Doing so allows you and your company to have control over quality of equipment and installation while at the same time providing a basis for a fair comparison to vendors and contractor's bids.
In order to be specific, one must first understand the different components that make up an overall project bid and construction package. Commercial Terms documents, such as purchase order forms and agreement forms are prepared to provide a legal basis for entering into a contract with others. Drawings are prepared to illustrate the Owner's project requirements, as well as to portray building code compliance. Specifications are prepared to establish the level of quality, and to put in writing, the Owner's desire for project continuity matched with his desire for long term consistency and philosophy with facility maintenance, spare parts, safety and performance.
Those three components: Commercial Terms, Drawings and Specifications form the basis for project contract documents, or better expressed as an Agreement. All three are important features of an Owner's project procedures. At times, parts of the three are combined into a single format document, especially on small projects or minor equipment purchases. However, once a library of Commercial Terms and Specifications are generated by the Owner, often times it is easier to provide more extensive documents in a bid package than attempting to pare down that bid package into a smaller form.
Regardless of their form, Specifications play an important role in a project, and oftentimes it is said that the most important use for a spec and the only time they are referred to is when there is a problem or dispute.
This paper will provide a guideline for understanding specifications and how to format specifications for the maximum benefit.
The Purpose of Specifications and the Difference Between Specifications and Commercial Terms and Drawings
Preferably, there are three dominant aspects of Specifications, regardless of type:
Drawings illustrate the project requirements. A drawing portrays what the Owner expects, locations details and dimensions, as well as how equipment relates to structures and how that equipment will be powered and controlled. Drawings are also instrumental in showing the building code aspects of the project. Drawings provide the greatest opportunity for establishing the installation of the project system.
In a more direct sense, and to evaluate the impact on a project, ask the question; "Of the three project components, what really controls the cost and quality of a project?"
Commercial Terms do affect cost, to an extent, but clearly Specifications and Drawings are the predominant cost controllers. As an Owner, and from a Drawing standpoint, can you really control cost and quality? Possibly, by controlling scope, space and quantity, but to a large degree, site-specific conditions as well as local building and permitting codes will dictate the cost affect as depicted on the drawings. Therefore, Specifications play the largest role, and give the Owner the greatest control over cost and quality, if the scope must be maintained.
As described above, one can easily derive how three components, Commercial Terms, Drawings and Specifications work hand in hand to cover all aspects of a project's bidding and construction contract requirements.
Another key area to consider is the division of responsibility and risk between the Owner and the Vendor or Contractor. Using similar analogies stated to previously Commercial Terms define a variety of legal insurance and financial issues. Drawings illustrate the scope of the project. Specifications, more than any other project document explain the division of responsibility and risk between the Owner and the Vendor or Contractor. By correctly specifying the expected quality and defining how a project component will be installed, a clear line of expectation is established.
Background Data on Conventional and Non-Conventional Specification Types
Taking a step back from the specification writing procedure, it may be valuable to consider a phased approach in the development of a specification. In this phased approach, ask yourself "What am I trying to accomplish?" This might lead one to putting together an outline for completion. An outline for specification writing might follow this process:
1. Project Design Criteria
2. Commercial Considerations
3. Schedule Considerations
4. Quality Considerations
5. Owner Standards
A Project Design Criteria (PDC) is a precursor to an actual specification. The PDC provides a thorough examination and registry of applicable building codes, local conditions, specific project conditions, (such as facility standards, finish requirements, voltage levels, safety issues, etc.), the Owner's equipment requirements, acceptable model numbers and/or Vendors. The PDC is, in effect, the reference or outline document, which an Owner approves as the basis for further specification.
An example of the first page of a PDC is shown below:
Commercial, Schedule and Quality Considerations would be those project or facility specific items that may need to be worked into the specification. Owner Standards is a listing of standards established for maintenance, inventory spare parts, or operations aspects of projects.
A specification writer could choose one of several different styles to define his intentions. The basic types of specifications are:
a. Performance Specifications - which outlines a criteria for the equipment or service as well as the end product desired.
b. Descriptive Specifications - which describes in detail the materials and installation requirements.
c. Reference Specifications - which relies upon an establish standard dictated by industry or agencies.
d. Proprietary Specifications - this type states the actual piece of equipment or installation procedure to use, with little or no leeway provided.
