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Specifications
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This report does not cover the formatting of the specification document. It instead,
permits specification preparers to use their own formats as long as the requirements are
presented logically and systematically so that its users can readily find them. Also, this
report does not cover contract language intended to manage risk. However, all the
recommendations included in this report should be considered by the designer
(specification writer) based upon knowledge of the project (competent design) and
risk/reward factors dictated by cost and other restrictions imposed by the specific project.
This document does not provide legal advice. It is instead intended to serve as a guide for
the creation of a coating specification. This document and any associated educational
information are only offered as a general discussion of the subject matter and do not
purport to offer legal advice. It is strongly recommended that the designer seek the
assistance of competent local legal counsel prior to final dissemination or use.
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This report is composed of two parts and four appendices:
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Competitive-bid
Negotiated
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the most equitable way to distribute public contracting funds. That assumption, however,
is only valid when the entire process is fair to all potential bidders. This fair process
creates the level playing field. that nearly every owner desires to find, and most
contractors wish for when bidding on jobs., Such fairness is difficult to develop,
implement, and maintain in the real world; however, designing a good specification can
help work toward achieving a more equitable contracting environment.
A level playing field will exist in any owners contracting environment when its contract
requirements are equitably, equally, and totally enforced. All bidders must know and
believe they will be held responsible to meet all contract requirements. Then, contractors
who are fully qualified will be encouraged to bid, and those not fully qualified will be
discouraged from bidding. A level playing field encourages contractors to be more
efficient in all aspects of planning and executing work. It can even result in an improved
owner-contractor relationship by establishing a good working environment.
Writing a specification that cannot or will not be enforced defeats the purpose of striving
for an equitable contracting environment. Working with competitive-bid contracts can be
challenging but it is possible to overcome the drawbacks by developing a better
awareness of the issues . Identifying and addressing the root causes of competitive
bidding problems and writing your specification to close gaps and potential loopholes
will most likely enhance project success.
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Requiring performance and payment bonds for the full cost of the project
provided by a rated insurance company
Establishing comprehensive quality control (QC) requirements (i.e., require the
use of qualified QC personnel, as well as a qualified work force of blasters and
painters or other craft workers) and the means to assure compliance
Requiring a detailed Work Plan such as that described by Brandon and Damiano
in the Journal of Protective Coatings and Linings (Work Plan: Use It or Lose It,
JPCL, June 2011, pp. 14-19)
* Implementing Corrective Action throughout the job, including timely response to
program weaknesses and elimination of the causes of nonconformities
Competent Design. The design must be accurate and complete so that contractors can
properly estimate the cost of full contract conformance. Even so, depending on market
variables, competitive bidding can encourage some level of betting on what estimate will
win the job rather than bidding the cost of full performance. The specification and its
administration must be very strict for competitive bid contracts, because hungry
contractors may bid low to obtain the contract and plan to make up differences with addons, or, even worse, by cutting corners to be sure to make a profit. Owners should be
wary of estimates that are significantly below their estimated cost of full performance. An
extremely low bid, say 20-25% lower than the second low bidder, will likely indicate that
the contractor failed to take all requirements into account, or that the specification was
vague or incomplete. Another reason for developing a good specification is that it reduces
the chance of getting wildly low bids.
The designer, generally an architect or engineer, is charged with creating a competent
design for the project that will result in the desired product, and includes all of the
information needed for each potential bidder to estimate costs and prepare a competitive
bid. The designer may be an employee of a large organization or an independent
contractor hired by the owner. The designer may, in turn, hire coating or other specialists
to assist in unfamiliar phases of the specification. The designers chief responsibility is to
establish and convey project requirements in the specification. The designer should also
be responsible for continuous review of all requests for information involving all
technical issues, as well as all submittals, to ensure that the specification is being properly
executed.
