KR Procedures Manual 15 june 2011.pdf

DEPARTMENT OF HOMELAND SECURITY

UNITED STATES COAST GUARD

MATOCC CONTRACTORS’

Procedures Manual

15 June 2011

PROCEDURES MANUAL

INTRODUCTION

This manual is a supplement to the contract and specifications. It is intended to assist in contract administration. It contains basic information, flow charts for routine processes, blank forms and instructions, and additional Coast Guard abbreviations not found in the contract. It is not intended to, nor does it, supercede any portion of the contract, but rather it is intended to assist and clarify procedures for Task Orders.

TABLE OF CONTENTS

A.1 ADMINISTRATION

A.2 CONSTRUCTION FORMS

A.3 CONTRACTING FORMS

A.4 ABBREVIATIONS AND ACRONYMS

A.1 ADMINISTRATION

RECORDS AND REPORTS:

A. Construction Management Forms:

This section describes the use of the various forms that may be used. Copies of the forms are contained herein.

Electronic copies may be obtained from the Contracting Officer.

Contractor’s Daily Report, (Form CM-03)

When daily reports are required; complete a Daily Report on Form CM-03 and submit to the KO via COTR.

Electronic submission is permitted.

Submittal Transmittal, (Form CM-04)

Use this form as the cover page for all submittals. Submittal procedures are as follows:

Table A.1.1: Submittal Transmittal Letter Procedures

Issue: Procedure:

Submittal Numbering

Submittal Numbers shall be sequential and independent of section or paragraph numbering.

Resubmittals Resubmittals shall use the sequential number assigned to the original submittal and assign a letter behind the number for each resubmission. Example: Original submittal number 103, first resubmission number 103A, second resubmission numbered 103B, etc.

Limiting Items Each submittal shall address specific items referenced back to a section and paragraph.

Each transmittal letter shall have a single item or small logical grouping. Avoid mixing section numbers and mass submissions on a single transmittal.

Contractor Review It is the contractor’s responsibility to review and sign each submittal. This review shall ensure the submittals accuracy and completeness.

Variations Any variation of the submitted item, from the requirements, shall be clearly called out on the Submittal Transmittal Letter.

Review Each submittal will be reviewed and marked “Approved”, “Disapproved”, “Approved as Noted”, or “Accepted”. Any disapproved or approved as noted submittals shall clearly identify the reason why the submittal was not approved.

Questions from Contractor

All submittal questions shall be addressed with the COTR.

A flow chart of the submittal process is contained in an Exhibit at the end of this Appendix.

Submittal Log (Form CM-05):

A submittal log is used to track submittals. The contractor submits this form. The contractor shall then continually track submittal progress and update the log as an as-built record, and submit the completed log with closeout documentation.

The Appendix contains an example Submittal Log. This may also be in the form of a spreadsheet. Codes used in the Submittal Log are contained in Table A.1.2, and Submittal Log procedures are outlined in Table A.1.3.

Table A.1.2: Submittal Log Codes

Code: Definition:

AS As-Builts CA Calculations CC Certificate of Compliance ES Extra Stock FT Field Test MD Manufacturer's Data NR Name/Factory Authorized Representative NT Notification OM Operations and Maintenance Manuals PP Work Plan/Procedure PC Pre-Construction QA Quality Assurance RD Record SA Sample SD Shop Drawing SI Installed Sample/Mockup SV Survey TD Test Data WA Warranty

“Submit To” Codes: CI: On-Site Inspector COTR: Contracting Officer Tech Rep A-E: A-E Firm Designated Representative

Table A.1.3: Submittal Log Procedure

Format All Submittal Logs may be submitted as an Excel document.

Used for Site Control The COTR and contractor shall use the Submittal Log to verify the accuracy of field records and ensure products and systems being installed have been approved.

A flow chart of the Submittal Log procedures is contained as an Exhibit at the end of this Appendix.

Design Clarification Request (Form CM-06):

Form CM-06, Design Clarification Requests (DCR) is the vehicle to identify and track contractor questions regarding technical or functional aspects of the work for which a formal response from the Government is desired.

