the materials are properly stored. The DBC is responsible for proper storage of thematerials at the project site. Materials must be stored off the ground and properly protected from theelements.

5. Only one supplier may be submitted on each GSC-43 Form.

6. The description of line items on the vendors invoice should be identical to the description on theGSC-43 Form. If an item description on the vendors invoice is not identical, the DBC must clearlydescribe, either on the invoice or an attachment, the invoiced item(s) as related to the items on theGSC-43.

7. The vendors invoice must also show the Unit Wholesale Price and the Extended Unit WholesalePrice. It is permissible for the DBC to add information to the vendors invoice for the purpose oclarity.

8. If items that are being submitted as stored material are intermixed with other items on a vendors

invoice, the claimed items must be highlighted or underlined.

9. Requests for payment may not exceed eighty-five percent (85%) of the price of the item as indicatedon the accepted Cost Loaded Project Schedule.

10. The completed GSC-43 Form, submitted with the Application for Progress Payment, must also havethe following documents attached:

a. Vendors Invoiceb. Photographs of material and its locationc. Fire and theft insurance policy rider for the materialsd. Evidence of payment, or when payment has not been made, a letter on the DBCs letterhead

authorizing payment to be made jointly to the DBC and the supplier.

e. Power of Attorney (from bonding company)

F. Payroll Affidavit, DBCs Certificate and Statement of SuretyPower of Attorney - Form GSC-24

1. A Final Application for Payment must be accompanied by a completed Form GSC-24. If a FormGSC-24 is not submitted with the Final Application for Payment, the sum of $500 will be withheld untithe form is submitted.

2. The Payroll Affidavit section of the form need not be completed, if the prevailing minimum wage scaledoes not apply. However, a statement must be made by the DBC on the reverse side of the PayrolAffidavit, indicating that the prevailing minimum wage scale does not apply.

3. A copy of this form should be retained by the DBC, and an original must be forwarded with theApplication for Payment. A copy of the Power of Attorney must be attached to each GSC-24.

G. For Each Application for Progress Payment

1. Prior to submission and distribution of the Application for Payment packets by the ConstructionInspector Supervisor, they shall be assembled in the following order:

a. GSC-17


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b. GSC-18c. GSC-16d. GSC-43 (if stored materials)

1. Power of Attorney (from bonding company)2. Vendors Invoice3. Photographs of material and its location (Regional Office copy only)4. Fire and theft insurance policy rider5. Evidence of payment, or when payment has not been made a letter on DBCs letterhead

authorizing payment to be made jointly to the DBC and the supplier

e. GSC-24 (if Final Invoice)f. Notarized LLC-25 (formerly LIPW-128) or WH-347 for federal funded projects (if Final Invoice)

2. Upon completion of the assembly of the Application for Progress Payment packets by theConstruction Inspector Supervisor, the original and two complete copies shall be submitted to theFiscal Division. The Invoice Transmittal is to be completed in its entirety, by the ConstructionInspector Supervisor, and placed on top of the entire submission to the Fiscal Division. It is nonecessary to attach a transmittal to each copy.

3. Upon successful Final Inspection, the monetary amount to be retained shall be adjusted to reflect theactual amounts retained or otherwise held, as set out in the various sections of the Contrac

Documents. The pertinent pages of the Final Inspection Report, including the DBCs RetainedProfessionals Certificate detailing the uncompleted items and value, pending credit change ordersliquidated damages, claims, etc., must be attached to the Application for Payment packet. The itemsindicated on the DBCs Retained Professionals Certificate shall not be paid until completed in theirentirety. As the paperwork items are completed, change orders and extensions of time are approvedclaims resolved, the retained amount may be reduced accordingly. The pertinent pages of the FinaInspection Report shall be attached with a strikethrough the items acceptably completed and/oapproved. The adjusted retained amount should then be calculated, inserted and highlighted on thecopies of the Final Inspection Report attached to the Application for Payment packets. Copies of theFinal Inspection Report are to be attached to the original packet to the Fiscal Division, the RegionalDirectors copy and the Field Offices copy. The adjusted retained amount must equal the amounshown on Line 9 of the GSC-17 Form.