With a well-written and executed specification, the owner is much more likely to receive
the desired product within the established time and price. However, if the specification is
weak, vague, ambiguous or incomplete, the owner may encounter one or more of these
problems:
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Pre-Bid Conference. For large contracts, it is a good practice for owners to hold pre-bid
conferences for potential bidders. Here, the owner presents the specification and
describes the scope of work. The participants may ask for additional information about
the project and specification requirements, and owners should answer questions as
appropriate, and provide those answers to all potential bidders. Participants are frequently
given the opportunity to tour the work site (if available) with the owner to become
familiar with it. Potential bidders are allowed to take measurements and photographs and
ask questions concerning the work. Holding an informative pre-bid conference may result
in more realistic bids with a narrower bidding range. Owners may also require the
contractor who is awarded the contract to inspect the work site and all conditions
affecting the work, review all contract documents, and then submit any errors, omissions,
or other discrepancies within a certain period of time, such as 30 days after award.
Pre-Construction Meeting. The owner should hold a pre-construction conference with
the selected contractor, QC and QA personnel, and other interested personnel as soon as
possible after the award of the contract. This ensures that all participants have the same
understanding of requirements and administrative procedures to be followed. Scheduling
and safety requirements can be discussed also. Ideally, the approved Work Plan will be
discussed at the conference, but it can just as effectively be discussed at a separate prework meeting if timing is an issue.
Qualifications of Personnel for Planning and Specifying Coating Work. Facility
owners must exercise due diligence when choosing personnel, both in-house and
consultants, for all coatings-related work. SSPC supports owners hiring qualified coating
specialists or having persons become qualified through SSPC and other industry
programs. More information about the SSPC Protective Coatings Specialist (PCS)
Program can be found here: http://www.sspc.org/Protective-Coatings-Specialist-PCSProgram/ In addition, JPCL/PaintSquare maintains a list of coating industry consultants.
Role of the Contractor in Producing Quality Products
Payment for Work Completed. The contractor is responsible for planning, scheduling,
and producing work that conforms to all contract requirements. The contractor is also
required to provide objective evidence of conformity (documentation) of completed work
to project requirements when tendering for work to date. The fact that invoices are
allowed to contain projected work rather than actual work to date seems to confound
many administrators in their attempts to ensure payment for work based on objective
evidence of conformity, but there are ways to handle this. Some owners may choose to
either audit invoices for evidence of conformity a month or two in arrears, or to require
contractors to provide this traceability through logs or other methods. Other owners may
choose to make a one-time extra payment at the beginning of the project to compensate
for the extra delays associated with payment for evidence of conformity. There may be
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other ways as well, but the intent is to keep all parties focused on paying only for
documented conformity.
Subcontractors. Even on large construction contracts, the coating portion may comprise
only a small part of the work. When a subcontractor is used for specialized work such as
coating, the prime contractor must provide documentation that the qualifications of the
coating subcontractor are equal to those of the prime contractor, or as specified. Some
prime contractors may shop around for the cheapest subcontractors available for different
parts of project work without considering their capabilities for providing quality work.
This is a bad practice, because the prime contractor is responsible for all requirements of
the project contract. This practice will likely become less of an issue where bidding is
done in a known environment with a level playing field, as subcontractor bids to prime
contractors will be both responsive to all contract requirements and competitive in price
based on efficiencies.
The prime contractor should also have a separate contract containing appropriate
submittals with the subcontractor that will ensure that all project requirements will be
met. In the event that there is a conflict between the requirements of the owners contract
and the subcontractors contract, a dispute is likely to arise. Thus, both the contractor and
subcontractor should be familiar with the terms of the contract between the owner and the
prime contractor and that between the prime contractor and subcontractor.
Prime contractors must provide subcontractors with scheduling and sequencing
information to avoid interference among different trades. They must also provide
subcontractors with notice of any changes made to scheduling and sequencing that may
occur during project production. The Prime must inform subcontractors of any
communications between the prime and the owner that may affect the subcontractors
work.
Vague Specification Requirements. Coating contractors like to bid on well-prepared
project specifications because it is easier for them to determine the amount and quality of
work required, and thus, easier to prepare a realistic and accurate bid. A few contractors
may look for errors or vague requirements in a coating specification that will require
change orders. Then, they may decide to bid low to get the contract and hope to make up
for the money they left on the table through change orders and extras. This is an unwise
practice that can be prevented by a clear, complete specification and good contract
administration.