DCRs may also be called Request for Information (RFI) within industry.

DCRs may be developed at any level, but shall always be processed through the COTR. A Flow Chart showing the DCR process is contained in an Exhibit at the end of this Appendix. The objective of a DCR is to clarify and resolve the issue at the lowest level in the most efficient manner. DCR procedures are provided in Table A.1.4.

Table A.1.4: Design Clarification Requests Procedure

Content A DCR shall be self contained and if necessary include any sketches, drawings, cut-sheets, etc. to clearly identify the clarification being sought.

Question Each DCR shall have a single clear and concise clarification request. This request shall not be limited to the design, but to any issue that may arise during construction. Whenever possible, make references directly to specification or drawings.

Answer All answers shall be clear and concise and shall not alter the contract requirements. If the DCR identifies an error or omission, the COTR will immediately notify the design team.

Numbering All numbers shall be assigned sequentially by the contractor, per task order.

Tracking The contractor and COTR shall each have a log and shall periodically reconcile their logs.

The contractor maintains the master log.

Review The project superintendent shall review and sign or initial all DCRs prior to submitting to the

COTR. The COTR shall answer any DCRs that can be answered at the field level or ensure the clarity of the request prior to forwarding it to the KO or design team.

Substitutions for Material

DCRs are not to be used to fulfill submittal requirements or to request substitutions or waiver’s to the contract.

A flow chart of the DCR process is contained in an Exhibit at the end of this Appendix.

Design Clarification Request and Field Adjustment Log (Form CM-07):

Logs shall be managed by the contractor and COTR. An example of a Log form is contained in Appendix A.2.

The log may also be developed on a spreadsheet.

This log shall contain the following information:

• number of the DCR or field adjustment,

• description, and

• date of approval

Test Report (Form CM-08)

The contractor shall submit a testing report for each test conducted. Field tests shall be documented on this form and submitted after the tests have been completed.

All testing and reports shall be noted on the contractor’s daily report, and shall be logged in the Submittal Log when submitted.

Testing Log Instructions: Number tests numerically, use using the prefix T to indicate Test, and the submittal number from the submittal log as the sequence number. Example T-21, T-32,, etc. Number repeat tests with same number as previous test, then alphabetical.

Example: T-21 needs to be repeated. Next test would be T-21A, if this test fails the next would be T-21B, etc.

Multiple or Repetitive tests: Testing from each day shall be submitted separately. For instance; compaction testing; submit tests for each day on one report form.

Field Adjustments Record, (Form CM-10)

A field adjustment is an agreement typically reached between the COTR and contractor’s superintendent and is used to make minor corrections or changes that do not effect the total time, money or overall scope of the contract.

All Field Adjustments shall be recorded on a Field Adjustment Record, Form CM-10. This form is completed by the COTR and countersigned by the contractor’s superintendent. In addition, all Field Adjustments shall be logged on the contractor’s daily report and in the Field Adjustment Log, Form CM-07.

A flow chart of the Field Adjustment Process is contained in an Exhibit at the end of this Appendix.

Final Inspection Request, (Form CM-11)

Submit a request for final inspection on Form CM-11. This form is submitted after the pre-final inspection is complete, and all contract activities and deliverables are received (except for several Contracting Officer initiated contract administration documents).

Exhibit A.1.1: Submittal Processes

Exhibit A.1.2: Design Clarification Request (DCR) Process

Exhibit A.1.3: Change Modification Request (CMR) Process

Exhibit A.1.4: Field Adjustment Process

APPENDIX A.2 CONSTRUCTION FORMS

Table A.2.1: Index of Construction Management Forms Form Form Title

CM-03 Contractor’s Daily Progress Report CM-04 Submittal Transmittal CM-05 Submittal Log CM-06 Design Clarification Request CM-07 Design Clarification Request & Field Adj Log CM-08 Testing Report CM-09 Not Used CM-10 Field Adjustment Record CM-11 Final Inspection Request