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CHANGES IN CONTRACT WORK(FIELD ORDERS/CHANGE ORDERS)

CONSTRUCTION CHANGE ORDER - FORM GSC-1

PURPOSEThe purpose of this procedure is to provide a definition and description of the Change Order (CO) process. ChangeOrders are used to implement and document changes to the Design Build Contract. A Change Order is a documentissued to the DBC to identify required changes to the original RFP plans, specifications, or other Contract DocumentsUpon successful negotiation of the associated changes in project scope, cost and schedule, the final change order withthe proper signatures becomes a legal amendment to the contract.

Any change to Design Build Contract must be documented by issuance of a Change Order .

RESPONSIBILITIES & ROLES

Department of General Services (DGS): Only the DGS can authorize the DBC to proceed with changes to the contrac

and is responsible for the approval or rejection of all Change Orders.

Construction Manager (CM): The CM is responsible for the coordination of all Change Order activity as described in thisprocedure. It is the CMs responsibility to ensure that change orders are processed in a timely, efficient and propermanner. The CM is responsible for obtaining the appropriate authorization from the DGS based upon the CO amount. TheCM is further responsible for monitoring both the frequency and scope of change orders and reporting their potentiaimpact on the projects budget and schedule to the DGS. The CM shall also verify that Change Order records are properlykept.

Design Build Contractor (DBC): The DBC is responsible for preparing the cost proposal and schedule impact statementfor each Change Order. The DBC is also responsible for implementation of the specific construction scope changes perDGS approval.

DBCs Retained Professional (RP): The RP is responsible for the generation of the initial Change Order Request. TheRP is more specifically responsible for providing the description of the requested scope change (including any revised ornew reference drawings or sketches) along with the reason for the requested change.

Department of Corrections (DOC): The DOC may request changes to scope to meet institutional or programmingneeds. DOC requested changes should be documented by the RP and submitted through the normal Change Ordeprocess.

CHANGE ORDER REQUESTS

A Change Order may be requested (originated) by the DBCs Retained Professional, DOC, DGS Personnel, and under

limited circumstances, the DBC.

The Originator will initiate the Change Order Request by completing a REQUEST FOR CHANGE ORDER Form, asfurther described and detailed in this procedure.


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CHANGE ORDER TYPE - DEFINITIONS

DGS offers different types of Change Orders for use in addressing the various situations encountered during the project.Basically, these Change Order options can be defined in terms of the appropriate Cost Type. Each Change Order wilhave only one Cost Type. The Change Order Cost Types are defined as:

Exact Cost - The DBC, DBCs Retained Professional and DGS agree on the exact scope and cost to perform the

Change Order work.

Disputed Cost - The DBC, DBCs Retained Professional and DGS agree on the exact scope of work, but theDBCs Retained Professional and/or the DGS disagree with the DBCs cost to perform the work.

Unit Cost - The DBC, DBCs Retained Professional and DGS agree on type of work to be done and DBCs unicost to perform the work. The exact quantities of the work cant be determined until the work commences or iscompleted.

Force Account - The DBC, DBCs Retained Professional and DGS cant determine what exact type of workneeds to be done until work commences and/or DBCs unit costs for performing work are unacceptable to DBCsRetained Professional or DGS. Work must be performed on a time and material basis.

No Cost / No Impact (Known as a Field Order Condition) - A Field Order Condition is defined as any changewhich meets all of the following criteria:

The DBC, DBCs Retained Professional, CM and DGS all agree that the change constitutes neither a neadditional nor deductible cost to the Project Contract.

The DBC, DBCs Retained Professional, CM and DGS all agree that the change will not constitute additionatime to the Project Schedule.

The change consists of a minor relocation, substitution or revision to quantity of contract items which does noconstitute a significant change in design and does not need to be documented by revision to Project Drawingsand/or Specifications.