Requests for Information (RFI). There are often contract clauses that require
contractors to review plans and specifications and request clarification where necessary,
and advise the owner of errors, omissions, or other contract deficiencies where
appropriate, before work begins. A request for information (RFI) may be used to ask for
clarification of vagueness in requirements or apparent work conflicts or discrepancies.
Contractors should include procedures for the RFI process in their QC plans. RFIs should
never be used for requesting contract deviations.
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or provide for a full and unfettered site investigation. Thus, it can be critical to provide all
bidders the opportunity to inspect the work site, where feasible, before submitting their
bids.
After production begins, the contractor may discover work site conditions that differ
materially from those indicated in the specification and could not have been identified
during the planning process. The contractor should be required to inform the owner of
this within a reasonable time frame, so that these conditions may be promptly addressed.
Differing site conditions are often a cause of contract disputes and litigation.
Specification Nonconformance. A nonconformity is some element of interim or final
work that fails to completely meet all contract requirements. A nonconformity usually
requires rework or repair. In some cases, a nonconformity may be disposed of in a
manner that may preclude rework or repair, based on the recommendation of the PCS. A
properly prepared specification will reduce the potential for nonconformance and thus
minimize costs for rework and delays.
Corrective and Preventive Action
A set of tools to be used during contract performance has proven to be particularly
effective in minimizing the occurrence and recurrence of nonconformities with the
specification. When properly used, this set of tools, Corrective Action (CA) and
Preventive Action (PA), can keep the contractor focused on producing conforming work.
It is wise to consider these tools as a good mechanism for obtaining quality work rather
than a means of contract enforcement.
CA identifies the root cause of a nonconformity, takes steps to eliminate it, and then
follows up to ensure that the nonconformity does not recur. Corrective Action is initiated
through a Corrective Action Request (CAR) which may be prepared by the inspector or
other individual involved in the project QC or QA process. It is tracked on a
Nonconforming Work Log, or similar document, and on a Corrective Action Log, to
ensure that the problem is satisfactorily resolved and that appropriate action is taken. The
correction and repair procedures taken by the contractor should be those prescribed in the
specification or as recommended by the coating manufacturer and/or an established
industry practice, and documented.
While CA is reactive in nature (responding to identified nonconforming work), PA is
proactive in nature. It makes use of knowledge and past experience to prevent
nonconformities from occurring in the first place. PA is initiated, managed, and tracked
through preventive action requests (PARs) in much the same manner that is done for
Corrective Action. A PAR may be initiated by anyone who sees an opportunity to prevent
a potential action that would require CA. Health and safety programs and safety
incentives are good examples of PAs that have had good payoff.
CA/PA clauses can be specified in the project specification or in the QMS standard. For
instance, SSPC QP series contractor certifications require project-specific Work Plans,
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Corrective Action, and other requirements that are pertinent to the contract administrator.
If an owner has specific requirements that tend to overlap QP series requirements, it is the
contractors responsibility to harmonize the requirements to avoid any conflicting
requirements. The ideal place to do this is in the Work Plan.
Basic Expectations from a Contractors Quality Management System (QMS)
A quality management system addresses the principles and processes surrounding the
design, development, and delivery of a general product or service. Specifying a QMS
standard as a preliminary requirement of the contractor sets up a process of organized
activities to meet established goals.
The owner should have expectations from the contractor concerning the work to be
accomplished. The most important expectation is that only work conforming to the
specification will be tendered. More specific expectations of contractors obligated to a
QMS include but are not be limited to:
(1) Reviewing the specification for discrepancies, omissions, and conflicting
statements.
(2) Performing complete project planning and submitting a Work Plan or series of
process control procedures (PCPs) to the owner.
(3) Verifying conforming work through inspection, process control, or a
combination thereof.
(4) Producing documentation of conforming work (objective evidence of
conformance)
(5) Identifying and addressing all nonconformities through Corrective Action.
(6) Submitting certifications of contractor and craft-worker personnel.
(7) Submitting qualifications of personnel doing planning and preparation.
(8) Complying with laws and regulations governing the project.