USCG CM-03

Rev. 6/11

PROJECT TITLE: DATE:

(DESCRIPTION) (LOCATION)

TASK ORDER NO: WEATHER

DAILY CONSTRUCTION REPORT Contract No:

TASK ORDER NO: WEATHER

TEMP AM

CONTRACTOR:

Activity

PRIME/SUB-CONTRACTOR LABOR REPORT

Activity or Number of Mod No. Description of Work Personnel Trade Employer Hours Yes No

Activity Complete

Owned Equipment Activity Description

Type Qty Up Down Number of Operation Total

Rental Equipment Activity Description

Type Qty Up Down Number of Operation Total

Contractor's Representative Signature

COMMENTS

Status

EQUIPMENT REPORT

Status

INSPECTION/TESTING REPORT

COTR ______

USCG CM-04

SUBMITTAL NEW SUBMITTAL OR

NO. PREVIOUS SUBMITTAL NUMBER

CONTRACTOR: REVIEWED & APPROVED BY CONTRACTOR: DATE:

Paragraph Approved Number As Noted

Type Approved Disapproved

SPECIFICATION SECTION

TASK ORDER #

Contract #

SUBMITTAL TRANSMITTAL

Project Title:

Contractor Comments: Pusuant to the Specifications and FAR 52.236-21, through submission of this request the contractor certifies that the product/item offered is in compliance with the contract, except as follows: (Specify variances)

Description of Materials

Reviewers Comments:

TYPED NAME SIGNATURE DATE

USCG CM-05

PROJECT TITLE:

(DESCRIPTION)

Dates

SUBMITTAL LOG

Task Order No.

CONTRACT NO:

No. Section Paragraph Description Code Received Due Returned Submit to Comments Dates

USCG CM-06

DCR NO.

PROJECT TITLE:

TASK ORDER/CONTRACT NO:

CONTRACTOR:

DESIGN CLARIFICATION REQUEST

PM_____ KO_____

CONTRACTOR:

DESCRIPTION OF CLARIFICATION REQUEST

SKETCH ATTACHED YES NO

ORIGINATOR (SIGNATURE) DATE CONTRACTOR'S REP (SIGNATURE) DATE

RESPONSE

ANSWERED BY (SIGNATURE) DATE COTR (SIGNATURE) DATE

PM_____ KO_____

USCG CM-07

PROJECT TITLE:

ID

No. Description Initiated Approved

DCR AND FIELD ADJUSTMENT LOG

DatesDCR or Field Adjustment

Contract /TO #:

USCG CM-08

PROJECT TITLE:

TASK ORDER/CONTRACT NO:

CONTRACTOR:

TEST REPORT

SUBMITTAL NO:

CONTRACTOR:

TEST DESCRIPTION:

DATE: SPEC SECTION: ACTIVITY NO:

TEST INFORMATION

REPORT DATE: ATTACHMENTS? RETEST?

COMPLIANCE NONCOMPLIANCE

REMARKS:

TEST RESULTS

REMARKS:

ATTACH SUPPORTING DOCUMENTATION:

TESTING FIRM

TECHNICIAN NAME (PRINT) TECHNICIAN (SIGNATURE) DATE

ATTACH SUPPORTING DOCUMENTATION:

TECHNICIAN NAME (PRINT) TECHNICIAN (SIGNATURE) DATE

CONTRACTOR'S Quality Control Manager:

(SIGNATURE) DATE

ACKNOWLEDGEMENT

GOVERNMENT REPRESENTATIVE:

(SIGNATURE) DATE

USCG CM-10

NO.

PROJECT TITLE:

CONTRACT/TO NO:

CONTRACTOR:

FIELD ADJUSTMENT RECORD

CONTRACTOR:

CONDITION REQUIRING ADJUSTMENT AND WORK REQUIRED

SKETCH ATTACHED YES NO

For the Contractor:

ACCEPTANCE

The adjustment described above will be made at no change in contract time or price.