The change is singular in that it is not comprised of multiple unrelated (apples and oranges) revisions.

Field Orders are issued by the DGS Regional Office. The DBCs Retained Professional shall request a Field Order bywriting to the appropriate Construction Regional Director or Construction Inspector Manager. As procedure may varyslightly from Region to Region, the DBCs Retained Professional should verify exact procedure by contacting theappropriate Region at the beginning of the Project.

Under no circumstances should a Field Order be requested by writing to the Director of Construction, or the ConstructionChange Order Section in DGS Headquarters (Harrisburg).

Any change to Design Build Contract which does not meet all of the Field Order criteria, must be documented by issuanceof a Change Order.


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SELECTING THE APPROPRIATE CHANGE ORDER COST TYPE

In order to request a Change Order, the Cost Type must first be selected by the Construction Manager. This selectionshall be based upon a review of the various factors surrounding the change order condition.

DETERMINING THE COST TYPE

The CM shall first determine a Cost Type by reviewing the proposed work, the DBCs ability to price that work and the

DBCs resulting estimate to perform the work against the Cost Type definitions provided in this procedure. An additionafactor which need be considered when selecting a Cost Type is that Force Account or Unit Cost work will require DGSmonitoring of quantities during performance of the work.

CRITICALITY (TIME ELEMENT)

As some change order conditions may be considered time critical, it is essential that the Change Order be issued and theDBC authorized to begin work as soon as possible. It is therefore required that the DBC provide the ApprovaRequested By: date on each Change Order Request. The DBCs Retained Professional and CM will review therequested date, and the CM will recommend an approval deadline to DGS. The Approval Requested By: date shouldnot be considered as soon as possible in every instance and should allow at least two working weeks from the time theChange Order request is submitted to the DGS.

In time critical situations related to emergency conditions or non-emergency job-delaying conditions, the CM will indicatethat Critical processing is necessary and will confirm the Approval Requested By: date, if less than two workingweeks. Since the exact cost to perform the work for these types of Change Orders will not be known until the work hasbeen completed, the DBC needs to be authorized to perform the work prior to the collection of all final costs. This timecritical situation requires the Construction Manager to coordinate the hand-carrying of signatures on the Change OrderForm at the job site.

PROJECT MANAGEMENT SOFTWARE

The Construction Manager will employ the use of Primavera Contract Managersoftware for the duration of the project.As such, all change order requests will be initiated and routed in the field through the use of the Primavera ContractManagermodule. All information will be electronically gathered and routed as specified by the Construction Manager,prior to the Change Order request being submitted to the DGS.

The DBC will be responsible for participating and using the stated software in order to initiate and process any changeorder request paperwork in the field.

All Change Order requests routed to the DGS will be submitted as hard copy documentation with original signatures.


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STEP-BY-STEP INSTRUCTIONS

The following table lists actions comprising the total beginning to end route for all Change Orders. All actions are to beperformed chronologically , except for those items that are identified by a common numeric Step Number and differingletter A,B,C etc. These actions shall be performed concurrent with other actions containing the identical numeric StepNumber.

SUMMARY OF STEP-BY-STEP INSTRUCTIONS

STEPNO.

RESPONSIBLEFOR ACTION

ACTION

1 ORIGINATOR Identify Change Order Condition.2 ORIGINATOR Contact Construction Manager.3 CONSTRUCTION

MANAGEREvaluate situation and determine the appropriate Approval Requested By: date.

Note: The Construction Manager is responsible for coordinating the completion of the REQUEST FOR CHANGE ORDERForm and all necessary attachments including a complete and detailed scope, reason and cause for change, proper costsubstantiation, corroborating cost tape, signatures and monitoring of funding availability. The exact assignment ofresponsibility and sequence to distribute the form around to accomplish this completion will be left up to the discretion ofthe Construction Manager. The following Step Number 4 lists suggested assignment responsibility for completion of the

REQUEST FOR CHANGE ORDER Form and required attachments. Step Number 4 sub-items are listed as concurrentas actual sequencing will be determined by the Construction Manager.4A CONSTRUCTION

MANAGERComplete SECTION 1 of REQUEST FOR CHANGE ORDER Form.