(9) Submitting written requests for deviations from project requirements, as
necessary. (No oral agreements to changes should ever be made.)
The QMS concept is based on proven relationships between planning processes and
satisfactory results and promotes continual improvement to build on the planning process.
The intent of the QMS is to ensure that the contractors initial planning and preparation
and its verification efforts are designed to achieve conforming work.
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Areas to be Coated and Not to be Coated. The specification must define all of the areas
that are to be coated and all of the areas that are not to be coated in order for the
contractor to understand the full scope of the project. Areas not to be coated may have to
be masked, and, if other areas are added after start of the production, the owner may be
required to provide additional funding.
Site Access and Storage Area. The owner must provide contractor personnel with
access to the work site. Work areas often have limited access because of security or
safety concerns or the presence of other conditions such as vehicular traffic, close
proximity to the public, or the presence of other trades. Also, sufficient area must be
provided for the contractor to store required equipment and materials.
Site Investigation Clause. When the contract documents fully describe the projects
existing conditions, the importance of site investigation prior to submitting bids can be
diminished, because bids are more likely to be representative of costs of performing the
work and it is less likely that differing site condition claims will arise. It is reasonable to
require qualified bidders to identify errors, omissions, and other contract discrepancies
they find prior to submitting bids, but this is difficult to administer. A reasonable
alternative is to require the contractor to advise the contract administrator of any errors,
omissions, and other contract discrepancies, other than those that cannot be anticipated or
identified without special access, within a reasonable time after submission of bids, such
as 30 days.
References/Applicable Documents. A reference section of the specification should
provide a listing of all documents (e.g., test procedures) cited in the specification and no
others. References to other reading materials of interest will only create confusion as they
might be considered as a specification requirement. The listed documents form a part of
the specification, to the extent described in the specification. Because the requirements in
the referenced standards or documents are incorporated into the contract and become
enforceable contract requirements, designers must read and know what they say. They
should not be used as a catch-all just in case the designer might have left something
out. Designers should also be aware that some of the information in the standards may be
contradictory or in conflict with other standards and thereby create ambiguities that may
be interpreted against the drafter.
Technical organizations that provide standards and other guidance relevant to coating
projects include but are not limited to:
ASTM (American Society for Testing and Materials) for test procedures
API (American Petroleum Institute) for fuel tanks and appurtenances
AWWA (American Water Works Association) for water tanks and appurtenances
FHWA (Federal Highway Administration) for bridge and highway structures
NACE International for metal corrosion
NSF (National Sanitation Foundation) for potable water tank interiors
SSPC (The Society for Protective Coatings) for guidance in coating operations
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Typical coating project submittals required after initiation of production include but are
not limited to:
Safety and Health Plans. SSPC PA Guide 10 Guide to Safety and Health Requirements
for Industrial Painting Projects provides guidance, including sample contract language,
for specifying safety and health requirements for contractors. SSPC Guide 17 Guide to
Developing a Corporate Safety Program for Industrial Painting and Coating Contractors
is also usable by owners to evaluate contractors safety programs. Again, these
documents should be reviewed by the owner or designer to ensure they are appropriate
for inclusion in the contract documents.
Work Plan and Process Control Procedures (PCPs). A Work Plan is a written
document containing a list of all actions and procedures, assembled in logical sequence
that describes all steps necessary for the contractor to produce a finished product
conforming to all specification requirements. It translates the requirements of the
specification into a series of steps for field implementation. It provides to the contractors
staff the ability to plan and prepare to accomplish cost effective production within the
schedule and in accordance with project requirements. It also provides the owners staff
with the ability to review submittals and understand the contractors intended processes.
The Work Plan also permits but is not limited to scheduling such project procedures as:
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Specified Type and Size Range of Abrasives. The specified abrasives should be tested
for particle size distribution, oil content, crystalline silica, and soluble contaminants by
the referenced test methods, e.g., SSPC-AB 1, for conformance to specification before
use. This presumes the specification contains specific requirements for the abrasive. If
there are no abrasive requirements specified then the choice of abrasive is left to the
contractor.
