Example document:

Prepared by Office of Procurement
The Metropolitan Transit Authority
of Harris County, Texas
January 1987

• Foreword
• Introduction
• Objective of Specification or Scope of Service
• Which Type of Specification or Scope of Service to Use
• Do's and Don'ts of a Specification or Scope of Service
• Project Manager/User Responsibility to Contracts
• Part I Six-Section Equipment Specification
  • Data Sheet for Six-Section Specification
  • Checklist for Six-Section Specification
• Part II Scope of Service
• Part III Brand Name or Equal Equipment Specification/Data Sheet
• Part IV Statement of Work/Purchase Description

Foreword

This document has been prepared to assist Metropolitan Transit Authority (METRO) personnel in the preparation of Equipment Specifications, Data Sheets, Scope of Services and Statements of Work.

Introduction

This document provides guidelines and recommendations for developing the format and content of a specification, data sheet, Scope of Service or Statement of Work for the following, but not limited to:

• Capital equipment procurement
• Bus modifications
• Maintenance equipment
• Off-the-shelf equipment or hardware
• Services - professional
• Services - personal and non-personal
• Supplies

Statements shown in light type provide instruction and clarification for a specification or Scope of Service paragraph, and statements in bold type are suggested wordings for the content of a paragraph.

Each specification, data sheet or statement of work statement adopted from this document should be carefully reviewed and modified as needed prior to being incorporated into a specification. The scope of service statements are typical examples for services required and should only be used as a guide.

The use of the word Contractor is synonymous with the words vendor, supplier, seller or bidder.

Commercial-type requirements such as warranty provisions, cost information, delivery information and method of payments should not appear in a technical specification or scope of service since they will be specified in other documents provided by the Office of Procurement.

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Objective of a Specification or a Scope of Service

The objective of a specification, data sheet or scope of service is to communicate to Contractors and Procurement personnel what is required and also provide the basis for quality assurance to determine if the Contractor has met the requirements of the contract or purchase order. The specification or scope of service must be written in clear, unambiguous and precise language to communicate effectively what is required. Remember, the Contractor has total responsibility for the work after receipt of order.

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Which Type of Specification or Scope of Service to Use

The following is an example of which type of specification or scope of service may be used, but not necessarily limited to:

Six-Section Equipment Specification

• Capital equipment procurement
• Bus modifications
• Maintenance equipment

Scope of Service

• Services - professional
• Services - personal and non-personal

Brand Name or Equal Equipment Specification/Data Sheet

• Capital equipment procurement
• Maintenance equipment
• Off-the-shelf equipment or hardware (complex)

Statement of Work/Purchase Description

• Off-the-shelf equipment or hardware (routine)
• Services - personal and non-personal
• Supplies

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Do's and Don'ts of a Specification or Scope of Service

The following is a list of do's and don'ts that should be reviewed prior to starting the first draft of a Specification or Scope of Service:

Do's

• Develop the correct mental attitude. Be positive.
• Learn the content and format of a six-section specification. (Once you have done this and adopted the proper specification writing attitude, you will be able to write any type or format of Specification or Scope of Services. This will hold true whether you require equipment, supplies, or services.)
• Write the Specification or Scope of Service to be precise and perfectly clear.
• Write the Specification or Scope of Service in short, concise sentences in the simplest form possible.
• Determine and separate your essential requirements from desirables or "nice to have" needs.
• Whenever possible, write specifications that allow open competition.
• Specify requirements within the state-of-the-art of the industry.
• Obtain technical information from sources such as:
  • publications
  • industry releases
  • manufacturers
  • contractors
  • fellow workers
• In the process of obtaining technical information, do not commit METRO in any way.
• Include Quality Assurance Provisions that mesh with the stated requirements.
• Clearly communicate your technical knowledge in the Specification.
• Use decimals in preference of fractions.
• After you have written what you feel is a perfectly clear and brief statement of requirement, ask yourself, "Is there any way that anyone could misconstrue this statement?"