There are two basic styles of Performance Specifications. This type specification could be used to define, in a basic sense, one's thoughts on how a product or service should be provided. One style is used for general issuance of a Request for Quotation, and the other sometimes connected with a Design-Build type project methodology. Examples of each follow:
General Issuance Performance Specification
The bucket elevator shall be capable of handling 20,000 BPH, with a duty cycle of 24 hours per day. The casing and structural members shall be medium duty, hot dipped galvanized, and shall be supported within a tower. The take-up shall be screw type.
As is shown, the specification generally defines a bucket elevator, but does not specify exact components such as pulleys, belting, cups or drive components.
This type partially defines warranty responsibility to the vendor, but in a greater sense puts the Owner at risk by not defining quality levels of components thereby allowing the vendor to establish his own interpretation of the Owner's needs. The Owner also does not necessarily have an easy task in comparing competitive bids.
Design-Build Performance Specification
Bucket Elevator
a. General
The bucket elevator shall have a capacity of 20,000 BPH and shall be supported within a tower.
b. Casing
The boot and head sections shall be 10 ga. mild steal minimum, while intermediate casing shall be 12 ga. mild steel minimums. All casing angles shall be no less than L2"x2"x3/16". Casing shall be hot-dip galvanized after all weldments.
c. Components
Head pulley shall be vulcanized, while boot pulley shall be wing type, with screw take-up. Belting shall be oil and spark resistant, with mechanical splice. Cups shall be centrifugal type, vented, size based up water level filled.
d. Drive
Drive components shall be selected based up 24-hour continuous duty at rated capacity. Shaft mounted reducers are acceptable up to 125 HP. Motors shall be TEFC, and reducer shall be supplied with a backstop.
These specifications provide a more complete description to define an Owner's requirements. At the same time, they allow some leeway for the contractor to modify, within certain parameters, equipment supply to fit within an overall budget. This style specification still leaves the Owner at risk in terms of quality.
As a practical matter, it is the preference and recommendation of the author to use Descriptive Specifications using a specific and consistent format.
Construction Specifications Institute - Master Format
The terminology that CSI uses is "Master Format Specifications". This type specification separates project components into specific categories, organized by numerical codes. The Master Format type is officially adopted by federal agencies, Sweets manufacturer's catalogues and RS Means cost estimating data. Clearly, this type allows for consistency whether for projects, or a single purchased item, and leaves little room for interpretation.
As an accepted construction industry standard, it is hard to dispute the value of this design. In a general sense, the following benefits are attained from using this format:
a. Proven format used by industries throughout North America, since 1960's.
b. Consistent and uniform making it easy to adapt into a project document system.
c. Organization and sentence structure eliminates contradictory statements and promotes thoroughness.
d. Multiple components allow ease in standardization for a project, a facility or as a company wide standard.
e. Lessens the possibility of overlooking a project component.
f. Allows for uniform cost analysis of bids.
g. Establishes Owner's expectations of quality of product and installation.
h. Reliable documentation should a dispute occur.
CSI uses a format of 16 divisions to define the project specifications. This system allows some latitude to the Vendor/Contractor, yet sufficiently defines the Owner's requirements. Typically in a bidding process, this allows the best opportunity for competitive pricing and cost analysis comparison. The 16 Divisions as defined by CSI standard cataloging are as follows:
Division 1 General Requirements
Division 2 Site Construction
Division 3 Concrete
Division 4 Masonry
Division 5 Metals
Division 6 Wood and Plastic
Division 7 Thermal and Moisture Protection
Division 8 Door and Windows
Division 9 Finishes
Division 10 Specialties
Division 11 Equipment
Division 12 Furnishings
Division 13 Special Construction
Division 14 Conveying Systems
Division 15 Mechanical
Division 16 Electrical
Some projects might require all of those divisions, but the majority of projects or equipment purchases likely will not. Regardless, the divisions are further sub-divided into a multitude of actual specification sections cataloged by number.
CSI has typical numerical nomenclature as it best suits general industry and governmental practices. This does not preclude one from deviations, or the development of ones own numerical system. It is recommended however that the numerical arrangement established by CSI be somewhat followed.
As it pertains to the Grain Industry, a sample listing of specifications that a person might encounter has been assembled, but is not intended to be all inclusive.
As is demonstrated, specifications fit within a Division, potentially requiring multiple Divisions and multiple specifications to accomplish a single product or project need.