Kits and Equipment for Testing for Surface Cleanliness and Profile and Film
Thickness. QC kits and other equipment necessary for testing for surface cleanliness and
profile and for coating thickness must be available at the work site. Production workers
must be able to monitor the quality of their own work, and QC personnel must be able to
verify that the specification requirements are being met. Wet film gages are commonly
used by applicators to verify that the wet coating thickness at application time will meet
the final dry film thickness specification requirements once the coating dries. The
specific parameters and test requirements must be included in the specification if the
owner/designer expects those tests to be performed.
Specified Types of Coating Materials Delivered and Their Verification. A materials
section of the specification lists the coating materials to be used on the project. It may
provide the names and code identifications of approved products, a qualified products list
(QPL), Qualified Products Database, a description of the generic material, or a
description of the required performance. Typically public works projects require the
allowance of an or equal clause if a particular product or manufacturer is referenced.
There are specific legal requirements to be met if public owners want to try to sole
source or limit the paint products. The legal requirements vary based on the status of the
public owner (e.g., federal, state, or local governments, defense agencies, etc.) In some
cases these limitations are unenforceable. The designer should be familiar with the legal
requirements if the intent is to limit bidders to the use of products to only a single paint
manufacturer.
The VOC (volatile organic compound) content of coating materials is required in most
U.S. geographical locations. If commercial products are specified, their colors should be
selected from the manufacturers list of available colors. It is always best to procure all
products of a multiple coat system from the same supplier and make sure that they are
suitable for the intended use. Where multiple suppliers of a single system must be used,
rules for determining all requirements of the coating system must be specified to avoid
conflict among suppliers.
Upon delivery, the coating materials must be identified as those specified and as having
sufficient shelf life to complete the project. It is a good practice to check both the
condition of the containers, including the seals, and the condition of the coating by
laboratory testing of one or more samples and record the batch numbers. The volume of
coating materials required can be calculated from their spreading rates and the surface
areas to be covered. This will ensure that there is sufficient coating at the job site to
complete the work.
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Air temperature
Surface temperature
Dew point/relative humidity
Wind speed
Lighting for all work areas (as prescribed in SSPC-Guide 12)
Condition in container
The ratio by volume of the components to combine *
Instruction for mixing components
Amounts of thinner, if any, permitted
Ambient conditions for application
Induction time at different temperatures *
Pot life at different temperatures *
Recoat window *
Contrasting colors for multiple coat systems
Stripe coating requirements
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The dry film thickness range should have minimum and maximum limits necessary for
optimum coating performance. If appearance is important the appearance of cured films
can be required to be in accordance with SSPC-PA 1 for steel surfaces and in accordance
with SSPC-PA 7 for concrete surfaces.
QC Inspection and Documentation Requirements. Project documentation, including
inspection and testing records, must be used to determine the contractors compliance
with specification requirements and approved procedures. Project-specific forms that
include pass and fail criteria found in the specifications should be used for the
documentation. The coatings inspector should sign these forms and copies of the
documentation should be forwarded to the contract administrator as soon as they have
been completed or as specified in the contract documents.
Accepting Project Work and Clean-Up of all Equipment, Materials, and Waste
Products. A punch list of action items needing completion is prepared prior to a final
inspection to ensure that all work is complete and ready for the final acceptance by the
owner.
At all times, the contractor must keep the premises and surrounding area free from
accumulation of waste materials and rubbish created by project work. Following
completion and acceptance of the work, the contractor must remove all debris,
equipment, and materials from the site. Materials and equipment may have to be
decontaminated if exposed to hazardous materials such as lead-based paint before being
removed from the work site. The existing facilities must be restored to their original
condition.
Some owners find that it is cost-effective to take possession of specific hazardous
materials. The specifics of any such transfer should be detailed in the specifications,
including requirements for submittal of procedures, etc.
Warranty. The warranty section of the specification requires:
It is important that a warranty section of the specification clearly states any special or
extended warranty or bonding for conformance to specification.
Warranties for coating work are typically for one year after acceptance of the work.
Arrangements should be made to have completed projects re-inspected for deficiencies
prior to the termination of the warranty period, so that a written legal claim can be made
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within this time frame. Some owners withhold 5 to 10% of the total payment until the end
of the warranty period to ensure that deficiencies found within this period are addressed.