Don'ts

• "Re-invent the wheel" when an existing Specification or Scope of Service is available.
• Make ambiguous statements, i.e.; the highest quality, in accordance with industry practices, acceptance per industry practices.
• Specify unrealistic or unnecessarily restrictive requirements.
• Provide information to one bidder that will give an advantage over another bidder.
• Allow manufacturer's or manufacturer's representatives to write the Specification or Scope of Service.
• Use unfamiliar words, colloquialisms and words having more than one meaning.
• Use open-ended requirements such as:
  • As directed
  • Subject to approval
  • Satisfactory to
• Use "Bidder to do at no additional cost" (Leave any addresses to money out of the Specification or Scope of Service.)
• Use the term "and/or" in the Specification or Scope of Service.
• Dictate to the Contractor how to accomplish the requirements.

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Project Manager/User Responsibility to Procurement

Upon preparing an Invitation for Bid (IFB), Procurement with assistance from the Project Manager or user has total responsibility for preparing the following sections:

Bidding Requirements

Forms for Bidding

Proposed Contract

The Project Manager or user should input to Procurement any information that does not apply to the Specification or Scope of Service via memorandum and the information will be included in the appropriate document. Examples of this type of information are as follows:

• Requirements that must be provided to METRO with bids or prior to award
• Requirements that must be completed prior to Notice to Proceed of the Contract
• Cost Information
• Delivery Information
• Warranty Provisions
• Methods of Payments
• Liquidated Damages
• Instructions on Reworking Rejected Items
• Availability of Equipment for Retrofit, Modifications, Service or Repair
• Inspection/Acceptance Provisions

This shall also be true for Request for Proposals (RFP) or Purchase Orders.

The Specification or Scope of Service of the IFB, is the total responsibility of the Project Manager or user with the assistance of Contracts. The Specification or Scope of Service should be provided to Procurement double-spaced and in the final format. To be consistent with the typing of the entire contract, the specification or scope of service should be typed with a 10 pitch courier print wheel and margins of 8 and 77.

The ultimate goal is for the Project Manager or user to furnish to Contracts a specification or scope of service that can be utilized in a bid package without discussions with the Project Manager or user.

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Part I Six-Section Equipment Specification

The six-section specification, sometimes called a detail specification, is used where there is a need to purchase the same product or equipment repeatedly.

The section numbers and headings shown below should be used on all specifications when the headings are applicable.

The recommended content for each section is shown below.

1.0 Scope

Provide a brief description of the product or item of equipment to be purchased and a general description of the contents of the specification. Also, state where the equipment is to be used and if installation is required.

This specification shall govern the materials, fabrication, assembly, testing, and other requirements for (Example: centrifugal pumps) for use (Example: in METRO's Kashmere Maintenance Facility).

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2.0 Reference Documents

List governmental regulations, major codes, industry standards, and other similar documents which are utilized in the specification to define the design, materials, fabrication, testing, installation, services, and other similar requirements. Every reference document listed here should be addressed at the appropriate point in the body of the specification.

The introductory wording given below for this paragraph establishes the date of inquiry issue as the control data for applicable editions of standards, codes and addenda referenced within a specification. The responsible individual should verify that a control data is established for reference standards at the time of use.

In addition to the requirements designated elsewhere in this specification, the design, materials, fabrication, and testing of the equipment, materials, and services shall be, to the extent specified herein, in accordance with the latest issues and addenda, in effect at the date of inquiry issue, of the following industry codes and standards.

Reference standards employed by this outline are listed below to provide an example of formatting for industry references.

Document Identification Outline

Document Identification	Title
American Institute of Steel Construction (AISC)
AISC S326	Specification for the Design, Fabrication, and Erection of Structural Steel for Buildings.
American National Standards Institute (ANSI)
ANSI A58.1	Minimum Design Loads for Building and Other Structures
American Society for Testing and Materials (ASTM)
ASTM A36	Specification for Structural Steel
American Welding Society (AWS)
AWS D1.1	Structural Welding Code, Steel
National Fire Protection Association (NFPA)
NFPA 70	National Electrical Code (NEC)
Section 1910.95	Occupational Noise Exposure
Subpart D	Walking-Working Surfaces

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3.0 Requirements

3.1 General

Include statements of those requirements that are common to all components of the equipment of system being specified.

3.2 Performance

Provide a definition of the performance requirements for rating the equipment.

3.3 System Description

Provide a brief but inclusive system description for a specification written for a mechanical system or equipment package. Single equipment items usually will not require a system description.