For ACTUAL COST and ESTIMATE UNIT COST basis, provide fax copy of cost tapeverifying accuracy of detailed cost breakdown supplied by DBC. (Actual cost tape to beprovided with actual subsequent Change Order Packet.)

For ESTIMATE FORCE ACCOUNT basis, provide letter explaining CONSTRUCTIONMANAGER justification for estimate cost selected. If cost breakdown from DBC is beingprovided in lieu of letter to support estimate cost, a copy of cost tape must also be provided.Provide signature in SECTION 3 of form. (Construction Manager should not sign untilDBCs Retained Professional and DBC have signed.)

4B RETAINEDPROFESSIONAL

Complete SECTION 2 of REQUEST FOR CHANGE ORDER Form. Provide signature inSECTION 3 of form. Provide copies of scoping information required including sketches andscope letters.

4C DBC Provide detailed cost breakdown to support ACTUAL COST and ESTIMATE UNIT COSTbases. Provide input as requested by Construction Manager to support ESTIMATE FORCEACCOUNT basis. Provide signature in SECTION 3 of form.

5 REGIONALCLERICAL

PERSONNEL

Provide computer data entry of Request for Change Order Form.

7 BUR. OF CONST.C/O SECTION

Determine validity of Change Order request. Review completed Request for Change OrderPacket for completeness and accuracy.

8 DBC May commence with the Change Order work upon receipt of the CHANGE ORDERAUTHORIZATION LETTER.

9 RETAINEDPROFESSIONAL

Complete SECTION 1 of the CONSTRUCTION CHANGE ORDER Form and forward toDBC within 5 working days, with all scoping reference information including thePROFESSIONALS SCOPE LETTER. Provide distribution as required.


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10A DBC Complete SECTION 2 of CONSTRUCTION CHANGE ORDER Form and forward (with allprevious attachments) to DBCs Retained Professional with proper cost substantiation perthe following:

For ACTUAL COST basis, provide detailed cost breakdown submitted with REQUEST FORCHANGE ORDER Form.

For ESTIMATE UNIT COST basis provide detailed cost breakdown showing actualquantities and revised cost figure if applicable.

For ESTIMATE FORCE ACCOUNT basis where Force Account Records shall be submittedwith C/O Packet, provide all Force Account Daily Work Record Sheets and F/A SummaryDetailed Cost Breakdown

Forward copy of CONSTRUCTION CHANGE ORDER Form and copy of detailed [Actual,Unit Cost, or Force Account Summary] cost breakdown to the Construction Manager.(Copies of F/A Daily Work Records need not be sent since copies were kept daily on the jobsite by the CM.) Provide distribution as required.

10B REGIONALCLERICAL

PERSONNEL

Provide computer data entry

11A CONSTRUCTION

MANAGER

Review breakdown for completeness and arithmetic accuracy. (For ESTIMATE FORCE

ACCOUNT make sure Force Account Summary Detailed Cost Breakdown matches thetotals of the Force Account Daily Work Records.) If correct, forward corroborating cost tapeto Construction Regional Office. If incorrect, generate and forward alternate *dispute basiswith corroborating cost tape to Construction Regional Office and distribute copies to DBCand DBCs Retained Professional.

11B RETAINEDPROFESSIONAL

Complete SECTION 3 of CONSTRUCTION CHANGE ORDER Form. Forward form and allaccumulated attachments.

12 REGIONALCLERICAL

PERSONNEL

Provide computer data entry and assemble the Change Order Packet for Managers review.