Division 1 - General Requirements
01020 Sub-Surface Conditions
01030 Excavation
01040 Demolition
01045 Cutting & Coverage
01050 Cleaning & Washing
01070 Cutting & Patching
01310 Construction Schedule
01340 Shop Drawings
01500 Temporary Facility
01715 Site Clean-up
01720 Project Record Documents
Division 2 - Site Construction
02100 Site Remediation
02200 Site Preparation
02300 Earthworkn
02400 Tunneling, Boring, and Jackig
02450 Foundation and Load-Bearing Elements
02500 Utility Service
02600 Drainage and Containments
02700 Bases, Ballasts, Pavements, and Appurtenances
02750 Railroad
02800 Site Improvements and Amenities
02900 Planting
02950 Site Restoration and Rehabilitation
Division 3 - Concrete
03050 Basic Concrete Materials and Methods
03100 Concrete Forms and Accessories
03200 Concrete Reinforcemente
03300 Cast-In-Place Concret
03400 Recast Concrete
03600 Grouts
Division 4 - Masonry
04050 Basic Masonry Materials and Methods
04200 Masonry Units
04400 Stone
04900 Masonry Restoration and Cleaning
Division 5 - Metals
05100 Structural Metal Framing
05200 Metal Joists
05300 Metal Deck
05400 Cold-Formed Metal Framing
05500 Metal Fabrications
Division 6 - Wood Plastics
06050 Good Timber Gendering
06100 Rough Carpentry
06200 Finish Carpentry
Division 7 - Thermal and Moisture Protection
07100 Damp-proofing and Waterproofing
07200 Thermal Protection
07300 Shingles, Roof Tiles, and Roof Coverings
07400 Roofing and Siding Panels
07500 Membrane Roofing
07600 Flashing and Sheet Metal
07700 Roof Specialties and Accessories
07800 Fire and Smoke Protection
07900 Joint Sealers
Division 8 - Doors and Windows
08100 Metal Doors and Frames
08200 Wood
08300 Specialty Doors
08500 Windows
08700 Hardware
08800 Glazing
Division 9 - Finishes
09200 Plaster and Gypsum Board
09300 Tile
09500 Ceilings
09600 Flooring
09900 Paints and Coatings
Division 10 - Specialties
10200 Louvers and Vents
10290 Pest Control
10500 Lockers
10520 Fire Protection Specialties
0800 Toilet, Bath, and Laundry Accessories
Division 11 - Equipment
11010 Maintenance Equipment
11200 Water Supply and Treatment Equipment
11500 Industrial and Process Equipment
11600 Laboratory Equipment
Division 12 - Furnishings
12500 Furniture
Division 13 - Special Construction
13010 Air-Supported Structures
13080 Sound, Vibration, and Seismic Control
13100 Lightning Protection
13110 Cathodic Protection
13120 Pre-Engineered Structures
13200 Storage Tanks
13280 Hazardous Material Remediation
13400 Measurement and Control Instrumentation
13500 Recording Instrumentation
13700 Security Access and Surveillance
13850 Detection and Alarm
13900 Fire Suppression
Division 14 - Conveying Systems
14200 Elevators
14500 Material Handling
14501 Fabricated Machinery Supports
14510 Power Transmission Equipment
14515 Integral Horsepower Motors
14516 Fractional Horsepower Motors
14520 Conveying Equipment
14530 Dust Equipment
14531 Housekeeping Vacuum System
14540 Spouting & Gates
14541 Hopper Linings
14542 Discharge Hoods & Belt Loaders
14543 Trippers
14544 Truck Rail Load out Spout
14545 Magnet
14546 Motorized Turnheads
14550 Sample Systems
14555 Belt Scales
14560 Bulk Weighing System
14561 Truck Scale System
14565 Truck Unloaders
14570 Grain Cleaners
14575 Personnel Elevators
14576 Personnel Manlift
14595 Barge Unloader & Haul System
14600 Hoists and Cranes
14800 Scaffolding
Division 15 - Mechanical
15200 Process Piping
15300 Fire Protection Piping
15400 Plumbing Fixtures and Equipment
15415 Fumigation Systems
15700 Heating, Ventilating, and Air-Conditioning Equipment
15800 Air Distribution
15900 HVAC Instrumentation and Controls
15950 Testing, Adjusting, and Balancing
Division 16 - Electrical
16050 Basic Electrical Materials and Methods
16100 Wiring Methods
16200 Electrical Power
16300 Transmission and Distribution
16400 Low-Voltage Distribution
16500 Lighting
16700 Communications
16800 Sound and Video
16900 Control Systems
It should be noted again that the intention of the CSI format specification is to allow a series of individual specifications to be placed together into one cohesive package. The reason for this is to allow one project to have consistency throughout. For instance, a single project may have multiple motors scattered throughout many pieces of equipment. A single motor specification, Division 14, 14515-Integral Horsepower Motors, will cover all project motors thereby eliminating the need to specify a separate motor for each piece of equipment. Likewise, a painting specification, Division 9, 09900-Paints and Coatings, can define the entire project without having to include a separate section in each equipment or structure specification.