3.4 Mechanical Design

3.4.1 Component

Describe requirements for the individual components that make up the piece of equipment under this series of headings. This would include such things as a listing of design requirements for the components that make up an equipment item (e.g., shaft, seals, coupling, impeller).

3.5 Electrical

A reference should be provided here for invoking the National Electrical Code and for identifying the required hazardous area classification for electrical components that are to be provided. This reference should be a statement such as:

3.6 Structural

Specify the structural requirements for the item of equipment under this heading. This section should include a reference to appropriate AISC and ASTM standards and requirements of a general nature. Specific requirements such as design criteria or a basis for handling wind loads, transportation and other specific details should be incorporated by line entries on the equipment data sheets.

The following wording is suggested for general structural requirements in an equipment specification:

3.7 Exceptions

Specifications that are written around a code or industry standard such as ASME or API should list exceptions or clarifications to those standards. The following is an example of how this would be done:

3.7.1 Requirements

Each centrifugal pump shall be in accordance with API 610 except for the additions, modifications, deletions, or further clarifications stated below:

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4.0 Contractor Quality Assurance Program

4.1 Inspection and Testing

For specifications written for a product, material, service, equipment or bus modifications/retrofit with a standard level of quality the following wording is suggested:

The responsibility for Quality Assurance shall be with the Contractor subject to verification by METRO.

4.2 Contractor Surveillance

The purpose of this section is to initiate METRO surveillance of Contractor manufacturing operations and document certification requirements. Paragraphs included in this section should define where to find the specific requirements. The following wording is suggested:

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5.0 Preparation for Shipment

5.1 Cleaning (suggested wording)

All dirt, grime, grease, and shop residue shall be removed from surfaces of furnished equipment prior to packaging and shipping from the Contractor's facility.

5.2 Lubrication (suggested wording)

All bearings and other similar parts of furnished equipment shall be suitably lubricated prior to shipment in accordance with the Contractor's recommended lubrication instructions.

5.3 Painting (suggested wording)

The items provided under this specification shall be painted in accordance with the painting requirements specified on the data sheets.

5.4 Preservation and Packaging

The following wording may be used in specifications for items where the Contractor's standard preservation and packaging methods are considered to be acceptable and preservation and packaging requirements are not defined by a national standard.

5.5 Equipment Identification (suggested wording)

Equipment identification requirements are specified on the attached data sheets.

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6.0 Contract Data Requirements (suggested wording)

6.1 Contract data requirements shall be as specified on the attached contract Data Requirements List (CDRL).

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Data Sheet for Six-Sections Specifications
The data sheet is used to describe specific requirements of a product or equipment item. The originator shall complete the description and requirements column of the data sheet.
DATA SHEET
		Identification No._________
Description: ___________________________________________________________ ______________________________________________________________________
Quantity:_____________	IFB No.: ________________
Location: _____________________________________________________________ ______________________________________________________________________
Utility	Available	Contractor's Requirements
Volts	120/460	___________________
Phase	1/3	___________________
System	60 Hz	___________________
Air	90 psi	___________________

Instruction to Contractor

This data sheet will also be used as a part of the technical bid tabulation. Contractor shall complete the right hand column of this data sheet to identify the equipment that is to be furnished. Contractor shall print the Contractor's company name and proposal number on the top line of each such right hand column. The following legend is used to define the Requirement Class (Reqmt Cl):

• R - Mandatory Requirement
• A - METRO Engineering Preference
• B - As Specified or Equal
• * - Seller to Specify

All data sheet items noted by a bullet (o) in the right hand margin shall be completed with the Contractor's bid.

Contractor shall comply with all R (mandatory requirement) class requirements to be considered technically acceptable.

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Contract Data Requirements List 
For 
Six-Section Specification or Equipment Specification/Data Sheet

The Contract Data Requirements List (CDRL) is used by METRO to convey to the Contractor the required contract data documents, type of document and the time span that each type of document must be submitted to METRO. The following list is an example of the types of required Contractor data. Each individual specification should be reviewed for the specific required types of Contractor data.

The Contractor's bid shall state his intended compliance with this listing, as regards to the type of data required and schedule for data submittal, as well as the Quantity and Data Form (reproducible, prints, etc.) indicated in the IFB and Contract. The Contractor shall confirm responsibility for similar compliance by his subcontractors as a part of the Contractor's bid. Deviation(s) from the Data Submittal Schedule shall be shown in the comments column.