13 CONSTRUCTIONMANAGER

Review Change Order Packet for accuracy and completeness. Provide Regional cost basis(required for Regional dispute of DBC cost due to discovery of math error or indisputable

error). Complete the CHANGE ORDER PACKET COVER SHEET and add to front ofChange Order Packet.

14 REGIONALDIRECTOR

Complete SECTION 4 of the CONSTRUCTION CHANGE ORDER Form. Reviewcompleted Change Order Packet for accuracy and completeness. Sign CHANGE ORDERPACKET COVER SHEET upon completion of review.

15 REGIONALCLERICAL

PERSONNEL

Provide computer data entry of FINAL AMOUNT cost . Forward completed Change OrderPacket to Construction Change Order Section.


Provide necessary computer data entry. Review completed Change Order Packet foraccuracy and completeness. Coordinate necessary signatures of Form. Make finaldetermination of cost (for ESTIMATE UNIT COST and FORCE ACCOUNT only) and cause.Coordinate funding approval for final determined cost (for ESTIMATE UNIT COST andFORCE ACCOUNT only). Upon completion of the above, send APPROVAL LETTER to the

DBC approving the Change Order work at the determined cost. Make distribution asrequired.


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17 DBC Upon receipt of APPROVAL LETTER, DBC may:

For ACTUAL COST basis C/Os, invoice for work performed in an amount equal to the finalcost which will be the originally mutually agreeable authorization cost.

For ESTIMATE UNIT COST basis C/Os, invoice for quantities of work approved in the C/Oin an amount equal to the final determined cost.

For ESTIMATE FORCE ACCOUNT basis C/Os where Force Account Records have been

submitted with the C/O Packet, , invoice for work performed (as identified in the ForceAccount Records) in an amount equal to the final determined cost.

For ESTIMATE FORCE ACCOUNT basis C/Os where Force Account Records will besubmitted in batch or batches after the approval of the C/O, begin submittal of ForceAccount Records. Submit original Force Account Daily Work Records with Force AccountSummary Detailed Cost Breakdown to Inspector Supervisor.

If the final determined cost is a disputed cost not acceptable to the DBC, the DBC maypursue additional compensation for this work by requesting a Construction Conference.

18 CONSTRUCTIONMANAGER

For ESTIMATE FORCE ACCOUNT basis C/Os where Force Account Records will besubmitted in batch or batches after approval of C/O:

Review Force Account Summary Detailed Cost Breakdown for completeness and arithmeticaccuracy and make sure it matches totals of Force Account Daily Work Records. If correct,complete top portion of Force Account Records Submittal Form and forward with ForceAccount Daily Work Records, Force Account Summary Detailed Cost Breakdown andcorroborating cost tape to Construction Change Order Section for review and approval ofthe submitted batch.

If incorrect, generate alternate dispute basis with corroborating cost tape. Complete topportion of Force Account Records Submittal Form and forward with Force Account DailyWork Records, Force Account Summary Cost Breakdown, alternate dispute basis andcorroborating cost tape to Change Order Section for review & approval.


Review and approve Force Account Records Submittal batch. Complete bottom section ofForce Account Records Submittal Form approving the submitted batch for DBC invoicing.

Send approved copy of Force Account Records Submittal Form to Supervisor to give toDBC to submit with invoice.20 SUPERVISOR Give approved copy of Force Account Records Submittal Form to DBC to submit with

invoicing.21 DESIGN BUILD Upon receipt of the approved copy of the Force Account Records Submittal Form, the DBC

may invoice for work approved in the submittal batch amount equal to the final determinedcost.

If the final determined cost is a disputed cost not acceptable to the DBC, the DBC maypursue additional compensation for this work by requesting a Construction Conference.

22 Repeat STEPS 18 thru 22 until all batches have been submitted and Force Account Workhas been completed.


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DGS REGIONAL REVIEW OF CHANGE ORDER PACKET

The purpose of this manual section is to provide further instruction for those step items listed as Regional responsibilitiesin the manual sections showing general instructions..