For the Government:

APPROVAL

Contracting Officer: Date:

USCG CM-11

PROJECT TITLE:

TASK ORDER NO:

CONTRACTOR:

FINAL INSPECTION REQUEST

COTR____ KO_____

CONTRACTOR:

initials initials date complete Pre-Final Inspection complete and all discrepancies corrected:

As-Builts submitted:

CHECKLIST

O&M Manuals Submitted:

Spare Parts, keys etc delivered:

Training Complete:

Submittal Log finalized:Submittal Log finalized:

All Testing Recorded:

Final Clean up:

We request Final Inspection of this Task Order. All requirements have been compelted and reviewed.

Any expections are noted below. Requested Date of Final Inpsection: y p q p

QUALITY CONTROL MANAGER SUPERINTENDENT

EXCEPTIONS

CONCUR

GOV (SIGNATURE) DATE

COTR____ KO_____

APPENDIX A.3 CONTRACTING FORMS

Table A.3.1: Index of Contracting Forms KO-2C Request for Progress Payments (Construction) KO-8 Modification Proposal SF 1413 Statement and Acknowledgement DHS 700-3 Contractor’s Release

APPENDIX A.4 ABBREVIATIONS AND ACRONYMS

A/E Architect-Engineer AC&I Acquisition, Construction & Improvement AFC Allotment Fund Control AGC Association of General Contractors ASTM American Society of Testing Materials ATON Aids to Navigation BEQ Bachelor Enlisted Quarters BOQ Bachelor Officer Quarters BSU Base Support Unit CASREP Casualty Report CCR Completed Construction Review CCSS Construction Contract Support Services CDR Customer Design Review CEDS Civil Engineering Data System CEU Civil Engineering Unit CFC Chlorofluorocarbons CFR Code of Federal Regulations CI Construction Inspector CM Construction Managers (PMs & COTRs) CMR Contract Modification Request CO Commanding Officer COMDT Commandant, US Coast Guard COMDTINST Commandant Instruction COTR Contracting Officer's Technical Representative CPM Critical Path Method CPO Chief Petty Officer CSI Construction Specification Institute DCAA Defense Contract Audit Agency DCR Design Clarification Request DQR Design Quality Review EC&R Environmental Compliance & Restoration EIC Engineer-in-Charge (Design) FAR Federal Acquisition Regulations FFP Firm Fixed Price FSS Field Support Services FY Fiscal Year GAO General Accounting Office GFE Government Furnished Equipment HQ Headquarters HW Hazardous Waste IFB Invitation for Bids ISSA Inter-Service Support Agreement JFTR Joint Federal Travel Regulations KO Contracting Officer MILSPEC Military Specification MILSTD Military Standard MOD Modification MWR Morale, Welfare & Recreation NAFA Non-Appropriated Funds Activity NAVFAC Naval Facilities Engineering Command NEPA National Environmental Policy Act (1969)

NHPA National Historic Preservation Act NIST National Institute of Standards and Testing NLRB National Labor Relations Board NOAA National Oceanic Atmospheric Administration NPV Net Present Value NTE Not-to-Exceed NTP Notice to Proceed OE Operating Expense OIC Officer in Charge PCB Polychlorinated Biphenyl PM Project Manager PNM Pre-Negotiation Memorandums PreCon Pre-Construction Meeting QA Quality Assurance QC Quality Control RCRA Resource Conservation and Recover Act (1976) REA Request for Equitable Adjustment REHAB Rehabilitation RFI Request for Information (DCR) RFQ Request for Quotation RIM Repair, Improve, Maintain SAR Search and Rescue SBA Small Business Administration SHPO State Historic Preservation Officer SITREP Situation Report SMU Shore Maintenance Unit SOPA Senior Officer Present Afloat SSMR Shore Station Maintenance Request T&M Time & Materials TAR (Dept. of) Transportation Acquisition Regulations TQM Total Quality Management UAC Uniform Annual Cost USC US Code USCGC US Coast Guard Cutter USCOE US Corps of Engineers UST Underground Storage Tank VE Value Engineering VECP Value Engineering Change Proposals VOC Volatile Organic Compound XO Executive Officer