All data submitted shall be identified as a minimum with identification number, description and Contract number.

When an "X" has been indicated in the "B" (with bid) column on the following list, _____ copies of the required data shall accompany the bid.

After notice of award, the Contractor shall furnish quantities of reproducibles and copies of all data to be submitted as follows:

The above quantities are to be submitted to the Project Manager with a copy of the transmittal to Contracts.

Drawing prints may be folded, but reproducibles shall be rolled. Where the Contractor's originals are multicolored or halftone "slick paper" brochures, bulletins, instruction books, and other similar preprinted documents, the Contractor shall furnish originals for the quantity of copies required.

After notice of award, unless otherwise noted in the comments column, the following data submittal schedule shall apply:

FOR APPROVAL DATA DUE ____ WEEKS AFTER CONTRACT NOTICE OF AWARD,

CERTIFIED CORRECT DATA DUE ____ WEEKS AFTER METRO'S APPROVAL,

RECORD DATA DUE ____ WEEKS AFTER CONTRACT NOTICE OF AWARD.

ABBREVIATIONS: B - With Bid, A - Approval, C - Certified, R - Record (information only)

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Checklist for Six-Section Specification (Part I)

1. Review Section 1 for:
   1. Accurate statement of scope
2. Review the references in Section 2 for:
   1. Necessity b. Availability
3. Review the requirements of Section 3 to determine that:
   1. Referenced documents are necessary and applicable
   2. Requirements are predominately design or performance and that the same requirement is not covered both ways
   3. No requirement is
      • Unrealistic
      • Indefinite
      • Restrictive
   4. The requirements meet the needs of METRO
   5. The requirements are within industry's capability
   6. Each requirement is capable of being inspected or otherwise verified
4. Review Section 4 to determine that: 
   The Contractor's standard quality assurance program will be suitable to METRO
5. Review Section 5 to insure that: 
   Preservation, packaging, and packing are realistic
6. Review Section 6 to insure that:
   1. Delivery of adequate data, i.e., drawings, calculations, catalogs, reports, etc., is identified on the CDRL to accomplish a project.
   2. Requested data will meet the needs of an installation contractor.

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Part II Scope of Service

The Scope of Service is the contractual document for expressing exactly what services or product you require and for evaluating the service or product of the contractor.

The suggested section headings shown below should be used in all scope of services when the heading is applicable. Appropriate headings should be added as required.

• Section Headings
  • Background
  • Primary Work Task
  • Other Work Tasks/Services
• Ordering Procedure
  • Contractor Quality Assurance
  • Technical Reports

Background

Provide a description of the services/product to be contracted for and a general description of the contents of the scope of service. Provide any special background information available.

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Primary Work Tasks

Include statements under this heading to thoroughly describe the primary work task expected under the scope of service.

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Other Work Tasks/Services

Include statements under this heading to describe additional work tasks or services that may be required under the scope of service.

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Contractor Quality Assurance

Include statements to describe any special quality reliability or quality assurance requirements.

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Technical Reports

Include statements to include any and all technical reports that will be required during the term of the contract.

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Schedule of Items and Pricing

The following is a suggested format to list items and request unit pricing for pay items referenced in the Scope of Services. The Schedule of Items and Price should be an attachment to the Scope of Services.

Schedule of Items and Pricing

The Contractor shall complete the following price schedule based on the annual estimated quantities of the services required:

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Part III Brand Name or Equal Equipment Specification/Data Sheet

The brand name or equal equipment specification/data sheet format is used for the procurement of items such as machine tools, fabrication equipment, cleaning equipment, mobile equipment, and standard off-the-shelf equipment.

The following is an example of a specification/data sheet for a 19" × 78" engine lathe that can be used as a guide for the procurement of any of the above listed items:

Specification/Data Sheet
Engine Lathe
19" × 78"
General Description

This Data Sheet covers the requirements for a rigid base, floor mounted, metal cutting, electric motor driven engine lathe suitable for general purpose metal turning, facing, boring, drilling and threading operations in a General Purpose Maintenance Shop for a Transit Authority. The machine shall consist of a floor mounted base and bed with ways, head stock, tail stock, carriage and other specified components.

The lathe shall be a Monarch Dean Smith & Grace Limited Model #1910 or equivalent.