As one reviews the requirements of a specification, it becomes apparent that a format should be followed. As previously stated, and bringing this discussion to full circle, the three main areas of an individual specification require the following:
Execution
Be careful to sufficiently describe the scope of the project in "General Requirements", the required products and subsequent submittals for approval in "Products" and the Installation and Quality Assurance requirements in "Execution".
Once a specification section is established by the Owner, a master file can be started so that future needs or projects can rely on that standard. Doing this allows for consistency and continuity.
As an example of a specification in CSI format, the following is provided:
Now that you have seen a sample specification in CSI type format, it is important to review in greater detail, the consideration for setting a specification.
Prior to writing the specifications, it is advisable to review drawings and commercial documents to generate an overall familiarity with your project. Remember, this document is one portion of a contract document, and as such, demands attention to detail. In writing the specification, it is important to remember that you are providing instructions to the Vendor or Contractor. In most cases they prefer clear and concise instructions. Make an effort to avoid duplication and repetitiveness. Only use well known and accepted abbreviations.
Avoid vague and non-imperative words or phrases such as:
may
will
to be
minimize
periodic
optimize
safe
best
must
any
either
"said" as an adjective
"same" as a pronoun
and/or
etc.
"to the satisfaction of"
"first rate"
"unless waived by Owner"
"may be cause for rejection"
"furnish and install"
It terms of writing a specification, you should consider the outline as shown below, while at the same time recognizing that not all the items need be included, or in some instance, other items need to be added. The following outline adheres to the CSI typical format.
Part 1 - General Requirements
1.1 Summary
a) Scope of Work
Generally describe the project, product or service requirement.
b) Related work specified elsewhere.
c) Related specification sections.
d) References to Alternates or Substitutions
1.2 References
A listing of codes, standards or agencies having jurisdiction over the work.
1.3 Submittals
The types of data, samples, drawings or information required to be submitted for review.
1.4 Quality Assurance
Criteria and procedures established to determine quality and ultimately acceptability by the Owner.
1.5 Delivery Storage and Handling
1.6 Site Conditions
1.7 Warranty
This is an area that most often times is left for the Vendor or Contractor to dictate. Rather the Owner should specify his requirements.
1.8 Start-up and Commissioning Procedures
Part 2 - Products
2.1 Manufacturers
2.2 Materials
2.3 Manufactured Equipment
2.4 Equipment
2.5 Components
2.6 Accessories
2.7 Fabrication Techniques
2.8 Finishes
Part 3 - Execution
3.1 Qualification of Installer
3.2 Examination of the Project Requirements
3.3 Preparation to Commence the Work
3.4 Installation or Construction
3.5 Repair and Reinstallation
3.6 Field Quality Control
3.7 Adjustments and Tuning
3.8 Clean-up
This applies during and post-construction
3.9 Protection of the work
3.10 Post Construction Submittals
As-Built Drawings, Owner's Operation and Maintenance Manuals
Summary
Even though CSI format specifications tend to use a fair amount of paper and time to generate, you'll find it well worthwhile upon experiencing one disastrous project. Make sure that you invest the time to be thorough and exact. The quality and accuracy of final specifications, which are in sync with drawings and commercial terms, is essential to lowering the Owner's risk.
Following a proven format will allow the Owner a level of consistency throughout his company. Doing so makes everyone's job easier. Maintenance personnel, operations personnel, purchasing and corporate risk managers all benefit from a thorough, consistent approach. In addition, during the bidding and construction phases, the Owner, Vendor, Contractor and Sub-Contractors all have a common reference point.
Perhaps you should also consider an important factor. Just like Commercial Terms and Drawings, once the Specification component of an Agreement becomes a Contract, it is a legal document. The language of a specification, therefore, must be precise. This does not mean that a specification must be filled with legal phrases; rather the written specification must exhibit a certain technical expertise, stated in good English. (Not necessarily grammatically correct).
Take one final note, a good set of specifications is an evolutionary process. Take special care in maintaining a quality file, always returning to a base set of documents which can be updated periodically. Use the base documents for each new project; otherwise you may drift too far from the original intent of the Owner.