CONSTRUCTION INSPECTOR SUPERVISOR COST REVIEW

The Supervisor shall check the detailed cost breakdown and verify its accuracy and its conformance to procedure If the

Supervisor determines that the DBC has properly followed procedure, that all costs are proper and warranted, the ChangeOrder be forwarded to the Regional Office.

Any inaccurate information discovered in the cost breakdown that may be corrected by the Supervisor such as matherrors, incorrect application of overhead and profit, burden, and/or bond rate adjustment should be adjusted by theSupervisor in lieu of returning it to the DBC for correction. The resulting alternate cost basis will be forwarded to theRegional Office with copies to the DBC and DBCs Retained Professional. If a particular DBC continues to make repeatedidentical correctable errors in Change Order after Change Order, the Supervisor will notify the DBC about the repeatederrors and advise that future instances will result in returns for DBC correction. Correction of such errors will not beconsidered part of DGSs Change Order review time and the DBC will be considered wholly responsible for any additionaprocessing time. Additionally, any missing, incomplete, or improper information that can not be corrected by theSupervisor should be referred back to the DBC for correction. Examples of such information include:

failure of DBC to provide verification of labor/burden rates with first C/O under contract, failure of DBC to provide proper explanation/verification for types and quantities of material, labor, equipment or

subcontractors items claimed, failure of DBC to offer the most favorable equipment rate applicable to the work duration.

One attempt will be made to procure this missing information in a timely matter. If this information can not be provided ina timely manner, the Supervisor will submit to Regional Office with a note or letter indicating what items the DBC hasfailed to provide.

MANAGER / REGIONAL DIRECTOR C/O PACKET REVIEW

The completed Change Order Packet shall contain and be arranged in the following order:1.) C/O Packet Cover Sheet,

2.) Request For Change Order Form (if applicable),3.) DBCs cost basis, alternate (disputed) cost bases (if applicable) and cost tape supporting the recommended cost,4.) DBCs Retained Professionals Scope Letter, applicable drawings, sketches, specification section references,5.) DOC letters,6.) RFIs,7.) reference correspondence and8.) the completed Construction Change Order Form.

If a Change Order is disputed, a cost tape need only be provided for the recommended cost, but all cost bases must beprovided including the DBCs basis and all disputed bases.

If a math error or round off error is discovered in an otherwise recommendable DBCs cost breakdown and the errorresults in a discrepancy less than $1.00, the Region shall recommend the DBCs cost, as is, without correction. Thediscrepancy shall be mentioned in the Regional Comments section of the C/O Packet Cover Sheet.

If the error results in a discrepancy greater than $1.00, the discrepancy shall be treated as a dispute with an alternate costbasis and cost tape generated to support the revised cost. The lone exception to this would be if a math error greatethan $1.00 is discovered in the final cost breakdown of a previously approved ACTUAL COST Change Order. Once theACTUAL COST Change Order has been approved in a given cost amount, that amount can not be adjusted by DGS orthe DBC unless the scope of the Change Order is revised during evolution of the Change Order.


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Corrections to the scope of the Change Order shall not be made on the Construction Change Order Form but ratheshould be made in the description section of the C/O Packet Cover Sheet with explanation in the Regional Commentssection of the Cover Sheet.


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COMPLETING THE REQUEST FOR CHANGE ORDER FORM

WHEN IS THIS FORM REQUIRED?

This form is required to initiate any Change Order.

SECTION 1

ORIGINATOR

This SECTION is to be completed by the ORIGINATOR of the Change Order Request. The following is a list of thoseindividuals who may serve as ORIGINATOR and the limitations on each:

PROFESSIONAL

The DBCs Retained Professional may originate a REQUEST FOR CHANGE ORDER Form at any time without limitation.

DGS

DGS Regional Inspection Personnel, Regional Director, Director of Construction, and DGS Legal may originate aREQUEST FOR CHANGE ORDER Form at any time without limitation.