Design Features

Grounding

The point of connections for METRO's power supply is to include a grounding point for the electrical grounding of the machine frame. Contractor to provide a grounding stud.

Nameplate

A corrosion resistant metal nameplate shall be attached to the Machine with removable corrosion resistant screws. The nameplate shall contain at least the following information:

• Manufacturer's name
• Model number of Machine
• Serial number of Machine
• METRO's contract number
• METRO's equipment tag number
• Date of manufacture

Lubrication

A means of positive lubrication shall be provided for all components of the Machine that require lubrication.

English/Metric

When applicable, machines with thread cutting capabilities must have the capability in both English and Metric.

Sizes and Capacities
The Engine Lathe must comply with the following sizes and capacities. The Contractor must furnish brochures, information requested and fill in the blank spaces.
Sizes/Capacities	Requirement	Contractor's Specification
The following are suggested major headings with an example of each from a brochure of a Monarch Dean Smith & Grace Limited Model #1910:
Working Capacity
Swing Over Bed (Min)	19.5"	___________________
Speeds & Feeds
Head stock
Forward & Reverse Speeds (Min)	16	___________________
Universal Gearbox
Longitudinal Feeds (Min)	30	___________________
Sizes
Head stock
Camlock Spindle Nose	D1-8"	___________________
Screw Cutting
Thread Per Inch	45 from 2 to 56 tpi	no exception
Tail Stock
Spindle Diameter (Min)	3.5"	___________________
Saddle and Apron
Length of Saddle Guide	Mfr. Std.	___________________

 

Options and Accessories
The Contractor must furnish manufacturer and descriptive literature of the following listed options and accessories.
Option/Accessory	Requirement	Contractor's  Specification
Gap Bed w/Removable Piece	1 ea.	_________________
Traveling Steady .625" to 4.5"	1 ea.	_________________
Stationary Steady 1" - 7"	1 ea.	_________________
4 - Jaw Chuck 18"	1 ea.	_________________

 

Tooling
The Contractor must furnish manufacturer and descriptive literature of the following listed tooling.
Tooling	Requirement	Contractor's Specification
Jacobs Rubberflex Collet Chucks (Specify Capacity)	1 set	_________________
Jacobs Rubberflex Collets for use with above Collet Chucks	1 set	_________________
Revolving Live Center for Tail stock	1 ea.	_________________
Face Plate - 16"	1 ea.	_________________

 

Utilities
The following utilities are available at the maintenance facility. The Contractor must furnish the required utility consumption.
Utility	Available	Contractor's Requirements
Volts	120/460	_________________
Phase	1/3	_________________
System	60 Hz	_________________
AMPS	N/A	_________________

 

Contractor Information Required  (Must Be Filled in by Bidder)
MACHINE SIZE AND WEIGHT
Weight with Standard Equipment including Motors	__________ lbs.
Shipping Weight of Completed Machine	__________ lbs.
Overall Dimensions of Machine (L × W × H)	___" × ___" × ___"
MANUFACTURER OF MACHINE	________________
COUNTRY OF ORIGIN OF MACHINE	________________
COUNTRY OF ORIGIN OF OPTIONS AND ACCESSORIES	________________
COUNTRY OF ORIGIN OF TOOLING	________________
TECHNICAL DATA ON MACHINE ATTACHED	Yes ____ No ____
EQUIPMENT I.D. NUMBER	________________

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Part IV Purchase Description

The Statement of Work (SOW) is a special category of a specification that is used when contracting for services and equipment. The SOW outlines the nature of the work, the level of effort required and the anticipated results of the work, rather than detailed technical specifications of a particular item. For services and equipment that can be adequately described with less data than that contained in the Six-Section Equipment Specification, Scope of Services or Brand Name or Equal Equipment Specification/Data Sheet Format, you can write a short SOW. This approach is usually reserved for Off-the-Shelf hardware or commonly available services.

When writing a SOW, you must utilize you special knowledge of the subject in deciding the content of the SOW. The key elements are the same as those for any Specification or Scope of Service, with the added requirement that you must state when and where the work is to be performed. The SOW must deal with the following basic questions:

• What needs to be done?
• Where should it be done?
• When should it be done?
• What should the final output consist of?

When the SOW has answered the above questions, it is essentially complete.

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