A prudent owner or designer should consider defining the conditions that would
constitute a breach of warranty at the end of the warranty period. If desired, a scheduled
warranty inspection and list of attending parties can be included in the specification.
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Division Structure
Division 00 - Procurement and Contracting Requirements
Miscellaneous examples of sections:
00 10 00 Solicitation
00 20 00 Instructions for Procurement
00 30 00 Available Information
00 40 00 Procurement Forms and Supplements
00 50 00 Contracting Forms and Supplements
00 61 00 Bond Forms
00 70 00 Conditions of the Contract
Division 01 - General Requirements Requirements that apply to the entire
contract
Miscellaneous examples of sections:
01 10 00 Summary
01 20 00 Price and Payment Procedures
01 30 00 Administrative Requirements
01 31 00 Project Management and Coordination
01 32 00 Construction Progress Documentation
01 33 00 Submittal Procedures
01 35 00 Special Procedures
01 40 00 Quality Requirements
01 50 00 Temporary Facilities and Controls
01 60 00 Product Requirements
01 70 00 Execution and Closeout Requirements
01 80 00 Performance Requirements
01 90 00 Life Cycle Activities
01 91 00 Commissioning
01 92 00 Facility Operation
01 93 00 Facility Maintenance
01 94 00 Facility Decommissioning
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33 10 00 Water Utilities
33 50 00 Fuel Distribution Utilities
33 51 00 Natural-Gas Distribution
33 52 00 Liquid Fuel Distribution
33 56 00 Fuel-Storage Tanks
45 00 00 Industry-Specific Manufacturing Equipment
46 00 00 Water and Wastewater Equipment
48 00 00 Electrical Power Generation
*The miscellaneous examples of sections are intended to show the layout of the
CSI/CSC Masterformat. The entire system is available through the CSI web site:
http://www.csinet.org/ . CSC Construction Specifications Canada:
http://www.csc-dcc.ca/
The U.S. Department of Defense facilities guide specifications use a modified
version of the above numbering system, available at the following web site:
http://www.wbdg.org/ccb/browse_org.php?o=70 .
Section Format
Each Section concerns a particular portion of the work, and has a three-part structure that
interfaces with the Division 01 general sections. The format is as follows:
Section xx xx xx xx
Part 1 General
Part 2 Products
Part 3 Execution
Sections in Division 01 contain requirements only under Part 1 General while Sections
in Divisions 02 48 generally have requirements in all three Parts. The Part 1
requirements in Divisions 02 48 supplement the general requirements of Division 01
Sections. For instance, it is common for there to be requirements in many Divisions 02
48 Sections specific submittals, and these submittals would be subject to the general
submittal requirements in Section 01 33 00 Submittal Procedures.
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The fact that lead was highly used as a primer is indicative of its value to the corrosion
control industry. Premature removal of sound lead primer is not considered to be a good
coating management practice, but it must be coordinated with the owners overall
facilities management plan.
Owners should consider an annual CCS to survey all structures to be authorized for
design in the coming year or two. When accomplished for multiple projects, the perstructure cost will decrease. By accomplishing this survey prior to design, the basis for
budgeting and design is fully identified.
The CCS can also be a very useful tool when used to screen structures for maintenance
painting requirements. A CCS can be scoped to provide a general inspection of many
structures to screen for near-term overcoating or recoating requirements, and subsequent
investigation can be made to provide appropriate details for project planning and design.
It should be pointed out that the aesthetic features of a coating do not define the coating
condition; they only describe how the coating looks. Many coating systems have been
replaced when only the topcoat is in need of "refurbishment." Likewise, many structures
such as water tanks and fuel tanks have had complete coating replacement when only the
roof coating needed replacement. A CCS can identify the weak components as well as the
satisfactory components, and propose solutions to make maximum use of existing
resources.
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Brandon, J.H.; Hames, B; Gorrell, P.G. Use of Work (Quality) Plans on Coatings
Projects. SSPC:The Society for Protective Coatings 2003, New Orleans.
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