PROFESSIONAL FOR USING AGENCY

The DBCs Retained Professional may originate a REQUEST FOR CHANGE ORDER Form on behalf of DOC at anytime. The DBCs Retained Professional must include with the REQUEST FOR CHANGE ORDER Form, a copy of abusiness letter from DOC authorizing figure to the DBCs Retained Professional, written on DOC letterhead papercorroborating that DOC is requesting the specific change.

DESIGN BUILD CONTRACTOR

The DBC may serve as ORIGINATOR only if one of the following scenarios applies:

The DBC has been denied, in writing, a Change Order by the DBCs Retained Professional, for a condition whichthe DBC feels is a legitimate change to the Contract scope of work.

The DBCs Retained Professional has been totally unresponsive in addressing the DBCs previous multiplecorrespondence regarding the subject condition.

For all Change Order requests originated by the DBC, the DBC must include with the REQUEST FOR CHANGE ORDERForm, the following information:

A cost breakdown indicating what the cost of this Change Order would be if initiated.

A copy of the DBCs Retained Professionals rejection letter (if applicable).

A letter providing the DBCs total counter-argument to the DBCs Retained Professionals rejection (if applicable).

Failure to provide this information will most likely result in DGS rejection of this request.

DESCRIPTION OF WORK (SCOPE)


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The Originator shall describe in detail the exact change from the original contract that is being requested. If the descriptioncannot be confined to DESCRIPTION OF WORK block in SECTION 1 of the REQUEST FOR CHANGE ORDER Form,the description should be continued in SECTION 1 of the REQUEST FOR CHANGE ORDER CONTINUATION SHEET.

The description should include all reference drawings, sketches, specification sections, DBCs Retained Professionascoping letters necessary to define the scope of work.

If any new work is being requested in lieu of specified contract work, the ORIGINATOR should clearly define both therequested (new) and the superseded (specified) work.

ORIGINATOR NAME, SIGNATURE, COMPANY, ADDRESS

ORIGINATOR shall provide name, signature, company (or agency) name and address where requested.

SECTION 2

This SECTION is to be completed by the PROFESSIONAL. DGS expects the PROFESSIONAL to promptly process alRequest Forms originated from another source even if in disagreement with the request. Failure to provide thispromptness may result in a negative DBCs Retained Professional evaluation.

PROFESSIONALS CONCURRENCE WITH CHANGE ORDER

If the PROFESSIONAL disagrees with the need, benefit, or legitimacy of any given REQUEST FOR CHANGE ORDERhe/she must indicate this disagreement by providing explanation of reason where requested. All REQUEST FORCHANGE ORDER Forms received by DGS without such explanation will be assumed agreeable to the PROFESSIONAL.

REVISED DESCRIPTION OF WORK (IF REQUIRED)

If the description of work provided in SECTION 1 is determined by the PROFESSIONAL to be incorrect or incomplete, thePROFESSIONAL shall provide a revised description. If the description revision cannot be confined to the REVISEDDESCRIPTION OF WORK block in SECTION 2 of the REQUEST FOR CHANGE ORDER Form, the description shouldbe continued in SECTION 2 of the REQUEST FOR CHANGE ORDER CONTINUATION SHEET.

Descriptions shall be provided per procedure defined under SECTION 1-DESCRIPTION OF WORK (SCOPE).

WHAT IS THE CAUSE OF THIS CHANGE ORDER?

The PROFESSIONAL is required to provide an opinion as to the reason that the Change Order is required. The DBCsRetained Professional must select one of the five CAUSE CHOICES listed below and provide detailed explanationsupporting that choice. This information shall be provided in the THIS CHANGE ORDER IS A DIRECT RESULT OF blockand the EXPLAIN CAUSE CHOICE block.

CAUSECHOICE

DEFINITION REQUIREMENTS

Request ofDOC

Any Change Order requested by DOCthat could not be processed as a DBCsRetained Professionals E/O, PostDesign Code Revision, or Unforeseen

App K-Administrative Procedures

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Transcript of App K-Administrative Procedures